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Ken Bradley’s Understanding PRINCE 2® PRINCE is a Registered Trademark of CCTA
Ken Bradley’s Understanding PRINCE 2 ISBN 1 902192 00 1 Published by: SPOCE Project Management Limited Homelife House Oxford Road Bournemouth, Dorset BH8 8EZ Telephone & Fax: 01202-780740 Switchboard: 01202-319987 E-Mail: enquiries@spoce.com Information: www.spoce.com PRINCE is a Registered Trademark of CCTA © Ken Bradley 1997 First Published October 1997 Revised and reprinted February 1999 All rights reserved by the copyright holder and the licensee. No part of this publication may be reproduced in any material form (including photocopying and/or storage in any medium by electronic means and whether or not transiently or incidentally to some other use of this publication) without the written permission of the copyright holder identified above, except in accordance with the provisions of the Copyright Designs and Patents Act 1988. Applications for the copyright holder’s written permission to reproduce any part of this publication should be addressed to the publisher at the address above. 2
Ken Bradley’s Understanding PRINCE 2 Dedication This book is dedicated to the many clients and friends who over the past two decades have put their trust and key projects into my hands, often for just the first few critical weeks of life and sometimes for support from cradle to grave. Thanks also go to the “SPOCETTES” Carol and Livia who have used their charm and charisma to ensure that this project was delivered on time, to the agreed plan and only marginally over budget! Ken Bradley What Others Say About This Book “An excellent companion to the CCTA PRINCE 2 Reference Manual. The many clear diagrams and supporting text answer the questions What should I do now? – and Why?” Martin Shepherd ICL HR Consultancy “This book provides a comprehensive and practical exposition of the PRINCE 2 Method and truly lives up to its title. Ken Bradley’s practical experience of managing projects, together with his understanding of the needs of Project Managers, whether new to the profession or old hands, gleaned from many years of providing consultancy and training is evident through the techniques and best practice tips that abound in this publication.” Dave Rose, Principal Consultant Project Management Devon IT Services 3
Ken Bradley’s Understanding PRINCE 2 LIST OF CONTENTS Foreword ................................................................................................................................... 13 Who This Publication Is Intended For ......................................................................................... 13 Origins Of The PRINCE 2 Method .............................................................................................. 17 The PROMPT Methodology ........................................................................................................ 17 Government PROMPT................................................................................................................ 17 The Standard PROMPT Lifecycle ............................................................................................... 18 PROMPT Organisation - Stage Managers................................................................................... 18 PROMPT Planning..................................................................................................................... 19 The Enhancement Project And PRINCE...................................................................................... 19 PRINCE 2 And Other Developments ........................................................................................... 20 Introduction To PRINCE 2.......................................................................................................... 25 Benefits Of PRINCE 2 ................................................................................................................ 25 The Structure Of A PRINCE 2 Project......................................................................................... 26 The Key Elements Contained In PRINCE 2 ................................................................................. 28 The PRINCE 2 Processes............................................................................................................ 29 The PRINCE 2 Components:....................................................................................................... 30 The PRINCE 2 Techniques.......................................................................................................... 32 The Organisation Component ..................................................................................................... 33 The Project Board ...................................................................................................................... 34 The Project Manager.................................................................................................................. 35 The Team Manager..................................................................................................................... 35 Project Resources And (Specialist) Teams................................................................................... 36 Project Assurance....................................................................................................................... 36 Project Support .......................................................................................................................... 37 The Project Support Office.......................................................................................................... 37 Summary Of The Organisation Component ................................................................................. 37 5
Ken Bradley’s Understanding PRINCE 2 PRINCE 2 Planning.................................................................................................................... 38 Products Or Deliverables And Related Activities........................................................................ 38 Planning For The Delivery Of Specialist Products ...................................................................... 40 Resource Planning & Reporting.................................................................................................. 41 Quality Planning -BS/EN/ISO9001 ............................................................................................. 42 Tolerance And Planning ............................................................................................................. 43 The Controls Component ............................................................................................................ 44 Management Controls ................................................................................................................ 44 Project Initiation ........................................................................................................................ 44 End Stage Assessment (ESA)....................................................................................................... 45 Mid Stage Assessment (MSA) ...................................................................................................... 45 Tolerance ................................................................................................................................... 46 Project Closure .......................................................................................................................... 47 Highlight Reports ....................................................................................................................... 48 Stages......................................................................................................................................... 48 Business Benefits And Risk Management..................................................................................... 49 Planning For Quality.................................................................................................................. 50 Quality Controls - Quality Review............................................................................................... 50 Change Control.......................................................................................................................... 52 Configuration Management ........................................................................................................ 52 Filing Arrangements................................................................................................................... 53 Software Support For PRINCE 2 ................................................................................................ 53 Following This Introduction........................................................................................................ 54 PRINCE 2 Organisation - Introduction ....................................................................................... 57 Responsibilities In A PRINCE 2 Controlled Project.................................................................... 58 The Project Board ...................................................................................................................... 58 The Executive Role ..................................................................................................................... 59 The Senior User Role.................................................................................................................. 59 6
Ken Bradley’s Understanding PRINCE 2 The Senior Supplier Role ............................................................................................................ 59 Responsibilities Of The Project Board Members.......................................................................... 59 The Project Assurance Function ................................................................................................. 60 Delegation Of Day-To-Day Project Assurance ............................................................................ 61 The Project Manager.................................................................................................................. 61 Team Manager(s) ....................................................................................................................... 62 Responsibilities Of The Team Manager....................................................................................... 63 Team Managers And Technical Stages ........................................................................................ 64 Project Support .......................................................................................................................... 64 Customer:Supplier Environment ................................................................................................. 65 Developments On The PRINCE 2 Theme..................................................................................... 66 The Supplier Project Board ........................................................................................................ 67 Customer: Supplier Steering/Co-Ordinating Group..................................................................... 68 Customer: Supplier Project Manager.......................................................................................... 69 Customer:Supplier - Project Support .......................................................................................... 69 Organising The Managing Of Programmes................................................................................. 69 Programme Board, Programme Manager & Programme Support ............................................... 70 User/Customer Group In A Programme Context ......................................................................... 71 Individual Project Boards In A Programme Context.................................................................... 71 Project Support & Programme Assurance................................................................................... 71 Programme And Project Resources............................................................................................. 72 Other Structures Based On PRINCE 2 ........................................................................................ 72 PRINCE 2 Organisation - Summary........................................................................................... 74 Planning - Introduction & Overview ........................................................................................... 76 Project Level Plans..................................................................................................................... 77 Product Breakdown Structure ..................................................................................................... 78 Product Flow Diagram ............................................................................................................... 80 PERT Network............................................................................................................................ 81 7
Ken Bradley’s Understanding PRINCE 2 The PERT Logic Network & The Timed Network......................................................................... 81 Earliest Start Gantt Plan ............................................................................................................ 82 Resource Smoothing ................................................................................................................... 82 Project Gantt Plan...................................................................................................................... 84 Project Resource Reporting ........................................................................................................ 84 Graphical Summary.................................................................................................................... 85 Earned Value Analysis................................................................................................................ 86 Risk Analysis .............................................................................................................................. 87 Measuring The Business Benefits ................................................................................................ 88 Project Plan Text........................................................................................................................ 89 Management Stage Plans............................................................................................................ 89 Team Plans ................................................................................................................................ 91 Individual Plans ......................................................................................................................... 91 PRINCE 2 Planning - Summary .................................................................................................. 91 Introduction To Controls ............................................................................................................ 94 Management Controls ................................................................................................................ 94 The Project Initiation Meeting .................................................................................................... 95 Project Initiation & The Project Initiation Document (PID) ........................................................ 96 End Stage Assessment (ESA)....................................................................................................... 96 Attendees At An End Stage Assessment........................................................................................ 97 End Stage Assessment Agenda .................................................................................................... 97 Mid Stage Assessment (MSA) ...................................................................................................... 98 Tolerance ................................................................................................................................... 99 Project Closure ........................................................................................................................ 102 Highlight Reports ..................................................................................................................... 102 Checkpoint Reports .................................................................................................................. 103 Stages....................................................................................................................................... 103 Management & Technical Stages .............................................................................................. 107 8
Ken Bradley’s Understanding PRINCE 2 Management Stages.................................................................................................................. 108 Updating The Business Case..................................................................................................... 108 Technical Stages....................................................................................................................... 109 Handling The End Of A Management Stage .............................................................................. 109 Stages - Summary ..................................................................................................................... 110 Risk Management - Introduction ............................................................................................... 113 Risk Ranges & Risk Factors...................................................................................................... 114 Updating The Risk Analysis ...................................................................................................... 115 Modifying The Risk Analysis Checklist ...................................................................................... 116 PRINCE 2 &BS/EN/ISO9001.................................................................................................... 123 Quality Management ................................................................................................................ 123 Customer Quality Expectations................................................................................................. 124 Quality Aspects For Suppliers & Sub-Contractors..................................................................... 124 Quality Management - Summary............................................................................................... 125 Configuration Management - Introduction ................................................................................ 129 Configuration Management Techniques .................................................................................... 129 CM Activities............................................................................................................................ 130 Change Control - Introduction.................................................................................................. 135 Project Issue............................................................................................................................. 135 Off Specifications ..................................................................................................................... 136 Request For Change ................................................................................................................. 136 Change Control Forms And Documentation.............................................................................. 136 Change Control - Summary ...................................................................................................... 137 Introduction To Processes ......................................................................................................... 141 The Processes........................................................................................................................... 141 The PRINCE 2 Process Model .................................................................................................. 142 Major Processes And Processes ................................................................................................ 143 Structure Of The Individual Process Models.............................................................................. 145 9
Ken Bradley’s Understanding PRINCE 2 Individual Process Summary Models........................................................................................ 147 Starting Up A Project (SU) - Introduction ................................................................................. 151 SU1 - Appointment Of A Project Board Executive And A Project Manager ................................ 152 SU2 & SU3 - The Project Management Team ............................................................................ 153 SU5 - The Project Approach: .................................................................................................... 156 SU6 - The Initiation Stage Plan................................................................................................. 157 Starting Up A Project - Summary .............................................................................................. 158 Initiating A Project (IP) - Introduction ...................................................................................... 163 The Project Initiation Document ............................................................................................... 163 IP1 - Planning For Quality ....................................................................................................... 165 IP2 - Planning A Project........................................................................................................... 166 IP3 - Refining The Business Case & Risks................................................................................. 168 IP4 - Setting Up Project Controls.............................................................................................. 169 Project Board Controls ............................................................................................................. 169 Project Manager/Team Controls: .............................................................................................. 170 IP5 - Set Up Project Files ......................................................................................................... 171 IP6 - Assembling The Project Initiation Document .................................................................... 173 Approach To Assembling Or Producing The PID....................................................................... 174 Initiating A Project (IP) - Summary........................................................................................... 175 Directing A Project (DP) - Introduction .................................................................................... 181 Management By Exception........................................................................................................ 182 DP1 – Authorising Initiation..................................................................................................... 183 DP2 – Authorising A Project..................................................................................................... 184 DP3 – Authorising A Stage Or Exception Plan.......................................................................... 185 Approval Of Exception Plans .................................................................................................... 186 DP4 – Giving Ad-Hoc Direction ............................................................................................... 188 DP5 – Confirming Project Closure............................................................................................ 189 Summary Of The DP Process .................................................................................................... 191 10
Ken Bradley’s Understanding PRINCE 2 Controlling A Stage (CS) - Introduction .................................................................................... 197 CS1 – Authorising A Work Package .......................................................................................... 199 CS2 – Assessing Progress ......................................................................................................... 200 CS3 - Capturing Project Issues ................................................................................................. 202 CS4 - Examining Project Issues ................................................................................................ 203 CS5 - Reviewing Stage Status.................................................................................................... 204 CS6 - Reporting Highlights....................................................................................................... 205 CS7 - Taking Corrective Action ................................................................................................ 207 CS8 - Escalating Project Issues................................................................................................. 208 CS9 - Receiving A Completed Work Package ............................................................................ 209 Summary Of The Controlling A Stage Process........................................................................... 210 Managing Product Delivery (MP) - Introduction ....................................................................... 215 MP1 - Accepting A Work Package............................................................................................. 217 MP2 - Executing A Work Package............................................................................................. 218 MP3 - Delivering A Work Package............................................................................................ 219 Managing Stage Boundaries (SB) - Introduction ....................................................................... 223 Exception Plans........................................................................................................................ 224 SB1 - Planning A Stage............................................................................................................. 225 SB2 - Updating A Project Plan ................................................................................................. 226 SB3 - Updating A Project Business Case................................................................................... 227 SB4 -Updating The Risk Log..................................................................................................... 228 SB5 - Reporting Stage End........................................................................................................ 229 SB6 - Producing An Exception Plan.......................................................................................... 231 Summary Of The Managing Stage Boundaries Process.............................................................. 232 Closing A Project (CP) - Introduction ....................................................................................... 237 CP1 - Decommissioning A Project ............................................................................................ 239 CP2 - Identifying Follow-On Actions ........................................................................................ 241 CP3 – Project Evaluation Review............................................................................................. 242 11
Ken Bradley’s Understanding PRINCE 2 Summary Of The Closing A Project Process.............................................................................. 243 Planning (PL) - Introduction.................................................................................................... 247 PL1 - Designing A Plan ............................................................................................................ 249 PL2 - Identifying, Defining And Analysing Products.................................................................. 250 PL3 - Identifying Activities And Dependencies .......................................................................... 252 PL4 - Estimating....................................................................................................................... 253 PL5 - Scheduling ...................................................................................................................... 254 PL6 - Analysing Risks............................................................................................................... 255 PL7 - Completing A Plan.......................................................................................................... 256 Summary Of The Planning (PL) Process ................................................................................... 257 PRINCE 2 Filing Technique - Introduction ............................................................................... 261 The Management File ............................................................................................................... 261 Physical Filing Considerations ................................................................................................. 266 Quality Review Technique - Introduction .................................................................................. 269 Quality Assurance And Quality Control .................................................................................... 269 What Is A Quality Review?........................................................................................................ 269 Quality Reviews - Formal And Informal .................................................................................... 270 People Involved ........................................................................................................................ 270 The Quality Review Steps......................................................................................................... 271 Step 1 - Preparation ................................................................................................................. 271 Step 2 - The Review Meeting .................................................................................................... 272 Step 3 - Follow-Up Of Review Meeting ..................................................................................... 273 Summary Of The Quality Review Technique.............................................................................. 274 Index ........................................................................................................................................ 277 12
Ken Bradley’s Understanding PRINCE 2 FOREWORD This publication is based on the PRINCE 2 Project Management Methodology. It has been produced to help anybody involved in a PRINCE 2 controlled project to understand the approaches used in the Method. This re-print incorporates the additional material included in the new manual – “Managing Successful Projects with PRINCE 2” published in October 1998. The book aims to fill the gaps present in the PRINCE 2 Method – in order to do this certain assumptions have been made and these are based upon my own experience and understanding of the practical use of PRINCE. I hope you will not only find this publication of practical use in managing your projects but will also enjoy reading and learning from it. If you have any questions or observations about the content of this publication, please contact me at SPOCE Project Management Limited direct at (UK +44) 01202-780740 (Telephone & fax) or E-Mail KGB@spoce.com Ken Bradley February 1999 Who This Publication Is Intended For PRINCE 2 is the UK Government standard for managing large projects and has been widely adopted as the standard for project management for all types of projects within the private and public sectors. PRINCE 2 was officially launched on 1 October 1996. The book is aimed at Project Managers, project management staff, and anyone needing to organise, plan and control an undertaking using a structured project management approach. Although primarily a summary and interpretation of the PRINCE 2 project management method, this publication provides an excellent start point for anyone wishing to understand the principles and use of structured project management in any activity. It is also an invaluable aid for anyone wishing to take the CCTA/APMG PRINCE 2 examinations. 13
Ken Bradley’s Understanding PRINCE 2 Chapter 1 UNDERSTANDING THE BACKGROUND TO THE PRINCE METHODOLOGY 15
Ken Bradley’s Understanding PRINCE 2 Origins of the PRINCE 2 Method The PRINCE Methodology is a development of the PROMPT Methodology (Project Resource Organisation Management Planning Technique) originally formulated in the mid 1970s. A private sector company, Simpact Systems Limited, evolved the PROMPT Methodology to provide a suitable framework within which to manage the strategy, feasibility study, development and support of Information Technology systems through a structured project management approach. The PROMPT Methodology The PROMPT Methodology comprised five major components: ♦ PROMPT I - Strategic Planning ♦ PROMPT II - System Development ♦ PROMPT III - Operations, Maintenance and Enhancement ♦ QSTAR Quality Assurance ♦ PROMPT Software Support Tools (The PROMPT Aids). Government PROMPT In the early 1980s, the UK Government published a requirement for a project management method to improve the management and control of government IT projects. Many different methods were proposed and evaluated, and the contract to license the use of the Method was awarded to Simpact Systems Limited. CCTA (Central Computer and Telecommunications Agency) acting for the UK Government commissioned some changes in the basic methodology. Chief amongst these was the incorporation of the quality assurance aspects into the PROMPT II Methodology to provide a product that was to become referred to as “Government PROMPT”. Although CCTA licensed all the PROMPT Methodology, PROMPT II was the only element fully implemented. The belief was that Government Departments were already well supported in the production of strategic plans, and that maintenance and enhancement aspects would be easily handled providing development systems were properly supported by development and quality assurance documentation. PROMPT II was therefore considered to be the key ingredient for success. Government PROMPT, incorporating PROMPT II principles only was introduced into the major UK Government Departments in Spring 1983. 17
Ken Bradley’s Understanding PRINCE 2 The Standard PROMPT Lifecycle Government PROMPT had a number of deficiencies from the start; for instance, a pre- defined lifecycle provided the backbone for a PROMPT II project, but this caused some problems with its view that IT projects broke down into standard stages of work addressing Initiation, Specification, Design, Development, Installation, and Operation. Many projects did not conform to this formula and inconsistencies were encountered. Initiation Specification Design Development Installation Operation The PROMPT II “Planning” Stages The PROMPT II “Action” Stages Figure 1: The PROMPT Standard Six Stage Lifecycle PROMPT Organisation - Stage Managers The PROMPT II Method made no mention of Project Managers, instead relying on a series of Stage Managers, each responsible for a pre-defined stage within the standard six stage lifecycle. The philosophy was that this left the way open to appoint the most appropriate individual to manage each Stage of the project. The Specification Stage managed by a User/Customer, the Design Stage by a Designer/Analyst, the Development Stage by a Technical Programmer and the Installation and Operation Stages by User/Customers. The Initiation Stage was typically managed by someone with sufficient technical expertise to understand and plan the whole of the project. 18
Ken Bradley’s Understanding PRINCE 2 Senior Management - Strategic Direction The Project Board Senior User Senior Technical Executive Assurance Stage 2 Manager Stage 4 Manager Stage 6 Manager Specification Development Operation Stage 1 Manager Stage 3 Manager Stage 5 Manager Initiation Design Installation Work Direction Administrative Support Project Assurance Team Project Resources & Development Teams * Business Assurance Co-ordinator * Technical Assurance Co-ordinator * User Assurance Co-ordinator Figure 2: The PROMPT Organisation Structure PROMPT Planning The Government PROMPT Methodology also made no mention or use of Critical Path Analysis, which was used extensively in major projects. In practice these omissions did not cause real problems as training courses and consultancy support filled the gaps. However the methodology was perceived as being not quite complete, or indeed, relevant to many projects. The Enhancement Project and PRINCE During 1987, CCTA determined to update the Methodology by reflecting the actual usage of PROMPT II and by introducing modern project management ideas. These elements were Product-based planning, formal Project Initiation procedures, a Project Manager role, sharper focus on Quality Management, and Open Life-cycle planning. Leading consultancy companies in project and quality management were contracted to work with the PROMPT User Group and CCTA to incorporate the changes. 19
Ken Bradley’s Understanding PRINCE 2 CCTA were keen to place the enhanced method into the public domain, as an open method, in order to enable suppliers of major IT systems (and their component parts) to adhere to consistent standards when fulfilling UK Government contracts. The overall objective was to provide a high-level of consistency throughout government projects and to improve project management generally. Meanwhile, LBMS (Learmonth & Burchett Management Systems) a major management consultancy company, who had developed SSADM (Structured Systems Analysis and Design Methodology) under a CCTA contract, had acquired the PROMPT products and name from Simpact Systems (which had ceased its commercial operations) and was licensing the methodology successfully to the public and private sectors. LBMS obviously could not agree to an enhanced version of PROMPT II being placed in the public domain in direct competition with their own proprietary method, and negotiations provided that the enhanced method be re-named PRINCE (Projects in Controlled Environments) to meet this point. PRINCE was introduced in April 1989 with full documentation and formal entry into the public domain in January 1990. The PRINCE Methodology is now the UK Government Standard for managing major projects. It has been widely adopted by private sector companies both for use in government projects, and in many cases for their own internal use. CCTA, with its collaborative partners (The Association for Project Management Group, IBM UK Limited, and The Stationery Office) continues to pursue the acceptance of PRINCE as “best practice” project management within the UK, Europe and worldwide. PRINCE 2 and Other Developments PRINCE 2 has now been developed, funded by CCTA and following extensive consultation with users and organisations over a two year period. PRINCE 2 is “Process- driven” (ie “what” and “why” but little in the way of “how”) addresses a wider base of projects (IT and non-IT), Programmes of Work, Smaller Projects, Customer:Supplier: issues and introduces changes to the PRINCE version 1 Organisation component. PRINCE 2 was formally launched by CCTA in London on 1 October 1996. CCTA are working in collaborative partnership with a number of organisations (IBM (UK), The Stationery Office and the Association for Project Management Group) to promote PRINCE. One of the partners, IBM (UK) Limited, has developed a software support product based on their existing Process Integrator application, which provides a full PRINCE 2 Environment, enabling the launch of specific software for planning, word- processing and other office applications. The package is particularly useful for managing the myriad of project documentation that has to be created, updated, tracked and managed during the life of a project. With PRINCE 2, CCTA has launched an accreditation and certification scheme providing a vehicle for assuring users of PRINCE 2 that training and consultancy providers are registered as competent and that training courses reflect a common syllabus with examinations and certification at its conclusion. 20
Ken Bradley’s Understanding PRINCE 2 CCTA continue to support and develop the PRINCE 2 Method and a contribution is levied from all those taking the APM Group Professional Examinations and registering as trained PRINCE 2 Practitioners. Future plans include companion volumes covering the “softer” aspects of project management (leadership, delegation, appraisal etc) and Programme Management, Risk Management, including examinations on these topics. Further information can be obtained from CCTA Information Services on telephone: (UK +44) (0)1603 704787 21
Ken Bradley’s Understanding PRINCE 2 Chapter 2 UNDERSTANDING THE BASICS 23
Ken Bradley’s Understanding PRINCE 2 Introduction to PRINCE 2 PRINCE (PRojects IN Controlled Environments) is a structured method for effective management of any size or type of project. It is the standard method for use in UK Government Departments and is widely used in the private sector, NHS and Local Government. A growing number of overseas Governments and multi-national companies have adopted the method, or integrated it within their existing project management approaches. The Method is being promoted actively by the APM Group (APMG) as a “Best Practice” project management approach. Benefits of PRINCE 2 There are a number of benefits to be gained from introducing and using a structured approach to project management; among the benefits of using PRINCE 2 are that it: ♦ identifies management, technical (specialist) and quality Products or Deliverables and helps ensure that they are produced on time and to budget; ♦ focuses attention on the quality of Products or Deliverables; ♦ separates the management and technical/specialist aspects of Organisation, Planning and Control; ♦ facilitates control at all levels; ♦ makes the project’s progress more visible to management; ♦ provides a communication medium for all staff working on the project; ♦ ensures that work progresses in the correct sequence; ♦ involves senior management in the project at the right time and in the right place; ♦ allows the project to be stopped and, if required, re-started completely under management control, at any time in the project’s life; ♦ is in the Public Domain and requires no license fee; ♦ has a well established User Group dedicated to the support, promotion and strengthening of the method. 25
Ken Bradley’s Understanding PRINCE 2 The Structure Of A PRINCE 2 Project Within a PRINCE 2 project environment, each project which is undertaken must: ♦ address all the processes concerned with establishing an effective project management environment; ♦ have a stated business case indicating the benefits and risks of the venture; ♦ demonstrate a properly defined and unique set of Products or Deliverables; ♦ have a corresponding set of activities to construct the Products or Deliverables; ♦ identify appropriate resources to undertake the activities; ♦ have a finite life-span; suitable arrangements for control; ♦ identify an organisation structure with defined responsibilities; ♦ include a set of Processes with associated techniques which will help plan and control the project and bring it to a successful conclusion. A PRINCE 2 project is divided into a number of Management Stages, each forming a distinct unit for management purposes. Like the project, a Stage is driven by a series of Processes, has a defined set of products and activities, a finite life-span, control elements, and an organisational structure. The delivery of these products, to the agreed quality standards, marks the completion of the Management Stage. PRINCE 2 defines: ♦ the organisation of the project and its stages; ♦ the processes which drive the undertaking; ♦ the structure and content of the project plans; ♦ basic project management techniques; ♦ a set of controls which ensure that the project is proceeding to plan. These, together with the products of the project and the activities which produce them, the project business case, all encompassed within a Quality Management framework, make up the PRINCE 2 environment. All products of a PRINCE 2 project are filed within a defined structure - the "Configuration". Management, Specialist and Quality Products are identified and filed separately. The PRINCE 2 framework provides the flexibility to set stage boundaries which are appropriate to the needs of the project. Management Stage boundaries are chosen according to: 26
Ken Bradley’s Understanding PRINCE 2 ♦ the sequence of production of Products/Deliverables; ♦ the grouping of Products into self-contained sets or associated Processes; ♦ natural decision points for review and commitment of resources; ♦ the risks and business sensitivity of the project; ♦ the completion of one or more discrete Processes. The project stages correspond to the steps in the natural project life-cycle towards the eventual outcome. Thus the stage boundaries are normally defined to correspond to the completion of the major Products to be built and key decisions concerning commitment of resources that need to be made. Whatever the nature of the project, it is advisable to define one or more planning and/or definition processes in the early part of the project's life. PRINCE 2 provides two Processes to cater for this - “Starting Up A Project (SU)” (where the early foundations for decision support are laid) and “Initiating A Project (IP)” (where senior management are invited to commit to the undertaking and a baseline is produced. The project is triggered by a “Project Mandate” which might take any form from an informal request by a sponsor to a formal recommendation from a report. PRINCE 2 recognises that few projects will be undertaken entirely in isolation. The outputs from one project may be used as input by another project. There may be other dependencies between projects, such as the use of shared resources. PRINCE 2, therefore, provides a mechanism for defining the boundary of a project and its relationship to other projects. A high-level context diagram is a useful mechanism for defining these relationships. Key User Groups Current System Business Processes Cleaned Data The Project Under Development Bullet List of the Main Functions to be produced, developed or bought-in Information Parts Requisitions MIS Project Central Logistics Project Figure 3: Scoping Diagram showing Inputs and Outputs for the Project The Scoping Diagram illustrated above is particularly useful when planning and managing a Programme of Work where individual projects inter-relate with each other and it is necessary to ensure that expected outputs from individual projects are anticipated and planned for. When all individual project Context Diagrams are assembled to complete the 27
Ken Bradley’s Understanding PRINCE 2 programme “jigsaw” it will be apparent which outputs and inputs do not match, and appropriate action can be taken by the Programme Director/Manager. The Key Elements Contained In PRINCE 2 To understand the content of the PRINCE 2 Project Management Method, the following model showing the key elements should be studied: ORGANISATION STANDARDS & APPROACHES; BUSINESS STANDARDS & ETHICS QUALITY MANAGEMENT SYSTEM (QMS) (ISO9001) TECHNIQUES COMPONENTS PROCESSES * Product-Based Planning * Organisation * Starting Up A Project (SU) - Product Breakdown - Structure & Role Descriptions - Product Description * Initiating A Project (IP) - Product Flow Diagram * Planning - Products, Activities, Resources * Directing A Project (DP) * Quality Reviews * Controls * Controlling A Stage (CS) - Preparation, Review, - Management, Team, Quality Follow-up * Managing Product Delivery (MP) * Stages - Management & Technical Stages * Managing Stage Boundaries (SB) * Change Control - Capture, Logging, * Management of Risk * Closing A Project (CP) Assessment, Decision - Risk Assessment & Management * Planning (PL) * Quality in a Project Environment * Project Filing Structure - Quality Requirements & Response - Management File THE BUSINESS CASE - Specialist File * Configuration Management * Business Benefits - Quality File - Tracking Products & Documentation + Existing Organisation * Change Control RISK MANAGEMENT Techniques already used - Capture & Assessment * Risk Analysis & Actions within the host organisation * Risk Management PRINCE 2 SOFTWARE SUPPORT ENVIRONMENT EXPERIENCE, BEST PRACTICE, COMMONSENSE Figure 4: Summary Model of the PRINCE 2 Method The PRINCE 2 methodology applies three key elements to each project and to the Management Stages within a project. These are summarised in the above Model and described, briefly, in the following tables. The three elements are the Processes which drive the project management, Components and Techniques, which are used by each of the Processes to effect the management of the project. 28
Ken Bradley’s Understanding PRINCE 2 The PRINCE 2 Processes DESCRIPTION REF EXPLANATION Starting Up A Project SU Establishes the Objectives and Approach to the Project; Set up the Project Management Team; Plans for the Initiation Process. This is a pre- project Process, which looks to answer the question “do we have a worthwhile and viable project?” before asking for commitment of resources to set up a project environment. Initiating A Project IP Plans the whole Project in terms of its Products, Activities, Resource Usage and Quality; Sets the baseline for the Business Benefits & Risks. Directing A Project DP Provides Authorisation for work to be carried out and Resources to be committed. Authorisation for Project Initiation and Project Closure and, in some cases, its premature termination. The Process is “owned” by the Project Board – the ultimate authority for the Project - accountable for its overall success. Controlling A Stage CS The basic day-to-day project management Process - authorising work to create or change Products (or Deliverables), collecting and reflecting “actuals”, assessing progress and reporting to senior management. Capturing proposed changes and errors and escalating these, where appropriate to management. Managing Product Delivery MP The main “workshop” for the project where the majority of resources are consumed. This Process is where the Products of the Project are created. Progress reports (Checkpoint Reports) are provided to the Project Manager. Quality Review and Delivery of Products occurs here. Managing Stage Boundaries SB Reporting on the achievements of the Current Management Stage and the impact on the overall Project Plan and Business Case. Planning the Next Stage (Products, Activities, Resource Usage). Putting together Exception Plans when the Management Stage has suffered a significant departure from its approved plan. Closing A Project CP Preparation for closing the Project in an orderly way. Customer sign-off, preparation of an End- Project Report and identification of Lessons Learned and Follow-on Recommendations. Planning for a Post-Project Review. Planning PL Used by all the other Processes - a common-to- all Process featuring the design of the plan and its creation. 29
Ken Bradley’s Understanding PRINCE 2 The PRINCE 2 Components: DESCRIPTION USED EXPLANATION BY Organisation SU Organisation Structure + Role Descriptions. SB Predominantly used in the “Starting Up A Project” Process where the Executive and Project Manager are appointed in the first Process, and the Project Management Team is designed and appointed. The Project Management Team is reviewed at the end of each Management Stage within “Managing Stage Boundaries”. Planning SU All Processes use the Planning Component. The IP Initiation of the project is planned during CS “Starting Up A Project”; the project itself is MP planned in “Initiating A Project”; Stage plans SB are prepared in “Managing Stage Boundaries”; CP and Product planning is carried out in PL “Controlling A Stage” and “Managing Product DP Delivery”. Follow-on actions, including preparation of a Post-Project Review Plan are put together in “Closing A Project”. “Directing A Project” uses the approved plans throughout to confirm the required progress. Controls SU All the Processes use the Controls Component. IP The “control” Processes which make particular CS use of this Component are “Initiating A Project” MP (which sets up the overall project control SB structure); “Controlling A Stage” (which uses CP Checkpoint Reports to capture progress, and PL records actual usage of resources. Highlight DP Reports are used to inform the Project Board of progress); “Managing Product Delivery” generates Checkpoint Reports for control purposes. Stage approval is handled by “Managing Stage Boundaries” where Management Stages are approved via End Stage Assessments. This Process also uses Exception Reporting and Planning to control significant departures from plan. “Directing A Project” is the Process within which overall authorisations are made; this Process uses the key controls of End Stage Assessment, Tolerance, Project Initiation and Project Closure. 30
Ken Bradley’s Understanding PRINCE 2 The PRINCE 2 Components (Continued) Stages IP Management Stages provide the key control for SB the Project Board and are mainly used by CS “Directing A Project” when authorising DP commitment for expenditure. Technical Stages often overlap and run in parallel; Management Stages may not. The key control Processes use Management Stages in planning and control of the project. Management of Risk SU Risk Analysis is carried out initially in “Starting IP Up A Project” when the Project Brief is created. SB This is refined in “Initiating A Project” where DP the Business Case for the project is established. The Risk Analysis is updated during “Managing Stage Boundaries” to provide the basis for decision support for the Project Board when they review the project at the End Stage Assessment in “Directing A Project”. No specific risk analysis tools or techniques are recommended. Management of risk has close ties with the Business Benefits which are measured and presented as the Business case for the project. Both the Business Case and the Risk Analysis are up-dated, minimally, at the end of each Management Stage. Quality In A Project SU The Customer’s Quality Expectations are first Environment IP identified in “Starting Up A Project” and quality CS aspects are planned in “Initiating A Project”. MP When the project is approved, “Controlling A PL Stage” and “Managing Product Delivery” enable specific Quality Criteria to be set for each Product or Deliverable via Product Descriptions described in the “Planning” Process. Configuration IP Configuration Management addresses the proper Management CS safeguarding and management of Products or MP Deliverables and their associated documentation. CP “Initiating A Project” sets up the Project Files and “Controlling A Stage” and “Managing Product Delivery” executes the Configuration Management arrangements. Project Files are archived in “Closing A Project” mainly for audit purposes. Change Control CS Managing proposals for change is an important aspect of project management and the Process “Controlling A Stage” is where such proposals are captured. 31
Ken Bradley’s Understanding PRINCE 2 The PRINCE 2 Techniques DESCRIPTION EXPLANATION Product-Based Planning A “Product Breakdown Structure” which identifies the Products or Deliverables to be produced during the project. A “Product Description” for each Product identified in the Product Breakdown Structure, which defines and specifies each Product; a key feature of the Product Description is the Quality Criteria used to ensure that the Product is indeed a “Quality Product” that conforms to its requirements. A “Product Flow Diagram” which shows the relationship that each Product has with others and external entities; the Product Flow Diagram must “balance” with the Product Breakdown Structure. Quality Review Technique Used for measuring a Product or Deliverable against its published Quality Criteria. PRINCE 2 recognises Informal Quality Reviews (typically “Desk Checks”, Tests or Visual inspections) and Formal Quality Reviews (which are more structured “Walkthroughs” of a Product or Deliverable). Formal Quality Reviews comprise three distinct Phases - Preparation, The Review Meeting and Follow-Up. Change Control Every project must be able to accommodate changes required by the customer or anyone else who has an interest in the project’s outcome. All suggested changes, identified errors and departures from the agreed Specification must be captured as “Project Issues, logged, analysed for technical, customer and business impact, and a decision made on whether to accept or reject the Issue. Project Filing A suitable filing structure is suggested; this comprises a “Management File” made up of one Project File and a series of Stage Files - one for each of the Management Stages of the project. A Specialist File housing the documentation relating to the technical aspects of the project and a Quality File housing the Quality Review documentation and the Project Issues complete the structure. More on the PRINCE 2 Processes The eight major Processes state the minimum content that can be expected to be found in a PRINCE 2 compliant project. Exactly how the Processes are addressed within any project is the responsibility of the organisation’s senior management, represented by the Project Board, and the Project Manager, but the method requires that each of the eight Processes is reflected within the project one way or another. All the Processes link to Components and Techniques some of which are described within 32
Ken Bradley’s Understanding PRINCE 2 the method. It is anticipated that most organisations will already be using some specific Techniques and might wish to incorporate additional Components reflecting their business environment and culture. PRINCE encourages this where they provide value to the management decision making process. Each Process is defined in the following terms: ♦ The Fundamental Principles that underpin the Process; ♦ The Context within which the Process operates; ♦ An Overview of the Process; ♦ Responsibilities identifying accountability for the Process; ♦ The Information Needs required for the Process to function effectively; ♦ The Key Criteria which will influence the success or failure of the Process; ♦ Hints and Tips for carrying out the Process in the best way. ♦ Major Processes have an additional “Scalability” heading to help with scaling down each Process for smaller, lower risk projects, where this is required by senior managers. The Process-based approach is a powerful feature in PRINCE 2 and is the area which most differentiates it from version 1 of the method. The flexibility of the method is, however, underlined by allowing implementing organisations to choose their own destiny in terms of identifying how to meet the requirements of any given Process. In most organisations already operating successful project management systems there will be little need to make changes to the way they are operating, provided effective project management procedures are already in place. The Organisation Component The organisation and effective use of people assigned to manage a project needs to be considered from the view point both of the specialist skills they bring to the project and their individual personalities. Responsibilities need to be defined within a team structure to ensure that management is both efficient and responsive, and that individuals understand exactly what is expected of them. Within PRINCE 2, responsibilities are defined in terms of roles, rather than individual’s jobs. Assignment of roles to individuals is a decision for each Project Board to take in the light of organisational circumstances, and the same individual may be assigned to more than one role, or to different roles at different stages of the project. Three roles/interests must always be represented on any PRINCE 2 project – Business, User, and Supplier. 33
Ken Bradley’s Understanding PRINCE 2 Corporate or Programme Management The Project Board Senior User Senior Supplier Executive Project Assurance Project Manager Project Support Team Manager Team Manager Team Manager Project Resources & Teams Figure 5: The PRINCE 2 Organisation Structure The Project Board Every PRINCE 2 project will have a Project Board appointed. The Project Board is the ultimate authority for the project and is normally appointed by Corporate or Programme Management to take overall responsibility and control of a PRINCE 2 project. The Project Board consists of three senior management roles, each representing major project interests. ♦ Executive: appointed by Corporate/Programme Management to provide overall project guidance and assessment throughout. The Executive represents the interests of the Customer and the Business and has overall responsibility for the project. ♦ Senior User: representing users (and, where appropriate, Customers) of the outcome or the major products from the project. ♦ Senior Supplier: representing areas which have responsibility for providing the specialist “know-how” and/or committing Supplier resources for the solution. The Senior Supplier might be drawn from an external, commercial, organisation or from internal sources responsible for delivering the specialist “End Product” to the customer (or a mixture of both). 34
Ken Bradley’s Understanding PRINCE 2 There is a requirement within the Method to have a Project Board function and this cannot be eliminated or delegated (although the terminology may be changed to suit the organisation’s culture, for example “The Project Authority”). The Project Board’s accountability for Project Assurance cannot be delegated although the day-to-day work of Project Assurance can if Project Board members do not have the time or expertise to carry out the tasks involved. The Project Manager A Project Manager will always be appointed to assume day-to-day responsibility for planning and management of the project throughout all its Management Stages. The Project Manager takes direction from the Project Board and is responsible for managing, on behalf of the Project Board, the Processes, planning and delivery of Products for the project, on-time, within budget, meeting the specialist/technical and quality criteria agreed with the Project Board. As with the Project Board, the role of Project Manager is a required role within the Methodology and cannot be shared, delegated or eliminated. The Team Manager In a large or complex project, one or more Team Managers may be assigned the responsibility for ensuring that the products of one or more particular Technical, or Specialist, Stages of work are planned, controlled and produced on schedule, to the defined and agreed quality standards, and within budget. Project Manager Project Support Team Manager Team Manager Team Manager Project Resources & Teams Figure 6: Project Manager and Team Manager Relationships The Team Manager role is optional and will only be present in large projects or where the Project Manager lacks the specialist skills to plan and control specific parts of the project. 35
Ken Bradley’s Understanding PRINCE 2 Project Resources and (Specialist) Teams The Project and/or Team Manager have responsibility for Teams of specialist staff, tasked to carry out the activities and produce the Products of the stage. The team organisation, responsibility definitions and the allocation of these responsibilities to individuals will depend upon the size and nature of the project and the skill mix available. PRINCE 2 recognises the need to establish Team Manager roles where appropriate; Project Assurance PRINCE 2 separates the Project Assurance function from the Project Support function. The Project Board have responsibility and accountability for Project Assurance. Depending on the size, scope, risk and profile of the project, and their own knowledge, skills and time available, they may choose to delegate responsibility for overseeing day to day Project Assurance to others within the organisation. However, accountability for Project Assurance rests with the Project Board and they are not able to delegate this. Project Assurance may not be delegated to the Project Manager or to Team Managers. The Project Board Senior User Senior Supplier Executive User Assurance Specialist Assurance Business Assurance Project Assurance Figure 7: Project Board and Project Assurance Functions Although not specifically separated out in the PRINCE 2 Method, Project Assurance can be found in two distinct forms: ♦ External Assurance to confirm that the project is following overall and corporate standards (eg the published Quality Management System, or particular accounting conventions) and the organisation can be expected to have an audit function already in place to check these aspects. ♦ Internal Assurance to verify that the project is delivering Products or Deliverables that meet the agreed Quality Criteria and that internal project standards are being followed. Internal Assurance is ultimately the responsibility of the Project Board. 36
Ken Bradley’s Understanding PRINCE 2 Project Support Within PRINCE 2, Project Support, on a formal basis, will only exist where there is a perceived need for it. A Project Manager may well find that the Project Board see no scope for any administrative support, and that any day-to-day assistance might need to be on an “ad-hoc” basis. Project Manager Project Support Figure 8: Project Manager and Project Support Relationships Where a project does warrant the appointment of a Project Support function, the individual(s) selected will report directly to the Project Manager. Incidental support for the Team Managers, where appointed, and Team resources will normally form part of Project Support’s responsibilities. The Project Support Office A Project Support Office might well evolve in a Programme or multi-project environment, to support a number of individual projects. The methodology supports the possibility of a transition from several Project Support individuals to a central Project Support Office where the number of projects under development warrants it. The resultant Project Support Office will be able to provide a centre of expertise for all project management aspects within the organisation/site, effectively delivering an internal consultancy service where required by Project Board members, Project Managers and project team members. Summary of The Organisation Component In the final analysis, it is the people who are responsible for the management of the project and the creation of its deliverables who have its success in their hands. Clear definition of responsibilities and a tenacious commitment to achieving agreed goals will always be the predominant factor in success. The PRINCE 2 Method must always be tuned to suit the implementing organisation’s existing standards, business approaches, culture and people; the latter two are arguably the most important. 37
Ken Bradley’s Understanding PRINCE 2 PRINCE 2 Planning Estimating, planning and re-planning are constant and key activities when managing any project. PRINCE 2 provides a structure for preparing and maintaining plans at appropriate levels throughout the life of a project. Plans are prepared for the Project as a whole, for each stage within the project and, optionally, for the teams’ work within each Management Stage. There is also an Exception Reporting and Planning process to handle divergences from the original plan. The PRINCE 2 method include a Technique for Product-Based planning incorporating Activity planning, Resource reporting and Quality planning. Products or Deliverables and Related Activities PRINCE 2 provides a set of planning techniques which give structure to the project. The key to PRINCE 2 planning is the identification and definition of the Products required. From this comes an analysis of the work (ie the activities) required to generate these products, and the sequencing of the work. PRINCE makes a distinction between Management Products and Activities, Specialist Products and Activities, and Quality Products and Activities. This is partly because these are usually the concern of different groups of people, but also to ensure that management activities are not overlooked in planning and estimating. The Plan Text provides a high-level, overall view of Plan the plan, summarising its key features Text Product Identifying the Products/Deliverables that will be Breakdown produced by the Project. The Products will be categorised Structure under the headings of “Specialist”, “Management”, and “Quality” Products. Describing the Products/Deliverables that will be Product produced by the Project. There is a prescribed format Descriptions for Product Descriptions Describing the relationships that exist between Product each Product/Deliverable, and external entities. Flow Diagram PERT or Showing the relationships that extist between the Activities that will be undertaken Activity to create the Products identified in the Product Breakdown Structure. Network Gantt Derived from the PERT Network, this shows when Activities are or planned to start and end. Major Review points (End Stage Timescale Assessments) are also shown on this plan. Plan Figure 9: PRINCE 2 Plans Structure 38
Ken Bradley’s Understanding PRINCE 2 Management activities are concerned with planning, monitoring and reporting the work of the project, in both normal and exceptional situations. They produce Management Products in the form of plans, reports and other control documents. Management activities include the planning and control of all specialist activities on the project. Although influenced by the specialist content, a similar pattern of management tasks can be expected to be present in any PRINCE 2 project. Conversely, the Specialist activities undertaken by a project are determined entirely by the scope and objectives of the project. The Specialist activities describe the work needed to produce the Specialist Products required from the project. The Specialist Products required by the user/customer are identified and defined at the start of the project by the Project Manager and accepted by the Project Board. Additional Specialist Products may be defined by the strategy appropriate to a particular Management Stage of the project; specialist activities may also be prescribed by an organisation’s own particular technical strategy. PRINCE 2 therefore acknowledges the need for flexibility in the selection and definition of Specialist activities and the corresponding Products. Completed Feasibility Study Management Products Specialist Products Quality Products MP01 - Project Initiation Document MP02 - Stage Plans FS 01 - Business review MP03 - Lessons Learned Log FS02 - Problem Definition QP01 - Product Descriptions MP04 - Risk Log FS03 - Options Identified & Agreed QP02 - Quality Review Documentation MP05 - Business Case FS04 - Options Appraised QP03 - Project Issues Log MP06 - Product Checklist FS05 - Selected Option Agreed QP04 - Quality Log MP07 - Highlight Reports FS06 - Final Report QP05 - Configuration Management MP08 - Project Start Notification MP09 - Project End Notification MP10 - Project Filing Structure The Technical Management Standard for the Project The Project Management The Quality Management Standard for the Standard for the Project Project Figure 10: Management, Quality and Specialist Products (For A Typical Feasibility Study) Quality activities may be performed by anyone who is able to make a contribution to the Product under review. Individuals within the project and host organisation as well as people external to the organisation are all appropriate. Quality activities must be planned for early in the life of the project. The PRINCE 2 Product planning techniques require every project to be described and 39
Ken Bradley’s Understanding PRINCE 2 defined in terms of its Products or Deliverables. This is a very effective way to ensure full understanding of what is required and to ensure that, as far as possible, all resource consuming activities are related to one or more required Products. Planning for the Delivery of Specialist Products PRINCE 2 Plans are concerned with the Products to be delivered and with the activities necessary to ensure that these Products emerge on time and to the required quality standards. The project Products are identified as a first step in Product-Based Planning; definition of each product (via the PRINCE Product Description) allows its make-up and quality requirements to be documented and properly understood. A Product Breakdown Structure illustrates the hierarchical make-up of the complete set of project products and a Product Flow Diagram provides a view of the relationship each product has with others, within and outside of the project. FS01 Solution Providers Strategy Plan Business Review FS02 Problem Definition FS03 Options Identified & Agreed FS04 Options Appraised FS06 FS05 Final Report Selected Option Agreed Figure 11: Product Flow Diagram (For A Feasibility Study) The Project Timescale or Gantt Plan charts the major activities of the project. It is usually derived from the PERT (Programme Evaluation and Review Technique) or Activity Network which shows the relationships that exist between project activities. It is used in conjunction with a Project Resources Report to monitor progress on the project as a whole. It also addresses planning requirements related to Quality Control and Configuration Management. A Stage-level Gantt (or time-scale) Plan shows the products, activities and quality controls for each stage of the project. The Stage-level Gantt Plan is produced and approved at the end of the previous stage (the plan for the first stage is prepared with the project plan). 40
Ken Bradley’s Understanding PRINCE 2 Additional, lower-level Gantt Plans can be expected to exist in most projects, to give a detailed breakdown of particular major activities These are termed “Team Plans”. Initiate Specify Design Build Test Train Handover Management Management Management Stage 1 Stage 2 Stage 3 Figure 12: Gantt Plan (Time-scale Plan) Lower level Plans (or Individual Work-to Lists), if required, are derived from the Stage and Team Plans to allocate detailed activities (and Products/Deliverables) to particular members of a Specialist Stage Team. Although this level of plan is not formally included in PRINCE 2 they may be utilised if the size and/or complexity of the project requires their production. Resource Planning & Reporting Resource requirements are concerned with managing the funding and effort resources of the project. Specific resource plans are not produced for PRINCE 2 controlled projects, as the method assumes that a software planning tool will be used. Where this is the case, relevant reports on planned and actual resource usage can be drawn from the Project Plan in the form of a “Resources Report” as and when required. Where a software support tool for planning is not in use (for example in the case of a low cost, short duration, low risk project) the format for a resources plan or report shown in figure 13 may be of use. Even where a software planning tool is in use, the presentation of the information might well benefit by adopting the format shown in figure 13 as it reflects the type and level of information required by the Project Board in reaching a suitable business decision. It is the decision-support information about the requested commitment of resources that is of most use to Project Board members in reaching their decision to start or continue with the project and careful thought must be given as to the most appropriate presentation of the data. 41
Ken Bradley’s Understanding PRINCE 2 Stage 1 Stage 2 Stage 3 Plan Actual Plan Actual Plan Actual EFFORT (Staff Weeks) Skill Types Customers Engineers IT Analysts Others COSTS (£K) Skill Types Customers Engineers IT Analysts Others Equipment Fixed Price Elements Total Stage Costs Total Project Costs Figure 13: Typical Project Resources Report (or Plan) The standard Resources Report drawn from any software-driven Project Plan will identify the type, amount and cost of the resources required by the project related to each Management Stage of the work. It will also identify equipment, building, and fixed-price costs associated with the project. The intention is to provide a complete resource and financial picture of the undertaking. A more detailed Resources Report, at Management Stage Level identifies the resources required by the particular stage. It defines the budget required by the stage and is used to report actual expenditure and resource usage against plan More detailed Resource Plans at the Team Level will be produced when required, to plan and control a particular major activity, and the associated team work-plans and Products. Quality Planning - BS/EN/ISO9001 Action must be taken at project planning time (within the “Initiating A Project (IP1)” Process) to ensure that the project can deliver its Products to the required quality standards (the Customers Quality Expectations) required by the customer. Quality Criteria must be defined and agreed, and incorporated into a Product Description for each major Product identified; a Project Quality Plan must be defined, published and adopted; Quality Review procedures must be established and staff trained; review activities must be properly resourced. Whatever action is proposed to build quality into the project, the measures must be consistent with any published Quality Management System (QMS) that is already in effect. PRINCE 2 has been designed to comply with the BS/EN/ISO9001 Quality Management Standard and the method contains a section relating its content to each section of the ISO Standard. BS6079, the Project management Standard, is also reflected within PRINCE 2. ISO9001, BS6079 and PRINCE 2 are all Process-driven; the foundation for quality and 42
Ken Bradley’s Understanding PRINCE 2 effective, modern project management is therefore integral and inherent in PRINCE 2. The results of the quality planning activity must be integrated into the timescale and resource plans at each level. Just as quality must be built into the Products, so must quality control be built into the plans. Project Plan (Mandatory Plan) Stage Plan Stage Plan Stage Plan Team Team Team Team Team Team Plan Plan Plan Plan Plan Plan Project Resources Report (Effort, Costs, Equipment, Direct Costs) Figure 14: PRINCE 2 Planning Levels - Project, Stage & Team ♦ The Project Level plan (required) sets the overall quality approach for the entire project. It defines the standards to be followed and the quality criteria for the major products. It also identifies external constraints that may apply to the project, such as a specific Configuration Management Method. ♦ The Stage Level plan (required) identifies the quality criteria, methods and review guidelines for each Product produced during the stage. ♦ A Team plan (optional) might be required for specific individual activities such as carrying out interviews within a particular user/customer area. The Project Manager is responsible for deciding whether any plans below stage-level are required; this decision will be endorsed by the Project Board at the Project Initiation or End-Stage Assessment meeting. Tolerance and Planning The Project Board Executive sets tolerances for Stage Plans. These define the limits of time-scale and cost (or sometimes effort) within which the Project Manager can operate without further reference to the Project Board. Tolerance is variable and will be assigned to each Management Stage to reflect the respective business risk, but a general rule of 43
Ken Bradley’s Understanding PRINCE 2 thumb is that Time Tolerance of plus/minus 1 week and Cost Tolerance of plus/minus 10% is about right. An Exception Report and, subsequently, if required by the Project Board, an Exception Plan, is produced in situations where costs or time-scales are forecast to be exceeded beyond the tolerances set by the Project Board. The Exception Report describes the cause of the deviation from plan and its consequences and recommends corrective action to the Project Board. Once considered and approved by the Project Board at a Mid-Stage Assessment (MSA), the Exception Plan replaces the re- mainder of the current Stage Plan. The Controls Component Regular and formal monitoring of actual progress against the approved plan is essential to ensure the timeliness, cost control and quality of the system or undertaking being developed. PRINCE 2 provides a support structure of Management and Product-oriented controls to monitor progress, supported by a reporting procedure which enables re- planning or other appropriate corrective action to be taken. Management Controls PRINCE 2 provides a structure of management controls to be applied throughout the project. These controls cover all aspects of project activity and, at the highest level, allow the Project Board to assess project achievement and status prior to committing further expenditure. Controls are applied through measuring the progress towards production of a set of pre-defined outputs (Products or Deliverables). The overall structure of Management Controls is defined during the project Initiation Stage (“Initiating A Project (IP4)” Process) to ensure that the project is set up with clear Terms of Reference, incorporating agreed and measurable Objectives and an adequate management control structure. Project Initiation To document a firm foundation and to provide a positive start to the project, ensuring that the terms of reference, objectives, plans and controls, business risks, benefits and financial return, organisation structure and job definitions are clearly defined, published, understood and agreed. This Management Product is very important to the project and is the result of two Processes - the pre-project “Starting Up A Project (SU)” and “Initiating A Project (IP)”. The key output is the Project Initiation Document (PID) which, when approved by the Project Board, is a “frozen” document used to baseline the project. 44
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Understandin gprince2

  • 1. Ken Bradley’s Understanding PRINCE 2® PRINCE is a Registered Trademark of CCTA
  • 2. Ken Bradley’s Understanding PRINCE 2 ISBN 1 902192 00 1 Published by: SPOCE Project Management Limited Homelife House Oxford Road Bournemouth, Dorset BH8 8EZ Telephone & Fax: 01202-780740 Switchboard: 01202-319987 E-Mail: enquiries@spoce.com Information: www.spoce.com PRINCE is a Registered Trademark of CCTA © Ken Bradley 1997 First Published October 1997 Revised and reprinted February 1999 All rights reserved by the copyright holder and the licensee. No part of this publication may be reproduced in any material form (including photocopying and/or storage in any medium by electronic means and whether or not transiently or incidentally to some other use of this publication) without the written permission of the copyright holder identified above, except in accordance with the provisions of the Copyright Designs and Patents Act 1988. Applications for the copyright holder’s written permission to reproduce any part of this publication should be addressed to the publisher at the address above. 2
  • 3. Ken Bradley’s Understanding PRINCE 2 Dedication This book is dedicated to the many clients and friends who over the past two decades have put their trust and key projects into my hands, often for just the first few critical weeks of life and sometimes for support from cradle to grave. Thanks also go to the “SPOCETTES” Carol and Livia who have used their charm and charisma to ensure that this project was delivered on time, to the agreed plan and only marginally over budget! Ken Bradley What Others Say About This Book “An excellent companion to the CCTA PRINCE 2 Reference Manual. The many clear diagrams and supporting text answer the questions What should I do now? – and Why?” Martin Shepherd ICL HR Consultancy “This book provides a comprehensive and practical exposition of the PRINCE 2 Method and truly lives up to its title. Ken Bradley’s practical experience of managing projects, together with his understanding of the needs of Project Managers, whether new to the profession or old hands, gleaned from many years of providing consultancy and training is evident through the techniques and best practice tips that abound in this publication.” Dave Rose, Principal Consultant Project Management Devon IT Services 3
  • 4.
  • 5. Ken Bradley’s Understanding PRINCE 2 LIST OF CONTENTS Foreword ................................................................................................................................... 13 Who This Publication Is Intended For ......................................................................................... 13 Origins Of The PRINCE 2 Method .............................................................................................. 17 The PROMPT Methodology ........................................................................................................ 17 Government PROMPT................................................................................................................ 17 The Standard PROMPT Lifecycle ............................................................................................... 18 PROMPT Organisation - Stage Managers................................................................................... 18 PROMPT Planning..................................................................................................................... 19 The Enhancement Project And PRINCE...................................................................................... 19 PRINCE 2 And Other Developments ........................................................................................... 20 Introduction To PRINCE 2.......................................................................................................... 25 Benefits Of PRINCE 2 ................................................................................................................ 25 The Structure Of A PRINCE 2 Project......................................................................................... 26 The Key Elements Contained In PRINCE 2 ................................................................................. 28 The PRINCE 2 Processes............................................................................................................ 29 The PRINCE 2 Components:....................................................................................................... 30 The PRINCE 2 Techniques.......................................................................................................... 32 The Organisation Component ..................................................................................................... 33 The Project Board ...................................................................................................................... 34 The Project Manager.................................................................................................................. 35 The Team Manager..................................................................................................................... 35 Project Resources And (Specialist) Teams................................................................................... 36 Project Assurance....................................................................................................................... 36 Project Support .......................................................................................................................... 37 The Project Support Office.......................................................................................................... 37 Summary Of The Organisation Component ................................................................................. 37 5
  • 6. Ken Bradley’s Understanding PRINCE 2 PRINCE 2 Planning.................................................................................................................... 38 Products Or Deliverables And Related Activities........................................................................ 38 Planning For The Delivery Of Specialist Products ...................................................................... 40 Resource Planning & Reporting.................................................................................................. 41 Quality Planning -BS/EN/ISO9001 ............................................................................................. 42 Tolerance And Planning ............................................................................................................. 43 The Controls Component ............................................................................................................ 44 Management Controls ................................................................................................................ 44 Project Initiation ........................................................................................................................ 44 End Stage Assessment (ESA)....................................................................................................... 45 Mid Stage Assessment (MSA) ...................................................................................................... 45 Tolerance ................................................................................................................................... 46 Project Closure .......................................................................................................................... 47 Highlight Reports ....................................................................................................................... 48 Stages......................................................................................................................................... 48 Business Benefits And Risk Management..................................................................................... 49 Planning For Quality.................................................................................................................. 50 Quality Controls - Quality Review............................................................................................... 50 Change Control.......................................................................................................................... 52 Configuration Management ........................................................................................................ 52 Filing Arrangements................................................................................................................... 53 Software Support For PRINCE 2 ................................................................................................ 53 Following This Introduction........................................................................................................ 54 PRINCE 2 Organisation - Introduction ....................................................................................... 57 Responsibilities In A PRINCE 2 Controlled Project.................................................................... 58 The Project Board ...................................................................................................................... 58 The Executive Role ..................................................................................................................... 59 The Senior User Role.................................................................................................................. 59 6
  • 7. Ken Bradley’s Understanding PRINCE 2 The Senior Supplier Role ............................................................................................................ 59 Responsibilities Of The Project Board Members.......................................................................... 59 The Project Assurance Function ................................................................................................. 60 Delegation Of Day-To-Day Project Assurance ............................................................................ 61 The Project Manager.................................................................................................................. 61 Team Manager(s) ....................................................................................................................... 62 Responsibilities Of The Team Manager....................................................................................... 63 Team Managers And Technical Stages ........................................................................................ 64 Project Support .......................................................................................................................... 64 Customer:Supplier Environment ................................................................................................. 65 Developments On The PRINCE 2 Theme..................................................................................... 66 The Supplier Project Board ........................................................................................................ 67 Customer: Supplier Steering/Co-Ordinating Group..................................................................... 68 Customer: Supplier Project Manager.......................................................................................... 69 Customer:Supplier - Project Support .......................................................................................... 69 Organising The Managing Of Programmes................................................................................. 69 Programme Board, Programme Manager & Programme Support ............................................... 70 User/Customer Group In A Programme Context ......................................................................... 71 Individual Project Boards In A Programme Context.................................................................... 71 Project Support & Programme Assurance................................................................................... 71 Programme And Project Resources............................................................................................. 72 Other Structures Based On PRINCE 2 ........................................................................................ 72 PRINCE 2 Organisation - Summary........................................................................................... 74 Planning - Introduction & Overview ........................................................................................... 76 Project Level Plans..................................................................................................................... 77 Product Breakdown Structure ..................................................................................................... 78 Product Flow Diagram ............................................................................................................... 80 PERT Network............................................................................................................................ 81 7
  • 8. Ken Bradley’s Understanding PRINCE 2 The PERT Logic Network & The Timed Network......................................................................... 81 Earliest Start Gantt Plan ............................................................................................................ 82 Resource Smoothing ................................................................................................................... 82 Project Gantt Plan...................................................................................................................... 84 Project Resource Reporting ........................................................................................................ 84 Graphical Summary.................................................................................................................... 85 Earned Value Analysis................................................................................................................ 86 Risk Analysis .............................................................................................................................. 87 Measuring The Business Benefits ................................................................................................ 88 Project Plan Text........................................................................................................................ 89 Management Stage Plans............................................................................................................ 89 Team Plans ................................................................................................................................ 91 Individual Plans ......................................................................................................................... 91 PRINCE 2 Planning - Summary .................................................................................................. 91 Introduction To Controls ............................................................................................................ 94 Management Controls ................................................................................................................ 94 The Project Initiation Meeting .................................................................................................... 95 Project Initiation & The Project Initiation Document (PID) ........................................................ 96 End Stage Assessment (ESA)....................................................................................................... 96 Attendees At An End Stage Assessment........................................................................................ 97 End Stage Assessment Agenda .................................................................................................... 97 Mid Stage Assessment (MSA) ...................................................................................................... 98 Tolerance ................................................................................................................................... 99 Project Closure ........................................................................................................................ 102 Highlight Reports ..................................................................................................................... 102 Checkpoint Reports .................................................................................................................. 103 Stages....................................................................................................................................... 103 Management & Technical Stages .............................................................................................. 107 8
  • 9. Ken Bradley’s Understanding PRINCE 2 Management Stages.................................................................................................................. 108 Updating The Business Case..................................................................................................... 108 Technical Stages....................................................................................................................... 109 Handling The End Of A Management Stage .............................................................................. 109 Stages - Summary ..................................................................................................................... 110 Risk Management - Introduction ............................................................................................... 113 Risk Ranges & Risk Factors...................................................................................................... 114 Updating The Risk Analysis ...................................................................................................... 115 Modifying The Risk Analysis Checklist ...................................................................................... 116 PRINCE 2 &BS/EN/ISO9001.................................................................................................... 123 Quality Management ................................................................................................................ 123 Customer Quality Expectations................................................................................................. 124 Quality Aspects For Suppliers & Sub-Contractors..................................................................... 124 Quality Management - Summary............................................................................................... 125 Configuration Management - Introduction ................................................................................ 129 Configuration Management Techniques .................................................................................... 129 CM Activities............................................................................................................................ 130 Change Control - Introduction.................................................................................................. 135 Project Issue............................................................................................................................. 135 Off Specifications ..................................................................................................................... 136 Request For Change ................................................................................................................. 136 Change Control Forms And Documentation.............................................................................. 136 Change Control - Summary ...................................................................................................... 137 Introduction To Processes ......................................................................................................... 141 The Processes........................................................................................................................... 141 The PRINCE 2 Process Model .................................................................................................. 142 Major Processes And Processes ................................................................................................ 143 Structure Of The Individual Process Models.............................................................................. 145 9
  • 10. Ken Bradley’s Understanding PRINCE 2 Individual Process Summary Models........................................................................................ 147 Starting Up A Project (SU) - Introduction ................................................................................. 151 SU1 - Appointment Of A Project Board Executive And A Project Manager ................................ 152 SU2 & SU3 - The Project Management Team ............................................................................ 153 SU5 - The Project Approach: .................................................................................................... 156 SU6 - The Initiation Stage Plan................................................................................................. 157 Starting Up A Project - Summary .............................................................................................. 158 Initiating A Project (IP) - Introduction ...................................................................................... 163 The Project Initiation Document ............................................................................................... 163 IP1 - Planning For Quality ....................................................................................................... 165 IP2 - Planning A Project........................................................................................................... 166 IP3 - Refining The Business Case & Risks................................................................................. 168 IP4 - Setting Up Project Controls.............................................................................................. 169 Project Board Controls ............................................................................................................. 169 Project Manager/Team Controls: .............................................................................................. 170 IP5 - Set Up Project Files ......................................................................................................... 171 IP6 - Assembling The Project Initiation Document .................................................................... 173 Approach To Assembling Or Producing The PID....................................................................... 174 Initiating A Project (IP) - Summary........................................................................................... 175 Directing A Project (DP) - Introduction .................................................................................... 181 Management By Exception........................................................................................................ 182 DP1 – Authorising Initiation..................................................................................................... 183 DP2 – Authorising A Project..................................................................................................... 184 DP3 – Authorising A Stage Or Exception Plan.......................................................................... 185 Approval Of Exception Plans .................................................................................................... 186 DP4 – Giving Ad-Hoc Direction ............................................................................................... 188 DP5 – Confirming Project Closure............................................................................................ 189 Summary Of The DP Process .................................................................................................... 191 10
  • 11. Ken Bradley’s Understanding PRINCE 2 Controlling A Stage (CS) - Introduction .................................................................................... 197 CS1 – Authorising A Work Package .......................................................................................... 199 CS2 – Assessing Progress ......................................................................................................... 200 CS3 - Capturing Project Issues ................................................................................................. 202 CS4 - Examining Project Issues ................................................................................................ 203 CS5 - Reviewing Stage Status.................................................................................................... 204 CS6 - Reporting Highlights....................................................................................................... 205 CS7 - Taking Corrective Action ................................................................................................ 207 CS8 - Escalating Project Issues................................................................................................. 208 CS9 - Receiving A Completed Work Package ............................................................................ 209 Summary Of The Controlling A Stage Process........................................................................... 210 Managing Product Delivery (MP) - Introduction ....................................................................... 215 MP1 - Accepting A Work Package............................................................................................. 217 MP2 - Executing A Work Package............................................................................................. 218 MP3 - Delivering A Work Package............................................................................................ 219 Managing Stage Boundaries (SB) - Introduction ....................................................................... 223 Exception Plans........................................................................................................................ 224 SB1 - Planning A Stage............................................................................................................. 225 SB2 - Updating A Project Plan ................................................................................................. 226 SB3 - Updating A Project Business Case................................................................................... 227 SB4 -Updating The Risk Log..................................................................................................... 228 SB5 - Reporting Stage End........................................................................................................ 229 SB6 - Producing An Exception Plan.......................................................................................... 231 Summary Of The Managing Stage Boundaries Process.............................................................. 232 Closing A Project (CP) - Introduction ....................................................................................... 237 CP1 - Decommissioning A Project ............................................................................................ 239 CP2 - Identifying Follow-On Actions ........................................................................................ 241 CP3 – Project Evaluation Review............................................................................................. 242 11
  • 12. Ken Bradley’s Understanding PRINCE 2 Summary Of The Closing A Project Process.............................................................................. 243 Planning (PL) - Introduction.................................................................................................... 247 PL1 - Designing A Plan ............................................................................................................ 249 PL2 - Identifying, Defining And Analysing Products.................................................................. 250 PL3 - Identifying Activities And Dependencies .......................................................................... 252 PL4 - Estimating....................................................................................................................... 253 PL5 - Scheduling ...................................................................................................................... 254 PL6 - Analysing Risks............................................................................................................... 255 PL7 - Completing A Plan.......................................................................................................... 256 Summary Of The Planning (PL) Process ................................................................................... 257 PRINCE 2 Filing Technique - Introduction ............................................................................... 261 The Management File ............................................................................................................... 261 Physical Filing Considerations ................................................................................................. 266 Quality Review Technique - Introduction .................................................................................. 269 Quality Assurance And Quality Control .................................................................................... 269 What Is A Quality Review?........................................................................................................ 269 Quality Reviews - Formal And Informal .................................................................................... 270 People Involved ........................................................................................................................ 270 The Quality Review Steps......................................................................................................... 271 Step 1 - Preparation ................................................................................................................. 271 Step 2 - The Review Meeting .................................................................................................... 272 Step 3 - Follow-Up Of Review Meeting ..................................................................................... 273 Summary Of The Quality Review Technique.............................................................................. 274 Index ........................................................................................................................................ 277 12
  • 13. Ken Bradley’s Understanding PRINCE 2 FOREWORD This publication is based on the PRINCE 2 Project Management Methodology. It has been produced to help anybody involved in a PRINCE 2 controlled project to understand the approaches used in the Method. This re-print incorporates the additional material included in the new manual – “Managing Successful Projects with PRINCE 2” published in October 1998. The book aims to fill the gaps present in the PRINCE 2 Method – in order to do this certain assumptions have been made and these are based upon my own experience and understanding of the practical use of PRINCE. I hope you will not only find this publication of practical use in managing your projects but will also enjoy reading and learning from it. If you have any questions or observations about the content of this publication, please contact me at SPOCE Project Management Limited direct at (UK +44) 01202-780740 (Telephone & fax) or E-Mail KGB@spoce.com Ken Bradley February 1999 Who This Publication Is Intended For PRINCE 2 is the UK Government standard for managing large projects and has been widely adopted as the standard for project management for all types of projects within the private and public sectors. PRINCE 2 was officially launched on 1 October 1996. The book is aimed at Project Managers, project management staff, and anyone needing to organise, plan and control an undertaking using a structured project management approach. Although primarily a summary and interpretation of the PRINCE 2 project management method, this publication provides an excellent start point for anyone wishing to understand the principles and use of structured project management in any activity. It is also an invaluable aid for anyone wishing to take the CCTA/APMG PRINCE 2 examinations. 13
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  • 15. Ken Bradley’s Understanding PRINCE 2 Chapter 1 UNDERSTANDING THE BACKGROUND TO THE PRINCE METHODOLOGY 15
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  • 17. Ken Bradley’s Understanding PRINCE 2 Origins of the PRINCE 2 Method The PRINCE Methodology is a development of the PROMPT Methodology (Project Resource Organisation Management Planning Technique) originally formulated in the mid 1970s. A private sector company, Simpact Systems Limited, evolved the PROMPT Methodology to provide a suitable framework within which to manage the strategy, feasibility study, development and support of Information Technology systems through a structured project management approach. The PROMPT Methodology The PROMPT Methodology comprised five major components: ♦ PROMPT I - Strategic Planning ♦ PROMPT II - System Development ♦ PROMPT III - Operations, Maintenance and Enhancement ♦ QSTAR Quality Assurance ♦ PROMPT Software Support Tools (The PROMPT Aids). Government PROMPT In the early 1980s, the UK Government published a requirement for a project management method to improve the management and control of government IT projects. Many different methods were proposed and evaluated, and the contract to license the use of the Method was awarded to Simpact Systems Limited. CCTA (Central Computer and Telecommunications Agency) acting for the UK Government commissioned some changes in the basic methodology. Chief amongst these was the incorporation of the quality assurance aspects into the PROMPT II Methodology to provide a product that was to become referred to as “Government PROMPT”. Although CCTA licensed all the PROMPT Methodology, PROMPT II was the only element fully implemented. The belief was that Government Departments were already well supported in the production of strategic plans, and that maintenance and enhancement aspects would be easily handled providing development systems were properly supported by development and quality assurance documentation. PROMPT II was therefore considered to be the key ingredient for success. Government PROMPT, incorporating PROMPT II principles only was introduced into the major UK Government Departments in Spring 1983. 17
  • 18. Ken Bradley’s Understanding PRINCE 2 The Standard PROMPT Lifecycle Government PROMPT had a number of deficiencies from the start; for instance, a pre- defined lifecycle provided the backbone for a PROMPT II project, but this caused some problems with its view that IT projects broke down into standard stages of work addressing Initiation, Specification, Design, Development, Installation, and Operation. Many projects did not conform to this formula and inconsistencies were encountered. Initiation Specification Design Development Installation Operation The PROMPT II “Planning” Stages The PROMPT II “Action” Stages Figure 1: The PROMPT Standard Six Stage Lifecycle PROMPT Organisation - Stage Managers The PROMPT II Method made no mention of Project Managers, instead relying on a series of Stage Managers, each responsible for a pre-defined stage within the standard six stage lifecycle. The philosophy was that this left the way open to appoint the most appropriate individual to manage each Stage of the project. The Specification Stage managed by a User/Customer, the Design Stage by a Designer/Analyst, the Development Stage by a Technical Programmer and the Installation and Operation Stages by User/Customers. The Initiation Stage was typically managed by someone with sufficient technical expertise to understand and plan the whole of the project. 18
  • 19. Ken Bradley’s Understanding PRINCE 2 Senior Management - Strategic Direction The Project Board Senior User Senior Technical Executive Assurance Stage 2 Manager Stage 4 Manager Stage 6 Manager Specification Development Operation Stage 1 Manager Stage 3 Manager Stage 5 Manager Initiation Design Installation Work Direction Administrative Support Project Assurance Team Project Resources & Development Teams * Business Assurance Co-ordinator * Technical Assurance Co-ordinator * User Assurance Co-ordinator Figure 2: The PROMPT Organisation Structure PROMPT Planning The Government PROMPT Methodology also made no mention or use of Critical Path Analysis, which was used extensively in major projects. In practice these omissions did not cause real problems as training courses and consultancy support filled the gaps. However the methodology was perceived as being not quite complete, or indeed, relevant to many projects. The Enhancement Project and PRINCE During 1987, CCTA determined to update the Methodology by reflecting the actual usage of PROMPT II and by introducing modern project management ideas. These elements were Product-based planning, formal Project Initiation procedures, a Project Manager role, sharper focus on Quality Management, and Open Life-cycle planning. Leading consultancy companies in project and quality management were contracted to work with the PROMPT User Group and CCTA to incorporate the changes. 19
  • 20. Ken Bradley’s Understanding PRINCE 2 CCTA were keen to place the enhanced method into the public domain, as an open method, in order to enable suppliers of major IT systems (and their component parts) to adhere to consistent standards when fulfilling UK Government contracts. The overall objective was to provide a high-level of consistency throughout government projects and to improve project management generally. Meanwhile, LBMS (Learmonth & Burchett Management Systems) a major management consultancy company, who had developed SSADM (Structured Systems Analysis and Design Methodology) under a CCTA contract, had acquired the PROMPT products and name from Simpact Systems (which had ceased its commercial operations) and was licensing the methodology successfully to the public and private sectors. LBMS obviously could not agree to an enhanced version of PROMPT II being placed in the public domain in direct competition with their own proprietary method, and negotiations provided that the enhanced method be re-named PRINCE (Projects in Controlled Environments) to meet this point. PRINCE was introduced in April 1989 with full documentation and formal entry into the public domain in January 1990. The PRINCE Methodology is now the UK Government Standard for managing major projects. It has been widely adopted by private sector companies both for use in government projects, and in many cases for their own internal use. CCTA, with its collaborative partners (The Association for Project Management Group, IBM UK Limited, and The Stationery Office) continues to pursue the acceptance of PRINCE as “best practice” project management within the UK, Europe and worldwide. PRINCE 2 and Other Developments PRINCE 2 has now been developed, funded by CCTA and following extensive consultation with users and organisations over a two year period. PRINCE 2 is “Process- driven” (ie “what” and “why” but little in the way of “how”) addresses a wider base of projects (IT and non-IT), Programmes of Work, Smaller Projects, Customer:Supplier: issues and introduces changes to the PRINCE version 1 Organisation component. PRINCE 2 was formally launched by CCTA in London on 1 October 1996. CCTA are working in collaborative partnership with a number of organisations (IBM (UK), The Stationery Office and the Association for Project Management Group) to promote PRINCE. One of the partners, IBM (UK) Limited, has developed a software support product based on their existing Process Integrator application, which provides a full PRINCE 2 Environment, enabling the launch of specific software for planning, word- processing and other office applications. The package is particularly useful for managing the myriad of project documentation that has to be created, updated, tracked and managed during the life of a project. With PRINCE 2, CCTA has launched an accreditation and certification scheme providing a vehicle for assuring users of PRINCE 2 that training and consultancy providers are registered as competent and that training courses reflect a common syllabus with examinations and certification at its conclusion. 20
  • 21. Ken Bradley’s Understanding PRINCE 2 CCTA continue to support and develop the PRINCE 2 Method and a contribution is levied from all those taking the APM Group Professional Examinations and registering as trained PRINCE 2 Practitioners. Future plans include companion volumes covering the “softer” aspects of project management (leadership, delegation, appraisal etc) and Programme Management, Risk Management, including examinations on these topics. Further information can be obtained from CCTA Information Services on telephone: (UK +44) (0)1603 704787 21
  • 22.
  • 23. Ken Bradley’s Understanding PRINCE 2 Chapter 2 UNDERSTANDING THE BASICS 23
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  • 25. Ken Bradley’s Understanding PRINCE 2 Introduction to PRINCE 2 PRINCE (PRojects IN Controlled Environments) is a structured method for effective management of any size or type of project. It is the standard method for use in UK Government Departments and is widely used in the private sector, NHS and Local Government. A growing number of overseas Governments and multi-national companies have adopted the method, or integrated it within their existing project management approaches. The Method is being promoted actively by the APM Group (APMG) as a “Best Practice” project management approach. Benefits of PRINCE 2 There are a number of benefits to be gained from introducing and using a structured approach to project management; among the benefits of using PRINCE 2 are that it: ♦ identifies management, technical (specialist) and quality Products or Deliverables and helps ensure that they are produced on time and to budget; ♦ focuses attention on the quality of Products or Deliverables; ♦ separates the management and technical/specialist aspects of Organisation, Planning and Control; ♦ facilitates control at all levels; ♦ makes the project’s progress more visible to management; ♦ provides a communication medium for all staff working on the project; ♦ ensures that work progresses in the correct sequence; ♦ involves senior management in the project at the right time and in the right place; ♦ allows the project to be stopped and, if required, re-started completely under management control, at any time in the project’s life; ♦ is in the Public Domain and requires no license fee; ♦ has a well established User Group dedicated to the support, promotion and strengthening of the method. 25
  • 26. Ken Bradley’s Understanding PRINCE 2 The Structure Of A PRINCE 2 Project Within a PRINCE 2 project environment, each project which is undertaken must: ♦ address all the processes concerned with establishing an effective project management environment; ♦ have a stated business case indicating the benefits and risks of the venture; ♦ demonstrate a properly defined and unique set of Products or Deliverables; ♦ have a corresponding set of activities to construct the Products or Deliverables; ♦ identify appropriate resources to undertake the activities; ♦ have a finite life-span; suitable arrangements for control; ♦ identify an organisation structure with defined responsibilities; ♦ include a set of Processes with associated techniques which will help plan and control the project and bring it to a successful conclusion. A PRINCE 2 project is divided into a number of Management Stages, each forming a distinct unit for management purposes. Like the project, a Stage is driven by a series of Processes, has a defined set of products and activities, a finite life-span, control elements, and an organisational structure. The delivery of these products, to the agreed quality standards, marks the completion of the Management Stage. PRINCE 2 defines: ♦ the organisation of the project and its stages; ♦ the processes which drive the undertaking; ♦ the structure and content of the project plans; ♦ basic project management techniques; ♦ a set of controls which ensure that the project is proceeding to plan. These, together with the products of the project and the activities which produce them, the project business case, all encompassed within a Quality Management framework, make up the PRINCE 2 environment. All products of a PRINCE 2 project are filed within a defined structure - the "Configuration". Management, Specialist and Quality Products are identified and filed separately. The PRINCE 2 framework provides the flexibility to set stage boundaries which are appropriate to the needs of the project. Management Stage boundaries are chosen according to: 26
  • 27. Ken Bradley’s Understanding PRINCE 2 ♦ the sequence of production of Products/Deliverables; ♦ the grouping of Products into self-contained sets or associated Processes; ♦ natural decision points for review and commitment of resources; ♦ the risks and business sensitivity of the project; ♦ the completion of one or more discrete Processes. The project stages correspond to the steps in the natural project life-cycle towards the eventual outcome. Thus the stage boundaries are normally defined to correspond to the completion of the major Products to be built and key decisions concerning commitment of resources that need to be made. Whatever the nature of the project, it is advisable to define one or more planning and/or definition processes in the early part of the project's life. PRINCE 2 provides two Processes to cater for this - “Starting Up A Project (SU)” (where the early foundations for decision support are laid) and “Initiating A Project (IP)” (where senior management are invited to commit to the undertaking and a baseline is produced. The project is triggered by a “Project Mandate” which might take any form from an informal request by a sponsor to a formal recommendation from a report. PRINCE 2 recognises that few projects will be undertaken entirely in isolation. The outputs from one project may be used as input by another project. There may be other dependencies between projects, such as the use of shared resources. PRINCE 2, therefore, provides a mechanism for defining the boundary of a project and its relationship to other projects. A high-level context diagram is a useful mechanism for defining these relationships. Key User Groups Current System Business Processes Cleaned Data The Project Under Development Bullet List of the Main Functions to be produced, developed or bought-in Information Parts Requisitions MIS Project Central Logistics Project Figure 3: Scoping Diagram showing Inputs and Outputs for the Project The Scoping Diagram illustrated above is particularly useful when planning and managing a Programme of Work where individual projects inter-relate with each other and it is necessary to ensure that expected outputs from individual projects are anticipated and planned for. When all individual project Context Diagrams are assembled to complete the 27
  • 28. Ken Bradley’s Understanding PRINCE 2 programme “jigsaw” it will be apparent which outputs and inputs do not match, and appropriate action can be taken by the Programme Director/Manager. The Key Elements Contained In PRINCE 2 To understand the content of the PRINCE 2 Project Management Method, the following model showing the key elements should be studied: ORGANISATION STANDARDS & APPROACHES; BUSINESS STANDARDS & ETHICS QUALITY MANAGEMENT SYSTEM (QMS) (ISO9001) TECHNIQUES COMPONENTS PROCESSES * Product-Based Planning * Organisation * Starting Up A Project (SU) - Product Breakdown - Structure & Role Descriptions - Product Description * Initiating A Project (IP) - Product Flow Diagram * Planning - Products, Activities, Resources * Directing A Project (DP) * Quality Reviews * Controls * Controlling A Stage (CS) - Preparation, Review, - Management, Team, Quality Follow-up * Managing Product Delivery (MP) * Stages - Management & Technical Stages * Managing Stage Boundaries (SB) * Change Control - Capture, Logging, * Management of Risk * Closing A Project (CP) Assessment, Decision - Risk Assessment & Management * Planning (PL) * Quality in a Project Environment * Project Filing Structure - Quality Requirements & Response - Management File THE BUSINESS CASE - Specialist File * Configuration Management * Business Benefits - Quality File - Tracking Products & Documentation + Existing Organisation * Change Control RISK MANAGEMENT Techniques already used - Capture & Assessment * Risk Analysis & Actions within the host organisation * Risk Management PRINCE 2 SOFTWARE SUPPORT ENVIRONMENT EXPERIENCE, BEST PRACTICE, COMMONSENSE Figure 4: Summary Model of the PRINCE 2 Method The PRINCE 2 methodology applies three key elements to each project and to the Management Stages within a project. These are summarised in the above Model and described, briefly, in the following tables. The three elements are the Processes which drive the project management, Components and Techniques, which are used by each of the Processes to effect the management of the project. 28
  • 29. Ken Bradley’s Understanding PRINCE 2 The PRINCE 2 Processes DESCRIPTION REF EXPLANATION Starting Up A Project SU Establishes the Objectives and Approach to the Project; Set up the Project Management Team; Plans for the Initiation Process. This is a pre- project Process, which looks to answer the question “do we have a worthwhile and viable project?” before asking for commitment of resources to set up a project environment. Initiating A Project IP Plans the whole Project in terms of its Products, Activities, Resource Usage and Quality; Sets the baseline for the Business Benefits & Risks. Directing A Project DP Provides Authorisation for work to be carried out and Resources to be committed. Authorisation for Project Initiation and Project Closure and, in some cases, its premature termination. The Process is “owned” by the Project Board – the ultimate authority for the Project - accountable for its overall success. Controlling A Stage CS The basic day-to-day project management Process - authorising work to create or change Products (or Deliverables), collecting and reflecting “actuals”, assessing progress and reporting to senior management. Capturing proposed changes and errors and escalating these, where appropriate to management. Managing Product Delivery MP The main “workshop” for the project where the majority of resources are consumed. This Process is where the Products of the Project are created. Progress reports (Checkpoint Reports) are provided to the Project Manager. Quality Review and Delivery of Products occurs here. Managing Stage Boundaries SB Reporting on the achievements of the Current Management Stage and the impact on the overall Project Plan and Business Case. Planning the Next Stage (Products, Activities, Resource Usage). Putting together Exception Plans when the Management Stage has suffered a significant departure from its approved plan. Closing A Project CP Preparation for closing the Project in an orderly way. Customer sign-off, preparation of an End- Project Report and identification of Lessons Learned and Follow-on Recommendations. Planning for a Post-Project Review. Planning PL Used by all the other Processes - a common-to- all Process featuring the design of the plan and its creation. 29
  • 30. Ken Bradley’s Understanding PRINCE 2 The PRINCE 2 Components: DESCRIPTION USED EXPLANATION BY Organisation SU Organisation Structure + Role Descriptions. SB Predominantly used in the “Starting Up A Project” Process where the Executive and Project Manager are appointed in the first Process, and the Project Management Team is designed and appointed. The Project Management Team is reviewed at the end of each Management Stage within “Managing Stage Boundaries”. Planning SU All Processes use the Planning Component. The IP Initiation of the project is planned during CS “Starting Up A Project”; the project itself is MP planned in “Initiating A Project”; Stage plans SB are prepared in “Managing Stage Boundaries”; CP and Product planning is carried out in PL “Controlling A Stage” and “Managing Product DP Delivery”. Follow-on actions, including preparation of a Post-Project Review Plan are put together in “Closing A Project”. “Directing A Project” uses the approved plans throughout to confirm the required progress. Controls SU All the Processes use the Controls Component. IP The “control” Processes which make particular CS use of this Component are “Initiating A Project” MP (which sets up the overall project control SB structure); “Controlling A Stage” (which uses CP Checkpoint Reports to capture progress, and PL records actual usage of resources. Highlight DP Reports are used to inform the Project Board of progress); “Managing Product Delivery” generates Checkpoint Reports for control purposes. Stage approval is handled by “Managing Stage Boundaries” where Management Stages are approved via End Stage Assessments. This Process also uses Exception Reporting and Planning to control significant departures from plan. “Directing A Project” is the Process within which overall authorisations are made; this Process uses the key controls of End Stage Assessment, Tolerance, Project Initiation and Project Closure. 30
  • 31. Ken Bradley’s Understanding PRINCE 2 The PRINCE 2 Components (Continued) Stages IP Management Stages provide the key control for SB the Project Board and are mainly used by CS “Directing A Project” when authorising DP commitment for expenditure. Technical Stages often overlap and run in parallel; Management Stages may not. The key control Processes use Management Stages in planning and control of the project. Management of Risk SU Risk Analysis is carried out initially in “Starting IP Up A Project” when the Project Brief is created. SB This is refined in “Initiating A Project” where DP the Business Case for the project is established. The Risk Analysis is updated during “Managing Stage Boundaries” to provide the basis for decision support for the Project Board when they review the project at the End Stage Assessment in “Directing A Project”. No specific risk analysis tools or techniques are recommended. Management of risk has close ties with the Business Benefits which are measured and presented as the Business case for the project. Both the Business Case and the Risk Analysis are up-dated, minimally, at the end of each Management Stage. Quality In A Project SU The Customer’s Quality Expectations are first Environment IP identified in “Starting Up A Project” and quality CS aspects are planned in “Initiating A Project”. MP When the project is approved, “Controlling A PL Stage” and “Managing Product Delivery” enable specific Quality Criteria to be set for each Product or Deliverable via Product Descriptions described in the “Planning” Process. Configuration IP Configuration Management addresses the proper Management CS safeguarding and management of Products or MP Deliverables and their associated documentation. CP “Initiating A Project” sets up the Project Files and “Controlling A Stage” and “Managing Product Delivery” executes the Configuration Management arrangements. Project Files are archived in “Closing A Project” mainly for audit purposes. Change Control CS Managing proposals for change is an important aspect of project management and the Process “Controlling A Stage” is where such proposals are captured. 31
  • 32. Ken Bradley’s Understanding PRINCE 2 The PRINCE 2 Techniques DESCRIPTION EXPLANATION Product-Based Planning A “Product Breakdown Structure” which identifies the Products or Deliverables to be produced during the project. A “Product Description” for each Product identified in the Product Breakdown Structure, which defines and specifies each Product; a key feature of the Product Description is the Quality Criteria used to ensure that the Product is indeed a “Quality Product” that conforms to its requirements. A “Product Flow Diagram” which shows the relationship that each Product has with others and external entities; the Product Flow Diagram must “balance” with the Product Breakdown Structure. Quality Review Technique Used for measuring a Product or Deliverable against its published Quality Criteria. PRINCE 2 recognises Informal Quality Reviews (typically “Desk Checks”, Tests or Visual inspections) and Formal Quality Reviews (which are more structured “Walkthroughs” of a Product or Deliverable). Formal Quality Reviews comprise three distinct Phases - Preparation, The Review Meeting and Follow-Up. Change Control Every project must be able to accommodate changes required by the customer or anyone else who has an interest in the project’s outcome. All suggested changes, identified errors and departures from the agreed Specification must be captured as “Project Issues, logged, analysed for technical, customer and business impact, and a decision made on whether to accept or reject the Issue. Project Filing A suitable filing structure is suggested; this comprises a “Management File” made up of one Project File and a series of Stage Files - one for each of the Management Stages of the project. A Specialist File housing the documentation relating to the technical aspects of the project and a Quality File housing the Quality Review documentation and the Project Issues complete the structure. More on the PRINCE 2 Processes The eight major Processes state the minimum content that can be expected to be found in a PRINCE 2 compliant project. Exactly how the Processes are addressed within any project is the responsibility of the organisation’s senior management, represented by the Project Board, and the Project Manager, but the method requires that each of the eight Processes is reflected within the project one way or another. All the Processes link to Components and Techniques some of which are described within 32
  • 33. Ken Bradley’s Understanding PRINCE 2 the method. It is anticipated that most organisations will already be using some specific Techniques and might wish to incorporate additional Components reflecting their business environment and culture. PRINCE encourages this where they provide value to the management decision making process. Each Process is defined in the following terms: ♦ The Fundamental Principles that underpin the Process; ♦ The Context within which the Process operates; ♦ An Overview of the Process; ♦ Responsibilities identifying accountability for the Process; ♦ The Information Needs required for the Process to function effectively; ♦ The Key Criteria which will influence the success or failure of the Process; ♦ Hints and Tips for carrying out the Process in the best way. ♦ Major Processes have an additional “Scalability” heading to help with scaling down each Process for smaller, lower risk projects, where this is required by senior managers. The Process-based approach is a powerful feature in PRINCE 2 and is the area which most differentiates it from version 1 of the method. The flexibility of the method is, however, underlined by allowing implementing organisations to choose their own destiny in terms of identifying how to meet the requirements of any given Process. In most organisations already operating successful project management systems there will be little need to make changes to the way they are operating, provided effective project management procedures are already in place. The Organisation Component The organisation and effective use of people assigned to manage a project needs to be considered from the view point both of the specialist skills they bring to the project and their individual personalities. Responsibilities need to be defined within a team structure to ensure that management is both efficient and responsive, and that individuals understand exactly what is expected of them. Within PRINCE 2, responsibilities are defined in terms of roles, rather than individual’s jobs. Assignment of roles to individuals is a decision for each Project Board to take in the light of organisational circumstances, and the same individual may be assigned to more than one role, or to different roles at different stages of the project. Three roles/interests must always be represented on any PRINCE 2 project – Business, User, and Supplier. 33
  • 34. Ken Bradley’s Understanding PRINCE 2 Corporate or Programme Management The Project Board Senior User Senior Supplier Executive Project Assurance Project Manager Project Support Team Manager Team Manager Team Manager Project Resources & Teams Figure 5: The PRINCE 2 Organisation Structure The Project Board Every PRINCE 2 project will have a Project Board appointed. The Project Board is the ultimate authority for the project and is normally appointed by Corporate or Programme Management to take overall responsibility and control of a PRINCE 2 project. The Project Board consists of three senior management roles, each representing major project interests. ♦ Executive: appointed by Corporate/Programme Management to provide overall project guidance and assessment throughout. The Executive represents the interests of the Customer and the Business and has overall responsibility for the project. ♦ Senior User: representing users (and, where appropriate, Customers) of the outcome or the major products from the project. ♦ Senior Supplier: representing areas which have responsibility for providing the specialist “know-how” and/or committing Supplier resources for the solution. The Senior Supplier might be drawn from an external, commercial, organisation or from internal sources responsible for delivering the specialist “End Product” to the customer (or a mixture of both). 34
  • 35. Ken Bradley’s Understanding PRINCE 2 There is a requirement within the Method to have a Project Board function and this cannot be eliminated or delegated (although the terminology may be changed to suit the organisation’s culture, for example “The Project Authority”). The Project Board’s accountability for Project Assurance cannot be delegated although the day-to-day work of Project Assurance can if Project Board members do not have the time or expertise to carry out the tasks involved. The Project Manager A Project Manager will always be appointed to assume day-to-day responsibility for planning and management of the project throughout all its Management Stages. The Project Manager takes direction from the Project Board and is responsible for managing, on behalf of the Project Board, the Processes, planning and delivery of Products for the project, on-time, within budget, meeting the specialist/technical and quality criteria agreed with the Project Board. As with the Project Board, the role of Project Manager is a required role within the Methodology and cannot be shared, delegated or eliminated. The Team Manager In a large or complex project, one or more Team Managers may be assigned the responsibility for ensuring that the products of one or more particular Technical, or Specialist, Stages of work are planned, controlled and produced on schedule, to the defined and agreed quality standards, and within budget. Project Manager Project Support Team Manager Team Manager Team Manager Project Resources & Teams Figure 6: Project Manager and Team Manager Relationships The Team Manager role is optional and will only be present in large projects or where the Project Manager lacks the specialist skills to plan and control specific parts of the project. 35
  • 36. Ken Bradley’s Understanding PRINCE 2 Project Resources and (Specialist) Teams The Project and/or Team Manager have responsibility for Teams of specialist staff, tasked to carry out the activities and produce the Products of the stage. The team organisation, responsibility definitions and the allocation of these responsibilities to individuals will depend upon the size and nature of the project and the skill mix available. PRINCE 2 recognises the need to establish Team Manager roles where appropriate; Project Assurance PRINCE 2 separates the Project Assurance function from the Project Support function. The Project Board have responsibility and accountability for Project Assurance. Depending on the size, scope, risk and profile of the project, and their own knowledge, skills and time available, they may choose to delegate responsibility for overseeing day to day Project Assurance to others within the organisation. However, accountability for Project Assurance rests with the Project Board and they are not able to delegate this. Project Assurance may not be delegated to the Project Manager or to Team Managers. The Project Board Senior User Senior Supplier Executive User Assurance Specialist Assurance Business Assurance Project Assurance Figure 7: Project Board and Project Assurance Functions Although not specifically separated out in the PRINCE 2 Method, Project Assurance can be found in two distinct forms: ♦ External Assurance to confirm that the project is following overall and corporate standards (eg the published Quality Management System, or particular accounting conventions) and the organisation can be expected to have an audit function already in place to check these aspects. ♦ Internal Assurance to verify that the project is delivering Products or Deliverables that meet the agreed Quality Criteria and that internal project standards are being followed. Internal Assurance is ultimately the responsibility of the Project Board. 36
  • 37. Ken Bradley’s Understanding PRINCE 2 Project Support Within PRINCE 2, Project Support, on a formal basis, will only exist where there is a perceived need for it. A Project Manager may well find that the Project Board see no scope for any administrative support, and that any day-to-day assistance might need to be on an “ad-hoc” basis. Project Manager Project Support Figure 8: Project Manager and Project Support Relationships Where a project does warrant the appointment of a Project Support function, the individual(s) selected will report directly to the Project Manager. Incidental support for the Team Managers, where appointed, and Team resources will normally form part of Project Support’s responsibilities. The Project Support Office A Project Support Office might well evolve in a Programme or multi-project environment, to support a number of individual projects. The methodology supports the possibility of a transition from several Project Support individuals to a central Project Support Office where the number of projects under development warrants it. The resultant Project Support Office will be able to provide a centre of expertise for all project management aspects within the organisation/site, effectively delivering an internal consultancy service where required by Project Board members, Project Managers and project team members. Summary of The Organisation Component In the final analysis, it is the people who are responsible for the management of the project and the creation of its deliverables who have its success in their hands. Clear definition of responsibilities and a tenacious commitment to achieving agreed goals will always be the predominant factor in success. The PRINCE 2 Method must always be tuned to suit the implementing organisation’s existing standards, business approaches, culture and people; the latter two are arguably the most important. 37
  • 38. Ken Bradley’s Understanding PRINCE 2 PRINCE 2 Planning Estimating, planning and re-planning are constant and key activities when managing any project. PRINCE 2 provides a structure for preparing and maintaining plans at appropriate levels throughout the life of a project. Plans are prepared for the Project as a whole, for each stage within the project and, optionally, for the teams’ work within each Management Stage. There is also an Exception Reporting and Planning process to handle divergences from the original plan. The PRINCE 2 method include a Technique for Product-Based planning incorporating Activity planning, Resource reporting and Quality planning. Products or Deliverables and Related Activities PRINCE 2 provides a set of planning techniques which give structure to the project. The key to PRINCE 2 planning is the identification and definition of the Products required. From this comes an analysis of the work (ie the activities) required to generate these products, and the sequencing of the work. PRINCE makes a distinction between Management Products and Activities, Specialist Products and Activities, and Quality Products and Activities. This is partly because these are usually the concern of different groups of people, but also to ensure that management activities are not overlooked in planning and estimating. The Plan Text provides a high-level, overall view of Plan the plan, summarising its key features Text Product Identifying the Products/Deliverables that will be Breakdown produced by the Project. The Products will be categorised Structure under the headings of “Specialist”, “Management”, and “Quality” Products. Describing the Products/Deliverables that will be Product produced by the Project. There is a prescribed format Descriptions for Product Descriptions Describing the relationships that exist between Product each Product/Deliverable, and external entities. Flow Diagram PERT or Showing the relationships that extist between the Activities that will be undertaken Activity to create the Products identified in the Product Breakdown Structure. Network Gantt Derived from the PERT Network, this shows when Activities are or planned to start and end. Major Review points (End Stage Timescale Assessments) are also shown on this plan. Plan Figure 9: PRINCE 2 Plans Structure 38
  • 39. Ken Bradley’s Understanding PRINCE 2 Management activities are concerned with planning, monitoring and reporting the work of the project, in both normal and exceptional situations. They produce Management Products in the form of plans, reports and other control documents. Management activities include the planning and control of all specialist activities on the project. Although influenced by the specialist content, a similar pattern of management tasks can be expected to be present in any PRINCE 2 project. Conversely, the Specialist activities undertaken by a project are determined entirely by the scope and objectives of the project. The Specialist activities describe the work needed to produce the Specialist Products required from the project. The Specialist Products required by the user/customer are identified and defined at the start of the project by the Project Manager and accepted by the Project Board. Additional Specialist Products may be defined by the strategy appropriate to a particular Management Stage of the project; specialist activities may also be prescribed by an organisation’s own particular technical strategy. PRINCE 2 therefore acknowledges the need for flexibility in the selection and definition of Specialist activities and the corresponding Products. Completed Feasibility Study Management Products Specialist Products Quality Products MP01 - Project Initiation Document MP02 - Stage Plans FS 01 - Business review MP03 - Lessons Learned Log FS02 - Problem Definition QP01 - Product Descriptions MP04 - Risk Log FS03 - Options Identified & Agreed QP02 - Quality Review Documentation MP05 - Business Case FS04 - Options Appraised QP03 - Project Issues Log MP06 - Product Checklist FS05 - Selected Option Agreed QP04 - Quality Log MP07 - Highlight Reports FS06 - Final Report QP05 - Configuration Management MP08 - Project Start Notification MP09 - Project End Notification MP10 - Project Filing Structure The Technical Management Standard for the Project The Project Management The Quality Management Standard for the Standard for the Project Project Figure 10: Management, Quality and Specialist Products (For A Typical Feasibility Study) Quality activities may be performed by anyone who is able to make a contribution to the Product under review. Individuals within the project and host organisation as well as people external to the organisation are all appropriate. Quality activities must be planned for early in the life of the project. The PRINCE 2 Product planning techniques require every project to be described and 39
  • 40. Ken Bradley’s Understanding PRINCE 2 defined in terms of its Products or Deliverables. This is a very effective way to ensure full understanding of what is required and to ensure that, as far as possible, all resource consuming activities are related to one or more required Products. Planning for the Delivery of Specialist Products PRINCE 2 Plans are concerned with the Products to be delivered and with the activities necessary to ensure that these Products emerge on time and to the required quality standards. The project Products are identified as a first step in Product-Based Planning; definition of each product (via the PRINCE Product Description) allows its make-up and quality requirements to be documented and properly understood. A Product Breakdown Structure illustrates the hierarchical make-up of the complete set of project products and a Product Flow Diagram provides a view of the relationship each product has with others, within and outside of the project. FS01 Solution Providers Strategy Plan Business Review FS02 Problem Definition FS03 Options Identified & Agreed FS04 Options Appraised FS06 FS05 Final Report Selected Option Agreed Figure 11: Product Flow Diagram (For A Feasibility Study) The Project Timescale or Gantt Plan charts the major activities of the project. It is usually derived from the PERT (Programme Evaluation and Review Technique) or Activity Network which shows the relationships that exist between project activities. It is used in conjunction with a Project Resources Report to monitor progress on the project as a whole. It also addresses planning requirements related to Quality Control and Configuration Management. A Stage-level Gantt (or time-scale) Plan shows the products, activities and quality controls for each stage of the project. The Stage-level Gantt Plan is produced and approved at the end of the previous stage (the plan for the first stage is prepared with the project plan). 40
  • 41. Ken Bradley’s Understanding PRINCE 2 Additional, lower-level Gantt Plans can be expected to exist in most projects, to give a detailed breakdown of particular major activities These are termed “Team Plans”. Initiate Specify Design Build Test Train Handover Management Management Management Stage 1 Stage 2 Stage 3 Figure 12: Gantt Plan (Time-scale Plan) Lower level Plans (or Individual Work-to Lists), if required, are derived from the Stage and Team Plans to allocate detailed activities (and Products/Deliverables) to particular members of a Specialist Stage Team. Although this level of plan is not formally included in PRINCE 2 they may be utilised if the size and/or complexity of the project requires their production. Resource Planning & Reporting Resource requirements are concerned with managing the funding and effort resources of the project. Specific resource plans are not produced for PRINCE 2 controlled projects, as the method assumes that a software planning tool will be used. Where this is the case, relevant reports on planned and actual resource usage can be drawn from the Project Plan in the form of a “Resources Report” as and when required. Where a software support tool for planning is not in use (for example in the case of a low cost, short duration, low risk project) the format for a resources plan or report shown in figure 13 may be of use. Even where a software planning tool is in use, the presentation of the information might well benefit by adopting the format shown in figure 13 as it reflects the type and level of information required by the Project Board in reaching a suitable business decision. It is the decision-support information about the requested commitment of resources that is of most use to Project Board members in reaching their decision to start or continue with the project and careful thought must be given as to the most appropriate presentation of the data. 41
  • 42. Ken Bradley’s Understanding PRINCE 2 Stage 1 Stage 2 Stage 3 Plan Actual Plan Actual Plan Actual EFFORT (Staff Weeks) Skill Types Customers Engineers IT Analysts Others COSTS (£K) Skill Types Customers Engineers IT Analysts Others Equipment Fixed Price Elements Total Stage Costs Total Project Costs Figure 13: Typical Project Resources Report (or Plan) The standard Resources Report drawn from any software-driven Project Plan will identify the type, amount and cost of the resources required by the project related to each Management Stage of the work. It will also identify equipment, building, and fixed-price costs associated with the project. The intention is to provide a complete resource and financial picture of the undertaking. A more detailed Resources Report, at Management Stage Level identifies the resources required by the particular stage. It defines the budget required by the stage and is used to report actual expenditure and resource usage against plan More detailed Resource Plans at the Team Level will be produced when required, to plan and control a particular major activity, and the associated team work-plans and Products. Quality Planning - BS/EN/ISO9001 Action must be taken at project planning time (within the “Initiating A Project (IP1)” Process) to ensure that the project can deliver its Products to the required quality standards (the Customers Quality Expectations) required by the customer. Quality Criteria must be defined and agreed, and incorporated into a Product Description for each major Product identified; a Project Quality Plan must be defined, published and adopted; Quality Review procedures must be established and staff trained; review activities must be properly resourced. Whatever action is proposed to build quality into the project, the measures must be consistent with any published Quality Management System (QMS) that is already in effect. PRINCE 2 has been designed to comply with the BS/EN/ISO9001 Quality Management Standard and the method contains a section relating its content to each section of the ISO Standard. BS6079, the Project management Standard, is also reflected within PRINCE 2. ISO9001, BS6079 and PRINCE 2 are all Process-driven; the foundation for quality and 42
  • 43. Ken Bradley’s Understanding PRINCE 2 effective, modern project management is therefore integral and inherent in PRINCE 2. The results of the quality planning activity must be integrated into the timescale and resource plans at each level. Just as quality must be built into the Products, so must quality control be built into the plans. Project Plan (Mandatory Plan) Stage Plan Stage Plan Stage Plan Team Team Team Team Team Team Plan Plan Plan Plan Plan Plan Project Resources Report (Effort, Costs, Equipment, Direct Costs) Figure 14: PRINCE 2 Planning Levels - Project, Stage & Team ♦ The Project Level plan (required) sets the overall quality approach for the entire project. It defines the standards to be followed and the quality criteria for the major products. It also identifies external constraints that may apply to the project, such as a specific Configuration Management Method. ♦ The Stage Level plan (required) identifies the quality criteria, methods and review guidelines for each Product produced during the stage. ♦ A Team plan (optional) might be required for specific individual activities such as carrying out interviews within a particular user/customer area. The Project Manager is responsible for deciding whether any plans below stage-level are required; this decision will be endorsed by the Project Board at the Project Initiation or End-Stage Assessment meeting. Tolerance and Planning The Project Board Executive sets tolerances for Stage Plans. These define the limits of time-scale and cost (or sometimes effort) within which the Project Manager can operate without further reference to the Project Board. Tolerance is variable and will be assigned to each Management Stage to reflect the respective business risk, but a general rule of 43
  • 44. Ken Bradley’s Understanding PRINCE 2 thumb is that Time Tolerance of plus/minus 1 week and Cost Tolerance of plus/minus 10% is about right. An Exception Report and, subsequently, if required by the Project Board, an Exception Plan, is produced in situations where costs or time-scales are forecast to be exceeded beyond the tolerances set by the Project Board. The Exception Report describes the cause of the deviation from plan and its consequences and recommends corrective action to the Project Board. Once considered and approved by the Project Board at a Mid-Stage Assessment (MSA), the Exception Plan replaces the re- mainder of the current Stage Plan. The Controls Component Regular and formal monitoring of actual progress against the approved plan is essential to ensure the timeliness, cost control and quality of the system or undertaking being developed. PRINCE 2 provides a support structure of Management and Product-oriented controls to monitor progress, supported by a reporting procedure which enables re- planning or other appropriate corrective action to be taken. Management Controls PRINCE 2 provides a structure of management controls to be applied throughout the project. These controls cover all aspects of project activity and, at the highest level, allow the Project Board to assess project achievement and status prior to committing further expenditure. Controls are applied through measuring the progress towards production of a set of pre-defined outputs (Products or Deliverables). The overall structure of Management Controls is defined during the project Initiation Stage (“Initiating A Project (IP4)” Process) to ensure that the project is set up with clear Terms of Reference, incorporating agreed and measurable Objectives and an adequate management control structure. Project Initiation To document a firm foundation and to provide a positive start to the project, ensuring that the terms of reference, objectives, plans and controls, business risks, benefits and financial return, organisation structure and job definitions are clearly defined, published, understood and agreed. This Management Product is very important to the project and is the result of two Processes - the pre-project “Starting Up A Project (SU)” and “Initiating A Project (IP)”. The key output is the Project Initiation Document (PID) which, when approved by the Project Board, is a “frozen” document used to baseline the project. 44