Chapter 5
Project Scope Management includes the processes required to ensure that the
project includes all the work required, and only the work required, to complete
the project successfully (1). It is primarily concerned with defining and controlling
what is or is not included in the project. Figure 5-1 provides an overview
of the major project scope management processes:
5.1 Initiation—authorizing the project or phase.
5.2 Scope Planning—developing a written scope statement as the basis for future
project decisions.
5.3 Scope Definition—subdividing the major project deliverables into smaller, more
manageable components.
5.4 Scope Verification—formalizing acceptance of the project scope.
5.5 Scope Change Control—controlling changes to project scope.
These processes interact with each other and with the processes in the other
knowledge areas as well. Each process may involve effort from one or more individuals
or groups of individuals, based on the needs of the project. Each process
generally occurs at least once in every project phase.
Although the processes are presented here as discrete components with welldefined
interfaces, in practice they may overlap and interact in ways not detailed
here. Process interactions are discussed in detail in Chapter 3.
In the project context, the term scope may refer to:
Product scope—the features and functions that characterize a product or service.
Project scope—the work that must be done to deliver a product with the specified
features and functions.
The processes, tools, and techniques used to manage project scope are the
focus of this chapter. The processes, tools, and techniques used to manage
product scope vary by application area and are usually defined as part of the
project life cycle (the project life cycle is discussed in Section 2.1).
A project generally results in a single product, but that product may include
subsidiary components, each with its own separate but interdependent product
scopes. For example, a new telephone system would generally include four subsidiary
components—hardware, software, training, and implementation.
Completion of the project scope is measured against the project plan, but completion
of the product scope is measured against the product requirements. Both
types of scope management must be well integrated to ensure that the work of
the project will result in delivery of the specified product.
5.1 INITIATION
Initiation is the process of formally authorizing a new project or that an existing
project should continue into its next phase (see Section 2.1 for a more detailed
discussion of project phases). This formal initiation links the project to the
ongoing work of the performing organization. In some organizations, a project is
not formally initiated until after completion of a needs assessment, a feasibility
study, a preliminary plan, or some other equivalent form of analysis that was itself
separately initiated. Some types of projects, especially internal service projects and
new product development projects, are initiated informally, and some limited
amount of work is done to secure the approvals needed for formal initiation. Projects
are typically authorized as a result of one or more of the following:
A market demand (e.g., a car company authorizes a project to build more fuelefficient
cars in response to gasoline shortages).
A business need (e.g., a training company authorizes a project to create a new
course to increase its revenues).
A customer request (e.g., an electric utility authorizes a project to build a new
substation to serve a new industrial park).
A technological advance (e.g., an electronics firm authorizes a new project to
develop a video game player after advances in computer memory).
A legal requirement (e.g., a paint manufacturer authorizes a project to establish
guidelines for the handling of toxic materials).
A social need (e.g., a nongovernmental organization in a developing country
authorizes a project to provide potable water systems, latrines, and sanitation
education to low-income communities suffering from high rates of cholera).
These stimuli may also be called problems, opportunities, or business requirements.
The central theme of all these terms is that management generally must
make a decision about how to respond.
5.1.1 Inputs to Initiation
.1 Product description. The product description documents the characteristics of the
product or service that the project was undertaken to create. The product
description will generally have less detail in early phases and more detail in later
ones as the product characteristics are progressively elaborated.
The product description should also document the relationship between the
product or service being created and the business need or other stimulus that
gave rise to the project (see the list in Section 5.1). While the form and substance
of the product description will vary, it should always be detailed enough to support
later project planning.
Many projects involve one organization (the seller) doing work under contract
to another (the buyer). In such circumstances, the initial product description is
usually provided by the buyer.
.2 Strategic plan. All projects should be supportive of the performing organization’s
strategic goals—the strategic plan of the performing organization should be considered
as a factor in project selection decisions.
.3 Project selection criteria. Project selection criteria are typically defined in terms
of the merits of the product of the project and can cover the full range of possible
management concerns (financial return, market share, public perceptions, etc.).
.4 Historical information. Historical information about both the results of previous
project selection decisions and previous project performance should be considered
to the extent that it is available. When initiation involves approval for the next
phase of a project, information about the results of previous phases is often critical.
5.1.2 Tools and Techniques for Initiation
.1 Project selection methods. Project selection methods involve measuring value or
attractiveness to the project owner. Project selection methods include considering
the decision criterion (multiple criteria, if used, should be combined into a single
value function) and a means to calculate value under uncertainty. These are
known as the decision model and calculation method. Project selection also applies
to choosing the alternative ways of doing the project. Optimization tools can be
used to search for the optimal combination of decision variables. Project selection
methods generally fall into one of two broad categories (2):
Benefit measurement methods—comparative approaches, scoring models,
benefit contribution, or economic models.
Constrained optimization methods—mathematical models using linear, nonlinear,
dynamic, integer, and multi-objective programming algorithms.
These methods are often referred to as decision models. Decision models
include generalized techniques (Decision Trees, Forced Choice, and others), as
well as specialized ones (Analytic Hierarchy Process, Logical Framework
Analysis, and others). Applying complex project selection criteria in a sophisticated
model is often treated as a separate project phase.
.2 Expert judgment. Expert judgment will often be required to assess the inputs to
this process. Such expertise may be provided by any group or individual with specialized
knowledge or training, and is available from many sources, including:
Other units within the performing organization.
Consultants.
Stakeholders, including customers.
Professional and technical associations.
Industry groups.
5.1.3 Outputs from Initiation
.1 Project charter. A project charter is a document that formally authorizes a
project. It should include, either directly or by reference to other documents:
The business need that the project was undertaken to address.
The product description (described in Section 5.1.1.1).
The project charter should be issued by a manager external to the project, and
at a level appropriate to the needs of the project. It provides the project manager
with the authority to apply organizational resources to project activities.
When a project is performed under contract, the signed contract will generally
serve as the project charter for the seller.
.2 Project manager identified/assigned. In general, the project manager should be
identified and assigned as early in the project as is feasible. The project manager
should always be assigned prior to the start of project plan execution (described
in Section 4.2) and preferably before much project planning has been done (the
project planning processes are described in Section 3.3.2).
.3 Constraints. Constraints are factors that will limit the project management team’s
options. For example, a predefined budget is a constraint that is highly likely to
limit the team’s options regarding scope, staffing, and schedule.
When a project is performed under contract, contractual provisions will generally
be constraints. Another example is a requirement that the product of the
project be socially, economically, and environmentally sustainable, which will also
have an effect on the project’s scope, staffing, and schedule.
.4 Assumptions. See Section 4.1.1.5.
5.2 SCOPE PLANNING
Scope planning is the process of progressively elaborating and documenting the
project work (project scope) that produces the product of the project. Project
scope planning starts with the initial inputs of product description, the project
charter, and the initial definition of constraints and assumptions. Note that the
product description incorporates product requirements that reflect agreed-upon
customer needs and the product design that meets the product requirements. The
outputs of scope planning are the scope statement and scope management plan,
with the supporting detail. The scope statement forms the basis for an agreement
between the project and the project customer by identifying both the project
objectives and the project deliverables. Project teams develop multiple scope
statements that are appropriate for the level of project work decomposition.
5.2.1 Inputs to Scope Planning
.1 Product description. The product description is discussed in Section 5.1.1.1.
.2 Project charter. The project charter is described in Section 5.1.3.1.
.3 Constraints. Constraints are described in Section 5.1.3.3.
.4 Assumptions. Assumptions are described in Section 4.1.1.5.
5.2.2 Tools and Techniques for Scope Planning
.1 Product analysis. Product analysis involves developing a better understanding of
the product of the project. It includes techniques such as product breakdown
analysis systems engineering, value engineering, value analysis, function analysis,
and quality function deployment.
.2 Benefit/cost analysis. Benefit/cost analysis involves estimating tangible and
intangible costs (outlays) and benefits (returns) of various project and product
alternatives, and then using financial measures, such as return on investment or
payback period, to assess the relative desirability of the identified alternatives.
.3 Alternatives identification. This is a general term for any technique used to generate
different approaches to the project. There is a variety of general management
techniques often used here, the most common of which are brainstorming
and lateral thinking.
.4 Expert judgment. Expert judgment is described in Section 5.1.2.2.
5.2.3 Outputs from Scope Planning
.1 Scope statement. The scope statement provides a documented basis for making
future project decisions and for confirming or developing common understanding
of project scope among the stakeholders. As the project progresses, the scope
statement may need to be revised or refined to reflect approved changes to the
scope of the project. The scope statement should include, either directly or by reference
to other documents:
Project justification—the business need that the project was undertaken to
address. The project justification provides the basis for evaluating future
tradeoffs.
Project’s product—a brief summary of the product description (the product
description is discussed in Section 5.1.1.1).
Project deliverables—a list of the summary-level subproducts whose full and satisfactory
delivery marks completion of the project. For example, the major deliverables
for a software development project might include the working computer
code, a user manual, and an interactive tutorial. When known, exclusions
should be identified, but anything not explicitly included is implicitly excluded.
Project objectives—the quantifiable criteria that must be met for the project
to be considered successful. Project objectives must include at least cost,
schedule, and quality measures. Project objectives should have an attribute
(e.g., cost), a metric (e.g., United States [U.S.] dollars), and an absolute or
relative value (e.g., less than 1.5 million). Unquantified objectives (e.g., “customer
satisfaction”) entail high risk to successful accomplishment.
.2 Supporting detail. Supporting detail for the scope statement should be documented
and organized as needed to facilitate its use by other project management
processes. Supporting detail should always include documentation of all identified
assumptions and constraints. The amount of additional detail may vary by
application area.
.3 Scope management plan. This document describes how project scope will be
managed and how scope changes will be integrated into the project. It should
also include an assessment of the expected stability of the project scope (i.e., how
likely is it to change, how frequently, and by how much). The scope management
plan should also include a clear description of how scope changes will be identified
and classified. (This is particularly difficult—and therefore absolutely
essential—when the product characteristics are still being elaborated.)
A scope management plan may be formal or informal, highly detailed or
broadly framed, based on the needs of the project. It is a subsidiary component
of the project plan (described in Section 4.1.3.1).
5.3 SCOPE DEFINITION
Scope definition involves subdividing the major project deliverables (as identified
in the scope statement as defined in Section 5.2.3.1) into smaller, more manageable
components to:
Improve the accuracy of cost, duration, and resource estimates.
Define a baseline for performance measurement and control.
Facilitate clear responsibility assignments.
Proper scope definition is critical to project success. “When there is poor scope
definition, final project costs can be expected to be higher because of the
inevitable changes which disrupt project rhythm, cause rework, increase project
time, and lower the productivity and morale of the workforce” (3).
5.3.1 Inputs to Scope Definition
.1 Scope statement. The scope statement is described in Section 5.2.3.1.
.2 Constraints. Constraints are described in Section 5.1.3.3. When a project is done
under contract, the constraints defined by contractual provisions are often important
considerations during scope definition.
.3 Assumptions. Assumptions are described in Section 4.1.1.5.
.4 Other planning outputs. The outputs of the processes in other knowledge areas
should be reviewed for possible impact on project scope definition.
.5 Historical information. Historical information about previous projects should be
considered during scope definition. Information about errors and omissions on
previous projects should be especially useful.
5.3.2 Tools and Techniques for Scope Definition
.1 Work breakdown structure templates. A WBS (described in Section 5.3.3.1) from
a previous project can often be used as a template for a new project. Although
each project is unique, WBSs can often be “reused” since most projects will
resemble another project to some extent. For example, most projects within a
given organization will have the same or similar project life cycles, and will thus
have the same or similar deliverables required from each phase.
Many application areas or performing organizations have standard or semistandard
WBSs that can be used as templates. For example, the U.S. Department
of Defense has recommended standards WBSs for Defense Material Items (MILHDBK-
881). A portion of one of these templates is shown as Figure 5-2.
.2 Decomposition. Decomposition involves subdividing the major project deliverables
or subdeliverables into smaller, more manageable components until the
deliverables are defined in sufficient detail to support development of project
activities (planning, executing, controlling, and closing). Decomposition involves
the following major steps:
(1) Identify the major deliverables of the project, including project management.
The major deliverables should always be defined in terms of how the
project will actually be organized. For example:
The phases of the project life cycle may be used as the first level of decomposition
with the project deliverables repeated at the second level, as illustrated
in Figure 5-3.
The organizing principle within each branch of the WBS may vary, as illustrated
in Figure 5-4.
(2) Decide if adequate cost and duration estimates can be developed at this
level of detail for each deliverable. The meaning of adequate may change over the
course of the project—decomposition of a deliverable that will be produced far
in the future may not be possible. For each deliverable, proceed to Step 4 if there
is adequate detail, to Step 3 if there is not—this means that different deliverables
may have differing levels of decomposition.
(3) Identify constituent components of the deliverable. Constituent components
should be described in terms of tangible, verifiable results to facilitate performance
measurement. As with the major components, the constituent components should
be defined in terms of how the work of the project will actually be organized and
the work of the project accomplished. Tangible, verifiable results can include services
as well as products (e.g., status reporting could be described as weekly status
reports; for a manufactured item, constituent components might include several
individual components plus final assembly). Repeat Step 2 on each constituent
component.
(4) Verify the correctness of the decomposition:
Are the lower-level items both necessary and sufficient for completion of the
decomposed item? If not, the constituent components must be modified
(added to, deleted from, or redefined).
Is each item clearly and completely defined? If not, the descriptions must be
revised or expanded.
Can each item be appropriately scheduled? Budgeted? Assigned to a specific
organizational unit (e.g., department, team, or person) who will accept
responsibility for satisfactory completion of the item? If not, revisions are
needed to provide adequate management control.
5.3.3 Outputs from Scope Definition
.1 Work breakdown structure. A WBS is a deliverable-oriented grouping of project
components that organizes and defines the total scope of the project; work not
in the WBS is outside the scope of the project. As with the scope statement, the
WBS is often used to develop or confirm a common understanding of project
scope. Each descending level represents an increasingly detailed description of
the project deliverables. Section 5.3.2.2 describes the most common approach for
developing a WBS. A WBS is normally presented in chart form, as illustrated in
Figures 5-2, 5-3, and 5-4; however, the WBS should not be confused with the
method of presentation—drawing an unstructured activity list in chart form does
not make it a WBS.
Each item in the WBS is generally assigned a unique identifier; these identifiers
can provide a structure for a hierarchical summation of costs and resources. The
items at the lowest level of the WBS may be referred to as work packages, especially
in organizations that follow earned value management practices. These
work packages may in turn be further decomposed in a subproject work breakdown
structure. Generally, this type of approach is used when the project manager
is assigning a scope of work to another organization, and this other organization
must plan and manage the scope of work at a more detailed level than the project
manager in the main project. These work packages may be further decomposed in
the project plan and schedule, as described in Sections 5.3.2.2 and 6.1.2.1.
Work component descriptions are often collected in a WBS dictionary. A WBS
dictionary will typically include work package descriptions, as well as other planning
information such as schedule dates, cost budgets, and staff assignments.
The WBS should not be confused with other kinds of “breakdown” structures
used to present project information. Other structures commonly used in some
application areas include:
Contractual WBS (CWBS), which is used to define the level of reporting that
the seller will provide the buyer. The CWBS generally includes less detail than
the WBS used by the seller to manage the seller’s work.
Organizational breakdown structure (OBS), which is used to show which
work components have been assigned to which organizational units.
Resource breakdown structure (RBS), which is a variation of the OBS and is
typically used when work components are assigned to individuals.
Bill of materials (BOM), which presents a hierarchical view of the physical
assemblies, subassemblies, and components needed to fabricate a manufactured
product.
Project breakdown structure (PBS), which is fundamentally the same as a
properly done WBS. The term PBS is widely used in application areas where
the term WBS is incorrectly used to refer to a BOM.
.2 Scope statement updates. Include any modification of the contents of the scope
statement (described in Section 5.2.3.1). Appropriate stakeholders must be notified
as needed.
5.4 SCOPE VERIFICATION
Scope verification is the process of obtaining formal acceptance of the project
scope by the stakeholders (sponsor, client, customer, etc.). It requires reviewing
deliverables and work results to ensure that all were completed correctly and satisfactorily.
If the project is terminated early, the scope verification process should
establish and document the level and extent of completion. Scope verification differs
from quality control (described in Section 8.3) in that it is primarily concerned
with acceptance of the work results while quality control is primarily
concerned with the correctness of the work results. These processes are generally
performed in parallel to ensure both correctness and acceptance.
5.4.1 Inputs to Scope Verification
.1 Work results. Work results—which deliverables have been fully or partially completed—
are an output of project plan execution (discussed in Section 4.2).
.2 Product documentation. Documents produced to describe the project’s products
must be available for review. The terms used to describe this documentation
(plans, specifications, technical documentation, drawings, etc.) vary by application
area.
.3 Work breakdown structure. The WBS aids in definition of the scope, and should
be used to verify the work of the project (see Section 5.3.3.1).
.4 Scope statement. The scope statement defines the scope in some detail and
should be verified (see Section 5.2.3.1).
.5 Project plan. The project plan is described in Section 4.1.3.1.
5.4.2 Tools and Techniques for Scope Verification
.1 Inspection. Inspection includes activities such as measuring, examining, and
testing undertaken to determine whether results conform to requirements.
Inspections are variously called reviews, product reviews, audits, and walkthroughs;
in some application areas, these different terms have narrow and specific
meanings.
5.4.3 Outputs from Scope Verification
.1 Formal acceptance. Documentation that the client or sponsor has accepted the
product of the project phase or major deliverable(s) must be prepared and distributed.
Such acceptance may be conditional, especially at the end of a phase.
5.5 SCOPE CHANGE CONTROL
Scope change control is concerned with a) influencing the factors that create
scope changes to ensure that changes are agreed upon, b) determining that a
scope change has occurred, and c) managing the actual changes when and if they
occur. Scope change control must be thoroughly integrated with the other control
processes (schedule control, cost control, quality control, and others, as discussed
in Section 4.3).
5.5.1 Inputs to Scope Change Control
.1 Work breakdown structure. The WBS is described in Section 5.3.3.1. It defines the
project’s scope baseline.
.2 Performance reports. Performance reports, discussed in Section 10.3.3.1, provide
information on scope performance, such as which interim deliverables have been
completed and which have not. Performance reports may also alert the project
team to issues that may cause problems in the future.
.3 Change requests. Change requests may occur in many forms—oral or written,
direct or indirect, externally or internally initiated, and legally mandated or
optional. Changes may require expanding the scope or may allow shrinking it.
Most change requests are the result of:
An external event (e.g., a change in a government regulation).
An error or omission in defining the scope of the product (e.g., failure to
include a required feature in the design of a telecommunications system).
An error or omission in defining the scope of the project (e.g., using a BOM
instead of a WBS).
A value-adding change (e.g., an environmental remediation project is able to
reduce costs by taking advantage of technology that was not available when
the scope was originally defined).
Implementing a contingency plan or workaround plan to respond to a risk, as
described in Section 11.6.3.3.
.4 Scope management plan. The scope management plan is described in Section
5.2.3.3.
5.5.2 Tools and Techniques for Scope Change Control
.1 Scope change control. A scope change control defines the procedures by which
the project scope may be changed. It includes the paperwork, tracking systems,
and approval levels necessary for authorizing changes. The scope change control
should be integrated with the integrated change control described in Section 4.3
and, in particular, with any system or systems in place to control product scope.
When the project is done under contract, the scope change control must also
comply with all relevant contractual provisions.
.2 Performance measurement. Performance measurement techniques, described in
Section 10.3.2, help to assess the magnitude of any variations that do occur. Determining
what is causing the variance relative to the baseline and deciding if the
variance requires corrective action are important parts of scope change control.
.3 Additional planning. Few projects run exactly according to plan. Prospective
scope changes may require modifications to the WBS or analysis of alternative
approaches (see Sections 5.3.3.1 and 5.2.2.3, respectively).
5.5.3 Outputs from Scope Change Control
.1 Scope changes. A scope change is any modification to the agreed-upon project
scope as defined by the approved WBS. Scope changes often require adjustments
to cost, time, quality, or other project objectives.
Project scope changes are fed back through the planning process, technical
and planning documents are updated as needed, and stakeholders are notified as
appropriate.
.2 Corrective action. Corrective action is anything done to bring expected future
project performance in line with the project plan.
.3 Lessons learned. The causes of variances, the reasoning behind the corrective
action chosen, and other types of lessons learned from scope change control
should be documented, so that this information becomes part of the historical
database for both this project and other projects of the performing organization.
.4 Adjusted baseline. Depending upon the nature of the change, the corresponding
baseline document may be revised and reissued to reflect the approved change
and form the new baseline for future changes.
Project Scope Management includes the processes required to ensure that the
project includes all the work required, and only the work required, to complete
the project successfully (1). It is primarily concerned with defining and controlling
what is or is not included in the project. Figure 5-1 provides an overview
of the major project scope management processes:
5.1 Initiation—authorizing the project or phase.
5.2 Scope Planning—developing a written scope statement as the basis for future
project decisions.
5.3 Scope Definition—subdividing the major project deliverables into smaller, more
manageable components.
5.4 Scope Verification—formalizing acceptance of the project scope.
5.5 Scope Change Control—controlling changes to project scope.
These processes interact with each other and with the processes in the other
knowledge areas as well. Each process may involve effort from one or more individuals
or groups of individuals, based on the needs of the project. Each process
generally occurs at least once in every project phase.
Although the processes are presented here as discrete components with welldefined
interfaces, in practice they may overlap and interact in ways not detailed
here. Process interactions are discussed in detail in Chapter 3.
In the project context, the term scope may refer to:
Product scope—the features and functions that characterize a product or service.
Project scope—the work that must be done to deliver a product with the specified
features and functions.
The processes, tools, and techniques used to manage project scope are the
focus of this chapter. The processes, tools, and techniques used to manage
product scope vary by application area and are usually defined as part of the
project life cycle (the project life cycle is discussed in Section 2.1).
A project generally results in a single product, but that product may include
subsidiary components, each with its own separate but interdependent product
scopes. For example, a new telephone system would generally include four subsidiary
components—hardware, software, training, and implementation.
Completion of the project scope is measured against the project plan, but completion
of the product scope is measured against the product requirements. Both
types of scope management must be well integrated to ensure that the work of
the project will result in delivery of the specified product.
5.1 INITIATION
Initiation is the process of formally authorizing a new project or that an existing
project should continue into its next phase (see Section 2.1 for a more detailed
discussion of project phases). This formal initiation links the project to the
ongoing work of the performing organization. In some organizations, a project is
not formally initiated until after completion of a needs assessment, a feasibility
study, a preliminary plan, or some other equivalent form of analysis that was itself
separately initiated. Some types of projects, especially internal service projects and
new product development projects, are initiated informally, and some limited
amount of work is done to secure the approvals needed for formal initiation. Projects
are typically authorized as a result of one or more of the following:
A market demand (e.g., a car company authorizes a project to build more fuelefficient
cars in response to gasoline shortages).
A business need (e.g., a training company authorizes a project to create a new
course to increase its revenues).
A customer request (e.g., an electric utility authorizes a project to build a new
substation to serve a new industrial park).
A technological advance (e.g., an electronics firm authorizes a new project to
develop a video game player after advances in computer memory).
A legal requirement (e.g., a paint manufacturer authorizes a project to establish
guidelines for the handling of toxic materials).
A social need (e.g., a nongovernmental organization in a developing country
authorizes a project to provide potable water systems, latrines, and sanitation
education to low-income communities suffering from high rates of cholera).
These stimuli may also be called problems, opportunities, or business requirements.
The central theme of all these terms is that management generally must
make a decision about how to respond.
5.1.1 Inputs to Initiation
.1 Product description. The product description documents the characteristics of the
product or service that the project was undertaken to create. The product
description will generally have less detail in early phases and more detail in later
ones as the product characteristics are progressively elaborated.
The product description should also document the relationship between the
product or service being created and the business need or other stimulus that
gave rise to the project (see the list in Section 5.1). While the form and substance
of the product description will vary, it should always be detailed enough to support
later project planning.
Many projects involve one organization (the seller) doing work under contract
to another (the buyer). In such circumstances, the initial product description is
usually provided by the buyer.
.2 Strategic plan. All projects should be supportive of the performing organization’s
strategic goals—the strategic plan of the performing organization should be considered
as a factor in project selection decisions.
.3 Project selection criteria. Project selection criteria are typically defined in terms
of the merits of the product of the project and can cover the full range of possible
management concerns (financial return, market share, public perceptions, etc.).
.4 Historical information. Historical information about both the results of previous
project selection decisions and previous project performance should be considered
to the extent that it is available. When initiation involves approval for the next
phase of a project, information about the results of previous phases is often critical.
5.1.2 Tools and Techniques for Initiation
.1 Project selection methods. Project selection methods involve measuring value or
attractiveness to the project owner. Project selection methods include considering
the decision criterion (multiple criteria, if used, should be combined into a single
value function) and a means to calculate value under uncertainty. These are
known as the decision model and calculation method. Project selection also applies
to choosing the alternative ways of doing the project. Optimization tools can be
used to search for the optimal combination of decision variables. Project selection
methods generally fall into one of two broad categories (2):
Benefit measurement methods—comparative approaches, scoring models,
benefit contribution, or economic models.
Constrained optimization methods—mathematical models using linear, nonlinear,
dynamic, integer, and multi-objective programming algorithms.
These methods are often referred to as decision models. Decision models
include generalized techniques (Decision Trees, Forced Choice, and others), as
well as specialized ones (Analytic Hierarchy Process, Logical Framework
Analysis, and others). Applying complex project selection criteria in a sophisticated
model is often treated as a separate project phase.
.2 Expert judgment. Expert judgment will often be required to assess the inputs to
this process. Such expertise may be provided by any group or individual with specialized
knowledge or training, and is available from many sources, including:
Other units within the performing organization.
Consultants.
Stakeholders, including customers.
Professional and technical associations.
Industry groups.
5.1.3 Outputs from Initiation
.1 Project charter. A project charter is a document that formally authorizes a
project. It should include, either directly or by reference to other documents:
The business need that the project was undertaken to address.
The product description (described in Section 5.1.1.1).
The project charter should be issued by a manager external to the project, and
at a level appropriate to the needs of the project. It provides the project manager
with the authority to apply organizational resources to project activities.
When a project is performed under contract, the signed contract will generally
serve as the project charter for the seller.
.2 Project manager identified/assigned. In general, the project manager should be
identified and assigned as early in the project as is feasible. The project manager
should always be assigned prior to the start of project plan execution (described
in Section 4.2) and preferably before much project planning has been done (the
project planning processes are described in Section 3.3.2).
.3 Constraints. Constraints are factors that will limit the project management team’s
options. For example, a predefined budget is a constraint that is highly likely to
limit the team’s options regarding scope, staffing, and schedule.
When a project is performed under contract, contractual provisions will generally
be constraints. Another example is a requirement that the product of the
project be socially, economically, and environmentally sustainable, which will also
have an effect on the project’s scope, staffing, and schedule.
.4 Assumptions. See Section 4.1.1.5.
5.2 SCOPE PLANNING
Scope planning is the process of progressively elaborating and documenting the
project work (project scope) that produces the product of the project. Project
scope planning starts with the initial inputs of product description, the project
charter, and the initial definition of constraints and assumptions. Note that the
product description incorporates product requirements that reflect agreed-upon
customer needs and the product design that meets the product requirements. The
outputs of scope planning are the scope statement and scope management plan,
with the supporting detail. The scope statement forms the basis for an agreement
between the project and the project customer by identifying both the project
objectives and the project deliverables. Project teams develop multiple scope
statements that are appropriate for the level of project work decomposition.
5.2.1 Inputs to Scope Planning
.1 Product description. The product description is discussed in Section 5.1.1.1.
.2 Project charter. The project charter is described in Section 5.1.3.1.
.3 Constraints. Constraints are described in Section 5.1.3.3.
.4 Assumptions. Assumptions are described in Section 4.1.1.5.
5.2.2 Tools and Techniques for Scope Planning
.1 Product analysis. Product analysis involves developing a better understanding of
the product of the project. It includes techniques such as product breakdown
analysis systems engineering, value engineering, value analysis, function analysis,
and quality function deployment.
.2 Benefit/cost analysis. Benefit/cost analysis involves estimating tangible and
intangible costs (outlays) and benefits (returns) of various project and product
alternatives, and then using financial measures, such as return on investment or
payback period, to assess the relative desirability of the identified alternatives.
.3 Alternatives identification. This is a general term for any technique used to generate
different approaches to the project. There is a variety of general management
techniques often used here, the most common of which are brainstorming
and lateral thinking.
.4 Expert judgment. Expert judgment is described in Section 5.1.2.2.
5.2.3 Outputs from Scope Planning
.1 Scope statement. The scope statement provides a documented basis for making
future project decisions and for confirming or developing common understanding
of project scope among the stakeholders. As the project progresses, the scope
statement may need to be revised or refined to reflect approved changes to the
scope of the project. The scope statement should include, either directly or by reference
to other documents:
Project justification—the business need that the project was undertaken to
address. The project justification provides the basis for evaluating future
tradeoffs.
Project’s product—a brief summary of the product description (the product
description is discussed in Section 5.1.1.1).
Project deliverables—a list of the summary-level subproducts whose full and satisfactory
delivery marks completion of the project. For example, the major deliverables
for a software development project might include the working computer
code, a user manual, and an interactive tutorial. When known, exclusions
should be identified, but anything not explicitly included is implicitly excluded.
Project objectives—the quantifiable criteria that must be met for the project
to be considered successful. Project objectives must include at least cost,
schedule, and quality measures. Project objectives should have an attribute
(e.g., cost), a metric (e.g., United States [U.S.] dollars), and an absolute or
relative value (e.g., less than 1.5 million). Unquantified objectives (e.g., “customer
satisfaction”) entail high risk to successful accomplishment.
.2 Supporting detail. Supporting detail for the scope statement should be documented
and organized as needed to facilitate its use by other project management
processes. Supporting detail should always include documentation of all identified
assumptions and constraints. The amount of additional detail may vary by
application area.
.3 Scope management plan. This document describes how project scope will be
managed and how scope changes will be integrated into the project. It should
also include an assessment of the expected stability of the project scope (i.e., how
likely is it to change, how frequently, and by how much). The scope management
plan should also include a clear description of how scope changes will be identified
and classified. (This is particularly difficult—and therefore absolutely
essential—when the product characteristics are still being elaborated.)
A scope management plan may be formal or informal, highly detailed or
broadly framed, based on the needs of the project. It is a subsidiary component
of the project plan (described in Section 4.1.3.1).
5.3 SCOPE DEFINITION
Scope definition involves subdividing the major project deliverables (as identified
in the scope statement as defined in Section 5.2.3.1) into smaller, more manageable
components to:
Improve the accuracy of cost, duration, and resource estimates.
Define a baseline for performance measurement and control.
Facilitate clear responsibility assignments.
Proper scope definition is critical to project success. “When there is poor scope
definition, final project costs can be expected to be higher because of the
inevitable changes which disrupt project rhythm, cause rework, increase project
time, and lower the productivity and morale of the workforce” (3).
5.3.1 Inputs to Scope Definition
.1 Scope statement. The scope statement is described in Section 5.2.3.1.
.2 Constraints. Constraints are described in Section 5.1.3.3. When a project is done
under contract, the constraints defined by contractual provisions are often important
considerations during scope definition.
.3 Assumptions. Assumptions are described in Section 4.1.1.5.
.4 Other planning outputs. The outputs of the processes in other knowledge areas
should be reviewed for possible impact on project scope definition.
.5 Historical information. Historical information about previous projects should be
considered during scope definition. Information about errors and omissions on
previous projects should be especially useful.
5.3.2 Tools and Techniques for Scope Definition
.1 Work breakdown structure templates. A WBS (described in Section 5.3.3.1) from
a previous project can often be used as a template for a new project. Although
each project is unique, WBSs can often be “reused” since most projects will
resemble another project to some extent. For example, most projects within a
given organization will have the same or similar project life cycles, and will thus
have the same or similar deliverables required from each phase.
Many application areas or performing organizations have standard or semistandard
WBSs that can be used as templates. For example, the U.S. Department
of Defense has recommended standards WBSs for Defense Material Items (MILHDBK-
881). A portion of one of these templates is shown as Figure 5-2.
.2 Decomposition. Decomposition involves subdividing the major project deliverables
or subdeliverables into smaller, more manageable components until the
deliverables are defined in sufficient detail to support development of project
activities (planning, executing, controlling, and closing). Decomposition involves
the following major steps:
(1) Identify the major deliverables of the project, including project management.
The major deliverables should always be defined in terms of how the
project will actually be organized. For example:
The phases of the project life cycle may be used as the first level of decomposition
with the project deliverables repeated at the second level, as illustrated
in Figure 5-3.
The organizing principle within each branch of the WBS may vary, as illustrated
in Figure 5-4.
(2) Decide if adequate cost and duration estimates can be developed at this
level of detail for each deliverable. The meaning of adequate may change over the
course of the project—decomposition of a deliverable that will be produced far
in the future may not be possible. For each deliverable, proceed to Step 4 if there
is adequate detail, to Step 3 if there is not—this means that different deliverables
may have differing levels of decomposition.
(3) Identify constituent components of the deliverable. Constituent components
should be described in terms of tangible, verifiable results to facilitate performance
measurement. As with the major components, the constituent components should
be defined in terms of how the work of the project will actually be organized and
the work of the project accomplished. Tangible, verifiable results can include services
as well as products (e.g., status reporting could be described as weekly status
reports; for a manufactured item, constituent components might include several
individual components plus final assembly). Repeat Step 2 on each constituent
component.
(4) Verify the correctness of the decomposition:
Are the lower-level items both necessary and sufficient for completion of the
decomposed item? If not, the constituent components must be modified
(added to, deleted from, or redefined).
Is each item clearly and completely defined? If not, the descriptions must be
revised or expanded.
Can each item be appropriately scheduled? Budgeted? Assigned to a specific
organizational unit (e.g., department, team, or person) who will accept
responsibility for satisfactory completion of the item? If not, revisions are
needed to provide adequate management control.
5.3.3 Outputs from Scope Definition
.1 Work breakdown structure. A WBS is a deliverable-oriented grouping of project
components that organizes and defines the total scope of the project; work not
in the WBS is outside the scope of the project. As with the scope statement, the
WBS is often used to develop or confirm a common understanding of project
scope. Each descending level represents an increasingly detailed description of
the project deliverables. Section 5.3.2.2 describes the most common approach for
developing a WBS. A WBS is normally presented in chart form, as illustrated in
Figures 5-2, 5-3, and 5-4; however, the WBS should not be confused with the
method of presentation—drawing an unstructured activity list in chart form does
not make it a WBS.
Each item in the WBS is generally assigned a unique identifier; these identifiers
can provide a structure for a hierarchical summation of costs and resources. The
items at the lowest level of the WBS may be referred to as work packages, especially
in organizations that follow earned value management practices. These
work packages may in turn be further decomposed in a subproject work breakdown
structure. Generally, this type of approach is used when the project manager
is assigning a scope of work to another organization, and this other organization
must plan and manage the scope of work at a more detailed level than the project
manager in the main project. These work packages may be further decomposed in
the project plan and schedule, as described in Sections 5.3.2.2 and 6.1.2.1.
Work component descriptions are often collected in a WBS dictionary. A WBS
dictionary will typically include work package descriptions, as well as other planning
information such as schedule dates, cost budgets, and staff assignments.
The WBS should not be confused with other kinds of “breakdown” structures
used to present project information. Other structures commonly used in some
application areas include:
Contractual WBS (CWBS), which is used to define the level of reporting that
the seller will provide the buyer. The CWBS generally includes less detail than
the WBS used by the seller to manage the seller’s work.
Organizational breakdown structure (OBS), which is used to show which
work components have been assigned to which organizational units.
Resource breakdown structure (RBS), which is a variation of the OBS and is
typically used when work components are assigned to individuals.
Bill of materials (BOM), which presents a hierarchical view of the physical
assemblies, subassemblies, and components needed to fabricate a manufactured
product.
Project breakdown structure (PBS), which is fundamentally the same as a
properly done WBS. The term PBS is widely used in application areas where
the term WBS is incorrectly used to refer to a BOM.
.2 Scope statement updates. Include any modification of the contents of the scope
statement (described in Section 5.2.3.1). Appropriate stakeholders must be notified
as needed.
5.4 SCOPE VERIFICATION
Scope verification is the process of obtaining formal acceptance of the project
scope by the stakeholders (sponsor, client, customer, etc.). It requires reviewing
deliverables and work results to ensure that all were completed correctly and satisfactorily.
If the project is terminated early, the scope verification process should
establish and document the level and extent of completion. Scope verification differs
from quality control (described in Section 8.3) in that it is primarily concerned
with acceptance of the work results while quality control is primarily
concerned with the correctness of the work results. These processes are generally
performed in parallel to ensure both correctness and acceptance.
5.4.1 Inputs to Scope Verification
.1 Work results. Work results—which deliverables have been fully or partially completed—
are an output of project plan execution (discussed in Section 4.2).
.2 Product documentation. Documents produced to describe the project’s products
must be available for review. The terms used to describe this documentation
(plans, specifications, technical documentation, drawings, etc.) vary by application
area.
.3 Work breakdown structure. The WBS aids in definition of the scope, and should
be used to verify the work of the project (see Section 5.3.3.1).
.4 Scope statement. The scope statement defines the scope in some detail and
should be verified (see Section 5.2.3.1).
.5 Project plan. The project plan is described in Section 4.1.3.1.
5.4.2 Tools and Techniques for Scope Verification
.1 Inspection. Inspection includes activities such as measuring, examining, and
testing undertaken to determine whether results conform to requirements.
Inspections are variously called reviews, product reviews, audits, and walkthroughs;
in some application areas, these different terms have narrow and specific
meanings.
5.4.3 Outputs from Scope Verification
.1 Formal acceptance. Documentation that the client or sponsor has accepted the
product of the project phase or major deliverable(s) must be prepared and distributed.
Such acceptance may be conditional, especially at the end of a phase.
5.5 SCOPE CHANGE CONTROL
Scope change control is concerned with a) influencing the factors that create
scope changes to ensure that changes are agreed upon, b) determining that a
scope change has occurred, and c) managing the actual changes when and if they
occur. Scope change control must be thoroughly integrated with the other control
processes (schedule control, cost control, quality control, and others, as discussed
in Section 4.3).
5.5.1 Inputs to Scope Change Control
.1 Work breakdown structure. The WBS is described in Section 5.3.3.1. It defines the
project’s scope baseline.
.2 Performance reports. Performance reports, discussed in Section 10.3.3.1, provide
information on scope performance, such as which interim deliverables have been
completed and which have not. Performance reports may also alert the project
team to issues that may cause problems in the future.
.3 Change requests. Change requests may occur in many forms—oral or written,
direct or indirect, externally or internally initiated, and legally mandated or
optional. Changes may require expanding the scope or may allow shrinking it.
Most change requests are the result of:
An external event (e.g., a change in a government regulation).
An error or omission in defining the scope of the product (e.g., failure to
include a required feature in the design of a telecommunications system).
An error or omission in defining the scope of the project (e.g., using a BOM
instead of a WBS).
A value-adding change (e.g., an environmental remediation project is able to
reduce costs by taking advantage of technology that was not available when
the scope was originally defined).
Implementing a contingency plan or workaround plan to respond to a risk, as
described in Section 11.6.3.3.
.4 Scope management plan. The scope management plan is described in Section
5.2.3.3.
5.5.2 Tools and Techniques for Scope Change Control
.1 Scope change control. A scope change control defines the procedures by which
the project scope may be changed. It includes the paperwork, tracking systems,
and approval levels necessary for authorizing changes. The scope change control
should be integrated with the integrated change control described in Section 4.3
and, in particular, with any system or systems in place to control product scope.
When the project is done under contract, the scope change control must also
comply with all relevant contractual provisions.
.2 Performance measurement. Performance measurement techniques, described in
Section 10.3.2, help to assess the magnitude of any variations that do occur. Determining
what is causing the variance relative to the baseline and deciding if the
variance requires corrective action are important parts of scope change control.
.3 Additional planning. Few projects run exactly according to plan. Prospective
scope changes may require modifications to the WBS or analysis of alternative
approaches (see Sections 5.3.3.1 and 5.2.2.3, respectively).
5.5.3 Outputs from Scope Change Control
.1 Scope changes. A scope change is any modification to the agreed-upon project
scope as defined by the approved WBS. Scope changes often require adjustments
to cost, time, quality, or other project objectives.
Project scope changes are fed back through the planning process, technical
and planning documents are updated as needed, and stakeholders are notified as
appropriate.
.2 Corrective action. Corrective action is anything done to bring expected future
project performance in line with the project plan.
.3 Lessons learned. The causes of variances, the reasoning behind the corrective
action chosen, and other types of lessons learned from scope change control
should be documented, so that this information becomes part of the historical
database for both this project and other projects of the performing organization.
.4 Adjusted baseline. Depending upon the nature of the change, the corresponding
baseline document may be revised and reissued to reflect the approved change
and form the new baseline for future changes.
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