The 7 Processes Processes and Activities Key Themes Techniques

(the projects chronological flow) Used* Used

Starting Up a Project (SU) Business Case Product-based
Starting Up a Project (SU) Appoint the Executive & the Project Manager Organization planning
There must be a basic business requirement that triggers a project. Capture previous lessons Quality
Risk
The question Do we have a worthwhile and viable project? needs to
be answered. This process seeks to clarify this question and sets up
Design and appoint the project mgt team
Prepare the outline Business Case
Plans
*All the Themes
Quick Reference Guide
an organization structure in readiness to manage the project throughout its Select the project approach and assemble apply to each process
to one degree or another.
life. The main outputs are the Project Brief and a plan for the first stage the Project Brief We are simply listing the
Themes which have the
(Initiation stage). Plan the initiation stage strongest link.

Initiating a Project (IP) Initiating a Project (IP)

Prepare the Risk Mgt Strategy
Business Case
Organization
Product-based
planning
A project needs planning and setting up properly. IP plans the project Risk Quality review
Prepare the Configuration Mgt Strategy
at high level and sets up all the strategies and controls. The main document Plans
Prepare the Quality Mgt Strategy Quality
for the project is created - this is called the Project Initiation Documentation, Prepare the Communication Mgt Strategy Progress
or PID. The PID forms the basis of a contract between the Project Board Set up the project controls Change
and the Project Manager and acts as a base document against which they Create the Project Plan
can assess progress, issues and ongoing viability questions. Refine the Business Case
Assemble a Project Initiation Documentation

Directing a Project (DP) Directing a Project (DP) Business Case N/A

The 7 Principles
This process is aimed at the directing level of management, that is the Progress
Authorize initiation Risk
Project Board. It enables them to be accountable for the projects success Authorize the project Change
(the guiding obligations)
by making key decisions and exercising overall control while delegating Authorize a Stage or Exception Plan PRINCE2 is principles-based.
day-to-day management of the project to the Project Manager. Give ad hoc direction The principles are the basis of what defines a PRINCE2 project.
Authorize project closure Principles facilitate good use of PRINCE2 by ensuring
Controlling a Stage (CS) Controlling a Stage (CS) Business Case Quality review
the method is not applied in an over prescriptive way
or in name only, but applied in a way that is sufficient
Once a decision has been made to proceed with work, and the Authorize a Work Package Progress
to contribute to project success.
Review Work Package status Risk
appropriate resources have been committed, the project management team If a project does not adhere to these 7 principles,
Change
must be focussed on delivering within the tolerances laid down. Receive completed Work Packages it is NOT being managed using PRINCE2:
Quality
This process describes the work of the Project Manager in handling the Review the stage status
day-to-day management of the project. Stage progress is monitored and Report highlights
any issues and risks captured and acted upon. It has close ties with the MP Capture and examine issues and risks *Continued business justification*
process which covers the development of the projects products. Escalate issues and risks
Take corrective action
*Learn from experience*
*Defined roles and responsibilities*
Managing Product Delivery (MP) Managing Product Delivery (MP)
Accept a Work Package
Plans
Risk
Product-based
planning *Manage by stages*
This process allows a controlled break between the Project Manager, Change Quality review
Execute a Work Package
Team Manager and the creation/provision of the products. The creation and
Deliver a Work Package Progress *Manage by exception*
quality checking and subsequent progress reporting of the specialist Quality
products related to each Work Package takes place in this process. *Focus on products*
Managing a Stage Boundary (SB) Managing a Stage Boundary (SB) Business Case Product-based *Tailor to suit the project environment*
Plan the next stage Organization planning
This process enables the Project Board to be provided with sufficient Update the Project Plan Risk
information by the Project Manager so that it can review the success of the Update the Business Case Plans
current stage, approve the next Stage Plan (or Exception Plan), review the Progress
Report stage end Quality
updated Project Plan and Business Case and confirm continued business Produce an Exception Plan
justification and acceptability of the risks.
Closing a Project (CP) Business Case N/A Project Management Ltd
Closing a Project (CP) Prepare planned closure
Prepare premature closure
Risk
Change
West Wing, Briggs House
One of the defining features of a project is that it is finite that is it has a 26 Commercial Road
Hand over products Progress
start and an end. Just as SU and IP ensure a controlled start to the project, Quality Poole, Dorset, BH14 OJR
Evaluate the project
this process ensures a controlled end. The final product is accepted,
Recommend project closure Tel: +44 1202 73 63 73
handed over to the customer and the projects performance is evaluated.
e-mail: info@spoce.com
PRINCE2 is a registered trademark of the Office of Government Commerce in the United web: www.spoce.com
Kingdom and other countries. The Swirl Logo is a trademark of the Office of Government HO0304_1v5 June 2010
Commerce SPOCE Project Management Ltd 2010
Created by Richard Lampitt of SPOCE Project Management Ltd
Elements, Organization, Risk and Business Case diagrams and some text portions are
Crown Copyright 2009. Reproduced under license from OGC. Feedback please to: richard@spoce.com Get your FREE copy here
 Change
The 7 Themes Every project should have a procedure to capture and manage issues and changes.
Plans & Progress Themes
PRINCE2 suggests 3 levels of plan: Project, Stage and Team levels. Progress controls allow
(the project management aspects to apply) The following diagram shows a typical procedure covering the capturing, examining, the project management team to monitor progress, compare achievement with the baselined
PRINCE2 contains 7 themes which are the aspects of project management which should deciding and implementing of issues. PRINCE2 has a procedure which follows this (approved) plan, review plans and options against future situations, detect problems, initiate
be continuously applied in order to ensure a project is to be managed effectively and path. Without such a procedure, a project can become unresponsive to its stakeholders corrective action, authorise further work and capture lessons based on actual performance.
professionally. The 7 themes are addressed in this section, as well as a little and quickly drift out of control, where unconsidered changes for example are Tolerance is a key control for the different management levels over what amount of deviation
guidance on tailoring. implemented, causing the projects scope to creep and subsequently increase the from the agreed plan is allowed before the plan is considered to be out of control. Most
project timescale and cost. Change control should be backed up by a configuration PRINCE2 controls are event-driven, including the decision making ones. Highlight Reports
Organization Theme management procedure. An effective change control procedure will help to assess the and Checkpoint Reports are time-driven controls, so called because they are required at
PRINCE2 offers an organization structure impact of issues on the projects objectives and which issues should/should not be timely intervals, e.g. every 2 weeks or every month. Stages are used for control purposes.
with defined roles and responsibilities which approved. In PRINCE2 there are two types of stages management and technical. Management
engages with the primary stakeholders of Decide and Implement stages are partitions of the project with management decision points. Each stage is reviewed
Identify and by the Project Board who approve them one at a time (at an end stage assessment). Stages
business, user and supplier. This ensures Capture/ Examine Approve by
propose are summarised in the following diagram. Management stages equate to commitment of
there is clear accountability for each level of assess impact (escalate if taking
options resources and authority to spend and only run in sequence. Technical stages are groups of
management (Directing, Managing and priority & on projects beyond necessary
to address specialist skills/activities required to create the specialist products and can run in parallel. A
Delivering) within the project. severity objectives delegated corrective
issue Management stage can have one or more technical stages within it and a technical stage
A Communication Management Strategy authority) action
should be produced which defines the can span one or more management stages. To show the true workload and related costs,
bi-directional flow of information required to Configuration management will ensure all the products being created/updated during plans should include the effort of creating and updating all the relevant products, not just
be sent/received by the project and include the project are uniquely identified, version controlled, tracked and protected, and any
any external stakeholders. Without an changes made to the products are carried out in a controlled manner, ensuring the Technical Stages
PID
effective project management team structure change is tracked and old versions are never discarded. Why a product had changed
can be answered by an effective configuration management system. Specification
and a strategy for effective communication,
Design
a project is likely to fail. The project management Risk Theme
team and communication strategy should be Build
Project management must control and contain
reviewed and updated, typically at each stage end, Test
to ensure it remains effective throughout the project. any uncertain events (risks) if a project is to
achieve its objectives. This included both threats Implement
Business Case Theme and opportunities. Details about risks have to be Implement Identify
End-Stage
Assessments
regularly revisited and reconsidered, -Context (Project Board
The business justification is the reason for the project. Without it no project should start. If the -Risks Decision Points)
as a minimum at each stage end. The
business justification disappears once the project is underway, the project should be stopped
or changed. The business justification is documented in the Business Case and supports the management of risk is a continuous Management Stages
ongoing decision-making regarding (continued) justification. The Business Case contains: procedure shown by the adjacent diagram.
A Risk Management Strategy should be Communicate the specialist products but management products as well, e.g. Highlight Reports, End Stage
Reasons, Business Options, Benefits/Dis-benefits, Key Risks, Costs, Timescales and
Investment Appraisal. The Business Case should be at the centre of any impact assessment produced based on the projects context. Reports etc. The following section gives more detail about products
of issues and risks and if the impact is too great, the Executive may choose to stop the project, Each identified risk should be assessed for
probability/impact and its proximity, then
Products (Management & Specialist)
or not authorize implementation of a request for change. The Business Case drives the
decision-making processes throughout the project. The benefits will be defined by the Senior appropriate risk mitigation responses should be A product is an input or output of the project, whether tangible or intangible. In PRINCE2
Plan Assess
User(s), who will be held to account by Corporate or Programme Management for providing planned and implemented with suitable risk -Estimate
there are two types of product management and specialist. Management products are
evidence that those benefits have been realized. The Business Case should show the right owners assigned to manage each risk. The
-Evaluate the products that are produced/updated to assist with the managing of the project. The
balance of costs, benefits/dis-benefits and risks. The following diagram shows where, in a following is a list of the main PRINCE2 management products which have outline
communication of risks should be carried out in
PRINCE2 project, the Business Case is developed, maintained & verified and when descriptions in Appendix A of the PRINCE2 manual:
parallel with all other steps.
confirmation of the realization of benefits is likely to happen. A.1 Benefits Review Plan A.17 Product Description
Confirm Confirm Confirm
Quality Theme A.2 Business Case A.18 Product Status Account
benefit benefit benefit PRINCE2 ensures the products A.3 Checkpoint Report A.19 Project Brief
Project Product
will meet business expectations A.4 Communication Management Strategy A.20 Project Initiation Documentation
Description
and enable the desired benefits Customers quality expectations/ A.5 Configuration Item Records A.21 Project Product Description
Pre-project Initiation stage Subsequent delivery stage(s) Final delivery stage Post-project to be achieved. A set of activities acceptance criteria; quality tolerances A.6 Configuration Management Strategy A.22 Quality Management Strategy
are followed to ensure the final and acceptance methods A.7 Daily Log A.23 Quality Register
product and its quality requirements/ A.8 End Project Report A.24 Risk Management Strategy
Verify Verify Verify
acceptance criteria, the scope of A.9 End Stage Report A.25 Risk Register
outline detailed updated what the project will deliver and the Quality Management A.10 Exception Report A.26 Work Package
Business Case Business Case Business Case quality criteria for each product to be Strategy A.11 Highlight Report
(Standards, responsibilities,
Develop Business Case Maintain Business Case
delivered within scope are clearly quality methods etc to be A.12 Issue Register
understood. A Quality Management applied throughout project) A.13 Issue Report
Strategy is developed to show how A.14 Lessons Log
The expected benefits are documented in the Business Case, but a Benefits Review Plan is
the project will ensure the agreed A.15 Lessons Report
created and used to show how, when and by whom a measurement of the projects benefits Stage Plan Product Descriptions
quality will be delivered. Sufficient Part of A.16 Plan (Project, Stage, Team or Exception)
can be made. Many benefits are not realized until after the project product has been in Quality method dates Quality criteria
quality controls are planned and
operational use for some time, however some benefits may be realized during the project. planned Quality tolerances Specialist products these are unique to your project. They equate to the specialist work
executed to make sure each product and Quality methods
Benefit reviews both during and after the project are covered by the Benefits Review Plan. involved to create the physical end product (i.e. if a car was the end product of your project,
does indeed meet its specific quality resources assigned Quality skills required
The Benefits Review Plan will also contain details of how a measurement of the products the specialist products would be the designs, bonnet, boot, doors, wheels, engine etc which
requirements, as detailed in its
performance will be made in operational life to see if there were any unexpected side-effects, would have Product Description produced for them and of course the final product itself
Product Description. A quality control
either positive or negative. For example, the product may have generated an unexpected the car, which would be described in the Project Product Description). They are the products
technique covered by PRINCE2 is the Quality Register
outcome and additional benefits, or may have underperformed against business expectations. (outputs) from the project which the business will use to generate the outcomes and
quality review, which is an effective Details of planned and
consequential benefits. The benefits of the project should be mapped to the specialist
way of checking finished products, actuals of all quality
Tailoring of PRINCE2 typically documents, where there is cyclical checks/controls products. If a product can not be mapped to a benefit, then the question should be asked
Another element of PRINCE2 is Tailoring to the project environment. To get the most for each whether the product is required and is perhaps outside of the scope. The scope of a plan is
some subjectiveness and professional
out of PRINCE2, you should tailor the method to suit the size, complexity and nature of stage shown by the products on the related product breakdown structure, backed up by the
judgement is required. Once all products
your project. All the 7 process activities should be followed and the 7 principles applied, Product Descriptions. A principle of PRINCE2 is that a project should focus on product and
have been developed and all criteria Products created and quality checked as
however Themes can be adapted, for example roles can be combined, management defined in each Work Package
the quality of those products. The creation of Product Descriptions and inclusion of quality
have been confirmed as being met,
products adapted to suit specific information requirements and reporting can be done control activities within the relevant plan helps to achieve this. The end result is the delivery
the customer will give final acceptance
verbally. Adapt the method to make PRINCE2 work effectively for you and your projects. Final approval at closure of products that are fit for purpose and capable of delivering the expected business benefits.
at project closure.