PRINCE2 Processes - Knowledge Train
PRINCE2 processes Author: Simon Buehring Copyright 2013-2018 Knowledge Train. All rights reserved. PRINCE2 is a registered trade mark of AXELOS Limited,used under permission of AXELOS Limited. All rights reserved.
IntroductionThis article describes the PRINCE2 processes. It’s the third in a series of three study guides designed tohelp you learn about PRINCE2. The other two - the PRINCE2 Principles and the PRINCE2 Themes - areavailable to download as ebooks. They are all based upon the 2017 version of PRINCE2.BackgroundProcesses in PRINCE2 are where the principles and themes of PRINCE2 are applied. The processesdescribe which role from the project management team is responsible for taking decisions, and when thosedecisions should be taken.The rest of this ebook will describe the 7 processes.Directing(project board)Managing(project manager)Starting up a projectPRINCE2 process modelCorporate or programme managementDirecting a projectInitiating aprojectDelivering(team manager)Managing astageboundaryControlling astageClosing aprojectManagingproductdeliveryStarting up a projectPurposeThe purpose is to answer one simple question: “is the project viable and worthwhile?” [1]Objectives To appoint those who will work during the initiation stage and those who will take significant projectmanagement roles in the project; To ensure there is a plan (initiation stage plan) for the work required during the initiation stage; To ensure the initiation stage is based upon sound assumptions regarding the project’s scope,timescales, acceptance criteria and constraints.1
Pre-project processThis process is a pre-project process. The process is about filtering out the badly-conceived projects fromthe good ones. After, all it’s only sensible to initiate the good ideas for projects and to discard the bad onesbefore any serious time and money is wasted.Project mandateThe trigger for the project is a project mandate (a trigger is an event or decision which “triggers” oneof the processes) which comes from the highest levels within the customer organization (i.e. ‘corporateor programme management, or the customer’). From now on, we will refer to them as corporatemanagement.The project mandate (at a minimum) should provide the reasons for undertaking the project and shouldalso identify the prospective executive of the project board.Define roles and responsibilitiesBefore the project is commissioned (initiated) key roles and responsibilities for doing the work during thefirst stage (known as the initiation stage) must be resourced and allocated – i.e. it must be identified who isgoing to write the business case and the project plan.2
Outline business caseThe executive is responsible for creating the outline business case, which will explain how the project fitsin with corporate management objectives and how (i.e. from which budget) the project will be funded. Theexecutive is responsible for securing this funding.OutputsThe 2 main outputs are: Project Brief – this ensures that the project has an agreed and well-defined start point Initiation Stage Plan – this covers all the work to be done during the initiation stage (the firststage of the project) and the project manager must review the lessons log for lessons relating tothe project controls to be used during initiation.Directing a projectPurposeThe purpose is to enable the project board to make key decisions and exercising overall control over theproject, whilst delegating the day-to-day management of the project to the project manager. This enablesthe project board to be accountable for the project’s success. [2]ObjectivesTo ensure that: there is authority to initiate the project, deliver the project’s products, and to close the project management direction and control are provided throughout the project’s life the project remains viable corporate management has an interface to the project plans for realizing the post-project benefits are managed and reviewed.3
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This process starts after the starting up a project process has completed and is triggered by a request toinitiate the project.Performed by project boardThe project board is responsible for assuring that there is continued business justification (one of theprinciples). There is no need for regular progress meetings between the project board and the projectmanager because the project board ‘manages by exception’ (another of the principles). The projectboard is kept informed of progress by the reports given to them by the project manager.Interface with corporate managementThe project board also acts as a communication channel or interface with corporate management.Key decision-makerThe executive is the decision maker on the project and the project manager should defer to the executiveif the project board cannot agree on something. In other words, the project board is NOT a democracycontrolled by votes. The senior supplier and senior user roles on the project board will help and supportthe executive to take sensible decisions.The project board is responsible for project assurance, but the project board members may appointpersons to perform project assurance on their behalf e.g. to undertake some of the reviewing andassessing actions such as reviewing plans.ActivitiesThe Project Board performs 5 activities:1. Authorize initiation - ensure that the project investment is worthwhile and notify corporate managementand other interested parties. The communication management approach includes any information aboutthese stakeholders’ information requirements.2. Authorize the project – approve the project initiation documentation (PID) but only if the projectboard is satisfied that the firm foundations for the project are in place i.e. that we know the project scope,costs, times, risks, benefits, who will take decisions, how progress will be monitored and reported, howrisks, issues and quality will be monitored and controlled, and who needs information and when.3. Authorize a stage or exception plan – review the performance of the current stage and approvethe next stage plan (or exception plan) if the business justification still exists, and commit the requiredresources. The project board also reviews lessons reports and agrees on who should receive them. Theproject board approves product descriptions for the major products to be delivered.5
4. Give ad-hoc direction – review highlight reports, issue reports and exception reports from theproject manager and take decisions about project issues, risks and changes.5. Authorize project closure - review and approve the end project report (and lessons report) if it issatisfied that there is nothing more for the project to do.Initiating a projectPurposeThe purpose is to put in place the solid foundations for the management and control of the project, enablingthe customer to understand the work, time and money required to deliver the project’s products before itcommits to a significant investment. [3]ObjectivesTo ensure there’s a common understanding of: the reasons, timescales, costs, scope, major products, expected benefits, and risks the quality requirements and standards how baseline products will be controlled the communication needs of stakeholders6
OutputsThe main output of this process is the project initiation documentation (PID) which contains thefollowing: Project plan - defining what the project must deliver including the costs, resources andtimescales Detailed business case - containing the business justification Communication management approach - describing the information needs of stakeholders Risk management approach – describing the project’s approach to risk management Quality management approach – describing how quality requirements and standards willbe met Change control approach – describing how changes and issues will be managed and howbaseline products will be controlled Project controls – describing how the project will be controlled e.g. dates of stage boundaries,reporting and escalation requirements Tailoring – describing how PRINCE2 and any corporate or programme processes will betailoredA benefits management approach is also created which describes how the benefits will be measured andby whom. It is updated at the project’s end and is not archived because it remains an active document afterproject closure and is owned by corporate management.Managing a stage boundaryPurposeThe purpose is to provide the project board with an updated view of the project, so it can review theachievements of the current stage, approve the next stage plan, review the updated project plan, andconfirm the project is still justified and that the risks are still acceptable. [4]Objectives To assure the project board that all products in the current stage plan have been completed andapproved to prepare the next stage plan to review and, if necessary, update the PID to provide the information needed for the project board to assess the continuing viability of theproject to record any information or lessons that can help later stages of this project and/or otherprojects7
to request authorization to start the next stage in an exception situation to prepare an exception plan and seek approval to replace the projectplan or stage plan for the current stage with the exception planPerformed at end of a stageTowards the end of every stage (except the final stage) the project manager performs this process to startplanning for the next stage.End stage assessmentThe ‘manage by exception’ principle means that the project board only meets with the project manager atthe end of a stage (known as an end stage assessment). At this point the project manager must providethe necessary information for the project board to make an informed decision about continuing with theproject.UpdatesThe project manager updates the 5 management approaches and the business case and project plan.8
The project plan is updated by incorporating the actual progress from the stage just finishing, and therevised time and cost forecasts for the remainder of the project.As the executive is responsible for the business case, the project manager should consult with theexecutive when reviewing and updating the business case in preparation for project board approval. Therisk register is used to help understand the project’s aggregated risk exposure, and to identify the currentkey risks that affect the business case.The benefits management approach is reviewed to check the results of any benefits reviews undertakenduring the stage.In an exception situation, an exception plan is created if the project board asks for one - based onrecommendations made in a previous exception report. When this happens, instead of creating the nextstage plan, the project manager uses the process to create an exception plan. Just like at the end of astage however, the project plan and business case are updated and an end stage report is written.A lessons report may also be created in this process. The different approaches might need to be revised,based upon lessons learned about quality, risk, or issue management or change control during the stage.Controlling a stagePurposeThe purpose is to assign work to teams, monitor the work, manage issues and risks, report progress to theproject board, and take actions to ensure that the stage remains within its tolerances. [5]ObjectivesTo ensure that: the project management team is focused on delivery within the tolerances risks and issues are kept under control the business case is kept under review the agreed products are delivered to the stated quality standards, within agreed cost, effort, timeconstraints progress is reported to the project board (highlight reports) tolerance threats escalated via exception reports9
Covers the day to day project manager’s workThe process covers the day to day management of a stage by the project manager whilst, at the same time,the project board ‘manages by exception’.After the initiation stage, as soon as the project board has approved the project, and the next stage plan(or exception plan), the project manager can proceed with the next stage by issuing instructions aboutwork to teams. Thereafter, this process is triggered whenever the project board approves either a stageplan or exception plan.Focusing on deliveryThe process focuses on the delivery of the stage’s products. Any deviation away from the stage planagreed before the stage commenced is monitored and corrective actions taken.The project manager allocates work to teams (managed by a team manager) via work packages. Workshould not be started without project manager’s authorization. A team executes a work package in themanaging product delivery process, and ensures that specialist products are approved as part of thatprocess before handing the products back to the project manager.10
As part of the work package authorisation, reporting and problem handling arrangements must be agreed,and the risk register updated to include any new risks.Monitoring the team’s workOnce the work is under way, the team manager sends regular checkpoint reports to the project manager.The project manager collects and reviews progress information from these reports and assesses theestimated time and effort to complete any remaining work. If slippages in the work occur the projectmanager takes corrective action but only for issues that are within stage tolerances. For slippages whichwill cause an exception, the project manager writes an exception report and sends it to the project board.Reporting progressThroughout the stage, the project manager sends regular highlight reports to the project board.The stage plan (or exception plan) is updated during the process with actuals from the current stage, andforecasts for the remainder of the stage. However, the project plan and business case are NOT updatedduring this process. Instead they are updated within the managing a stage boundary process at the end ofthe stage.Managing issues and risksA key part of this process is for the project manager to review the stage at regular intervals and to reviewthe status of issues and risks. For any proposed requests for change the project manager considersthe impact the change will have on the project plan, the business case and the risks and checks thecommunication management approach to ensure the relevant interested parties are informed. Theproject manager might request a product status account from project support to report the current statusof any of the products.Complex projectsNOTE: In complex projects where some planning work is delivered through the use of work packages,the project manager could use the controlling a stage and managing product delivery processes during theinitiation stage.Managing product deliveryPurposeThe purpose is to control the link between the customer and supplier by placing formal requirements onthe team manager for the work to be done. The team manager(s) is responsible for coordinating an area ofwork that will deliver one or more of the project’s products. [6]11
ObjectivesTo ensure that: work on products allocated to the team is authorized and agreed team managers and suppliers are clear as to what is to be produced and what is the expectedeffort, cost or timescales the planned products are delivered to expectations and within tolerance accurate progress information is provided to the project manager at an agreed frequency toensure that expectations are managed.Team managerThis process is performed by the team manager. It is not uncommon that the supplier (for whom the teammanager works) does not use PRINCE2, and in many cases, may not know much about it. This is not aproblem because this process provides a statement of the interface required between the team managerand PRINCE2 which is being used by the project manager.12
Work packagesIn PRINCE2, work should only be started once the project manager has authorized a work package.When a work package is accepted, the team manager also agrees to the tolerances set for it by the projectmanager. The team manager makes a (optional) team plan, which the project manager and/or seniorsupplier will authorize. Note: It may not be possible or appropriate for a project manager to authorize ateam plan for commercial reasons, in which case agreement about delivery dates and costs will suffice.Reporting progressTeam managers must provide the project manager with accurate progress information via checkpointreports. They will also maintain the interfaces (people and specialist products) identified in the workpackages.Once products are complete, the team gains their requisite approval from the authorities identified in theproduct description.EscalationNOTE: If a team manager forecasts a deviation beyond work package tolerance he/she raises a projectissue with the project manager (i.e. the team manager does not write an exception report).Closing a projectPurposeThe purpose is to provide a fixed point at which it is confirmed that acceptance for the project product hasbeen obtained, to review whether the objectives set out in the original project initiation documentation havebeen achieved and that there is nothing more for the project to do. [7]Objectives to verify user acceptance of the project’s products has been obtained - this requires that theproject’s acceptance criteria have been met to ensure the host site(s) is able to support the products when they go operational to review project’s performance against its baselines to assess any benefits already been realized, update the forecast for the remaining benefits,and plan for a review of all unrealized benefits to ensure provision has been made to address all open issues and risks with follow-on actionrecommendations13
Handover productsThe closing a project process is NOT a separate stage performed at the end of the project but is aprocess performed towards the final delivery stage (the controlling a stage and managing product deliveryprocesses are still being performed at this time). This process is where the physical handover of products tothe customer occurs (unless it has already happened), but the handover can only occur if acceptance hasbeen obtained.This process is triggered towards the end of the final stage, when all the work has nearly been completed.Closure activities should be planned and resourced when the stage plan for the final stage is created.Benefits of formal closureThis process also ensures there is a clear end to the project. This has several benefits to the customer: The operational regime can now take over the products from the project The project management team can be disbanded No more project costs should be incurred14
Follow-on actionsIt is common to find at the end of a project a number or things which perhaps were never completed – e.g.requests for change which never got implemented, or there might be operational risks. These are examplesof things which need to be documented in the form of follow-on action recommendations which formspart of the end project report.LessonsA lessons report is prepared, documenting both the good things and bad things which happened onthe project along with any associated recommendations for corporate management to address on futureprojects, or as part of business-as-usual.Notification to stakeholdersFinally, the project manager prepares a draft project closure notification and sends it to the project boardfor approval. After the project closure is authorized by the project board (in the directing a project process),the project is now history. All management products used during the project must be archived securely, incase an audit is performed at a later date.Moving into operational useSince the project has now finished, and the project management t
The other two - the PRINCE2 Principles and the PRINCE2 Themes - are available to download as ebooks. They are all based upon the 2017 version of PRINCE2. Background Processes in PRINCE2 are where the principles and themes of PRINCE2 are applied. The processes describe which role from
manual (chapter 19). It is now introduced in chapter 4 and is a constant throughout the manual: Tailoring and Adopting PRINCE2 (Chapter 4) I. Tailoring PRINCE2 –General considerations. II. Adopting PRINCE2 . III. Tailoring PRINCE2 to suit different projects. IV. Adopting PRINCE2
PRINCE2 Practitioner. He is also a PRINCE2 and Project Management trainer and coach and has written a number of PRINCE2 and Project Management related books. Frank is best known in the PRINCE2 world for his work in creating the most popular PRINCE2 Self Study training including: The PRINCE2 Fou
Scrum and Project Management trainer and coach and has written a number of PRINCE2 and Project Management related books. Frank is best known in the PRINCE2 world for his work in creating the most popular PRINCE2 Self Study training including: The PRINCE2 Foundation Training Manual and video course
The official PRINCE2 Manual for the Project Manager is an excellent reference manual but can be rather difficult to pick up and read if you are both new to project management or new to PRINCE2. How is the PRINCE2 Foundation Training Manual different from the official PRINCE2 manual?
THE PRINCE2 PROCESS LIFECYCLE PRINCE2 provides a process model for managing a project. The processes can easily be scaled and tailored to suit the requirements of any projects. They consist of a set of activities that are required to direct, manage and deliver a project. The PRINCE2 proce
Relationships between PRINCE2, the PMBOK Guide and ISO 21500 2.1 INTRODUCTION TO PRINCE2 PRINCE2 (PRojects IN Controlled Environments 2) is a process oriented project management method owned by AXELOS, the same organization that also owns PRINCE2 Agile, MOP , MSP , MOV , M_o_R ,
The PRINCE2 journey with agile How PRINCE2 may look in an agile context Please note the word ‘typically’ and ‘a way’ not ‘the way’ Tailoring PRINCE2 depends on the project context and may affect: –
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