PRINCE2 Issue and Change Control is about dealing with issues, which could be requests for change, off-specification and concerns/problems. There are 5 steps to Issue and Change Management; they are: Capture, Examine, Propose, Decide and Implement.
- Capture: Determine type of issue, formal, informal, request for change or off-specification
- Examine: Assess the impact of the issue on the project objectives
- Propose: Propose actions to take, so identify the options, evaluate and recommend
- Decide: Someone higher up in the organization decides whether to approve, reject or defer the recommend solution
- Implement: Put the recommended solution in action. This is known as taking corrective action. It can involve updating a Work Package or creating an Exception Plan.
The Project Manager can make certain decisions provided the Stage stays within tolerance; however if the recommended option is costly or takes time and has been forecast to take the Stage out of tolerance, then this is escalated to the Project Board.
I will use 3 example Issues from a CRM project in each step of the Issue and Change Control process.
The 3 three issue examples are:
- One of the external hard-disks used for taking backups is broken
- Default Page Background Color needs to be changed to match the new corporate colors
- The supplier did not complete the automated Forget Password feature, as it was difficult to integrate the intended module into the CRM application.
PRINCE2 Issue and Change Control Procedure:
Capture is the first step in the Issue and Change Control procedure.
The objective is to determine the type of issue (change request, off-specification, problem/concern), and then determine how serious it is and if needs to be treated formally. It is then added to the Issue Register. If the issue does not need to be handled informally, then it can be noted in the Daily Log.
The Project Manager will receive many issues during the project, some of which can be solved immediately by the Project Manager without the need for any formal follow-up. For instance, if a team member needs access to an application; the Project Manager could send an email to request it.
This type of issue can be handled quickly and informally.
Distinguishing between formal and informal issues has a number of advantages.
Some issues can be solved immediately, so there is less administrative burden at having to handle every small issue formally (e.g., entering in the Issue Register and creating an Issue Report).
It is possible to avoid the Project Board from being overwhelmed with too many issues. Less time can be devoted to dealing with the issues that really do need attention.
Let us look at the three example issues, the type of issue and their severity:
1. 1st Issue: The 2nd external hard-disk used for taking backups of the project data is broken.
- What type of issue is this? Is it (1) Change Request, (2) Off-Specification or (3) Problem or Concern? This is a problem or concern, as it is not an off-specification or change request
- This is something that can be handled immediately by the Project Manager. The cost of a new hard-disk is just €90 and it does not need to be registered in the Issue Register, but can be noted in the Daily Log
- The severity is low, as it can be solved by the Project Manager.
Determine issue type
Determine severity/priority Assess impact on project objectives Business Case and project risk profile
Check severity/ priority Identify options Evaluate options
Recommend options Escalate if beyond delegated authority Approve, reject or defer recommended option
Take corrective action/Update records and plans Daily Log or Issue Register/Issue Report
Project Board/Change Authority Capture/Examine/Propose/Decide/Implement/Request for advice/ Exception Report
Example Issue:
Default Page Background Colour needs to be changed to match the new corporate colour.
What type of issue is this?
Is it (1) Change Request,
(2) Off-Specification or
(3) Problem or Concern?
- This is a change request
- Question: Do you think it has it has to be handled formally or informally? (Tip: The Project Product Description has already been baselined and this change request happened during the project)
- This issue has to be handled formally, as we cannot change the Project Product Description that has already been baselined; therefore, this issue will be recorded in the Issue Register
- The severity could be normal, as the cost & time to do this change will be low and should be well within the tolerance level of the Project Manager
- The Project Manager will normally contact the necessary people to request permission to do this. Update the Project Product Description and get it approved.
3. 3rd Issue: The supplier did not complete the automated Forget Password feature, as it was difficult to integrate the intended module into the CRM application.
Question: What type of issue is this? Is it
(1) Change Request,
(2) Off-Specification or
(3) Problem or Concern?
- This is an off specification and it should have been done by the supplier but it was not.
Question: Should it be handled formally or informally? - It needs to be handled formally and will therefore be entered in the Issue Register
- The severity maybe high, as only the Project Board can take a decision on this.
When is a PRINCE2 Issue Report created?
You should start to create the Issue Report once you enter the information into the Issue Register, then start to investigate the issue. The Issue Register then acts as an overview for all the issues. It is possible to see at any time how many issues are open and the status of each issue.
Examine: Issue and Change Control Procedure:
Examine is the second step in the Issue and Change Control procedure. This step involves examination of the issue by doing an Impact Analysis, i.e., looking at what effect the issue will have on the project objectives.
The Impact Analysis should consider the impact that the issue has on:
- The project performance targets: The project variables, time cost, quality and scope and others
- The project Business Case, especially in terms of the impact on benefits
- The project’s exposure to risk.
The Project Manager will decide how detailed the Impact Analysis should be, as there is no point in spending many hours on this if the issue can be solved in less time than it takes to do an Impact Analysis.
Let us look at the three example issues:
1. 1st Issue: The broken external hard-disk that is a problem or concern and informal.
There is no need to do an Impact Analysis. This issue can be handled immediately by the Project Manager.
2. 2nd Issue: The default page background Color needs to be changed to match corporate colors.
- An Impact Analysis should be done. It is also necessary to see what the impact would be if nothing was done. As you can imagine, this Impact Analysis does not have to be detailed
- Effect on Cost & Time: Cost would be low, as it can be done centrally and could be done within 2 hours, which includes testing
- Effect on Business Case: The marketing department may not allow the application to be put into production unless the colors are changed, so this will have a rather big impact on the Business Case.
3. 3rd Issue: The supplier did not complete the automated Forget Password feature.
- This will require a detailed Impact Analysis to see what the effect will be if this functionality is not added, and to look for other options as well
- Effect on Cost & Time: This has no effect on the cost from the client’s point of view, as it should be done by the supplier. It might add an extra 4 workings days to the project
- Effect on Quality: Yes, as users will have to contact the support desk if they forget their password
- Effect on Business Case: Will only have a small impact on the Business Case
- Effect on risk profile: none.
After doing the Impact Analysis, the Project Manager can add more information to the Issue Register, including the severity, and also update the Issue Report and of course, keep the person informed who raised the issue.
Propose
Propose is the third step in the Issue and Change Control procedure. After the Examine step, the Project Manager has a much better understanding of the issue. The next step is to propose the actions to take to deal with this issue.
The Project Manager will now consider different options and will propose a course of action to take. These different options must also balance the cost with the advantage gained by doing a certain action and also look at the effect of each option on the project objectives, i.e., time, cost, quality, scope, benefits and risk.
Let us look at the 3 example issues:
- 1st Issue: The 2nd external hard-disk used for taking backups is broken
- This is easy to solve, in fact the Project Manager will not bother to spend too much time investing this issue or thinking about different options
- They will usually take a quick decision to order a new one and close the issue.
- 2nd Issue: Default Page Background Colour needs to be changed to match the new corporate colours
- Options: There are just two obvious options: (1) change the colour or (2) do nothing
- Cost will be low and it is very easy to do
- Effect on the project: There will be no negative effect on project objectives if this change is done. Not doing this change, however, might prevent the application from going live, as the marketing department might block it until the new corporate colors are used.
- 3rd Issue: The supplier did not complete the automated Forget Password feature.
Options can be: - Ask the supplier to find a new module that will provide a solution
- Write a new module
- Implement a part solution where users can fill in a form to request a new password. This would be sent directly to the support desk and there is no need to call the support desk
- Ask supplier to find a solution to the current module that they tried to use already.
Cost: These options will have different costs. This could be for the supplier or shared, or the supplier could ask the customer to pay for the extra work. This all depends on the agreed contract.
From a risk point, any of these actions will not have a negative effect on the project. Doing nothing, however, will increase the cost of future maintenance & support.
If any of the options were forecast to put the stage or project out of tolerance, then the Project Manager should consider creating an Exception Report to be included with the option, as they would need permission from the Project Board or higher management level to continue.
PRINCE2 says that the Project Manager should recommend one or more of these options and of course, they could get advice from other people.
Decide
Decide is the 4th step in the Issue and Change Control procedure. Depending on the issue, the Project Manager, Project Board or the Change Authority decides if any action should be taken. For issues that do not take the stage out of tolerance and are in line with the Configuration Management Strategy document, the Project Manager can decide on the issues without the need to escalate them to the Project Board.
Let us look at who can decide for the three example issues:
1. 1st Issue: The 2nd external hard-disk used for taking backups is broken
This has already been dealt with by the Project Manager & is closed.
2. 2nd Issue: Default Page Background Color needs to be changed to match corporate colour
- This is a Request for Change that normally could be decided by the Project Manager from a tolerance point of view, as the cost if very low
- It’s a change to an approved product description, however, and may need to be approved by the Project Board or Change Authority
- In this case, such requests would get approved if there is little cost and it brings the project in line with company standards. Doing nothing would create a new risk that the project might not be able to go live
- Note: The Configuration Management Strategy will document what the Project Manager is allowed to change without having to ask the Project Board or Change Authority
- I have also seen projects where the Project Manager was allowed to decide on minor changes to products provided they had no effect on any other products in the project.
3. 3rd Issue: The supplier did not complete the automated Forget Password feature.
1. Remember, this is an off-specification and the Project Board or Change Authority can decide to:
- Grant a concession, which is to say that the supplier does not have to do this. This is unlikely here, as it will raise the future support cost of the project
- Instruct the supplier to solve this issue at their cost.
OR choose one of the other options
Implement
Implement is the 5th step in the Issue and Change Control procedure. Implement is for the Project Manager, they will either:
- Take the corrective action, such as updating a Work Package or issuing a new Work Package
- Create an Exception Plan that, again, would have to be approved by the Project Board.
Let us look at the example issue.
1. 1st Issue: The 2nd external hard-disk used for taking backups is broken
- The Project Manager will order a new Hard Disk & close the issue.
2. 2nd Issue: Default Page Background Colour needs to be changed to match corporate colour.
- This is Request for Change and a small change
- The Project Manager would normally include this request for change in one of the Work Packages
- Note: The Project Manager will check that the change to the Project Product Description document has been approved (signed off); otherwise they cannot implement the change.
3. 3rd Issue: The supplier did not complete the automated Forget Password feature
- The Project Manager would most likely give out a new Work Package to solve this.
In both the 2nd& 3rd example cases, the Project Manager will update the Issue Register and Issue Report with the decision and then inform the interested parties that action will be taken. The 1st issue was only documented in the Daily Log.
Lastly, after implementation has been done, checked and accepted for an issue, the issue can be closed. The Project Manager will update the Issue Register & Issue Report with the status “closed.”
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