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Chapter 4

Project Scope

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概述 Introduction
• 。
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. Project scope management is
primarily concerned with defining and controlling what
is and is not included in the project.

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概述 Introduction
In the project context, the term scope can refer to:
•Product scope (项目的产品范围). The features and
functions that characterize a product, service, or result.
•Project scope (项目的工作范围). The work that
needs to be accomplished to deliver a product, service,
or result with the specified features and functions.
This chapter focuses on the processes used to manage
the project scope.

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概述 Introduction

A project’s scope is everything about a project – work
content as well as expected outcomes. Project scope
consists of naming all activities to be performed, the
resources consumed, and the end products that result,
including quality standards. Scope includes a project’s
goals, constraints, and limitations.

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概述概述 Introduction
The six main activities of scope management are:
conceptual development, the scope statement, work
authorization, scope reporting, control systems, and
project closeout.

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表4.1 项目范围管理中的组成部分
1.概念开发 问 1.Conceptral Development
题陈述 信息 Problem statement
收集 约束条 Information gathering
件 Constraints
Alternative analysis Project
项目目标 工
作说明 objectives Statement of work
2.Scope Statement Goal
2.范围说明 目 criteria Management plan
标标准 管理 Work breakdown structure
计划 (WBS) Scope baseline
工作分解结构 Activity responsibility matrix
(WBS) 范围基 3.Work Authorization

Contractual requirements
(LRC) Valid consideration Contracted
3.工作授权 合
约规定 有效
审议 签约条
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Table 4.1 Elements in Project Scope Management
4.范围报告 4.Scope Reporting
成本、进度、技术 Cost, schedule, technical
性能状态 performance status S curves
S曲线 挣值(EVA) Earned value (EVA) Variance
偏差及异常报告 or exception reports 5.Control
5.系统控制 Systems Configuration control
配置控制 设计控制 Design control Trend
趋势监测 文档控 monitoring Document control
制 采购控制 规 Acquisition control
格控制 Specification control 6.Project
Closeout Historical records
Post-project analysis Financial
历史记录 项目后分
析 财务收尾

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内容提要 Contents
1. 概念开发 Conceptual
2. 范围说明 Scope Statement
3. 工作授权 Work Authorization
4. 范围报告 Scope Reporting
5. 系统控制 System Control
6. 项目收尾 Project Closeout
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4.1 概念开发
Conceptual Development
4.1.1 定义 Definition
Conceptual development is the process that
addresses project objectives by finding the
best ways to meet them.

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4.1 概念开发
4.1.2 工作内容 Works
.1 问题或需求说明 Problem or need statement
项目的范围管理从目标的说明开始:为什么有寻 求
解决方案的必要?本质问题是什么?项目打算要 做
Scope management for a project begins with a statement
of goals: why there is a need in search of a solution, what
the underlying problem is, and what the project intends
to do.
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4.1 概念开发
5.1 概念开发
Conceptual Development
.2 信息收集 Information gathering
这些事件包括指定的目标日期、可以选择的 供应
The affairs includes specific target dates, alternative
supplier options, degree of top management support for
the project, and so forth.

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4.1 概念开发
.3 约束条件 Development
Project managers must understand any restrictions that
may affect project development. Time constraints, budget
shrinkages, and client demands can all become serious
constraints on project development.

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5.1 概念开发
4.1 Conceptual Development
.4 Alternative analysis

This process serves two functions: It provides the team
with a clearer understanding of the project’s
characteristics, and it offers a choice of approaches for
addressing how the project should be undertaken.

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5.1 概念开发
4.1 Conceptual Development
.5 Project objectives
Conceptual development concludes with a clear
statement of the final objectives for the project in
terms of outputs, required resources, and timing.

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4.1 Conceptual Development

.6 工作说明书 Statement of Work (SOW)

The SOW is a detailed narrative description of the work required
for a project. The purpose of a SOW is to give the project
organization and the project manager specific guidance on both
work requirements as well as the types of end results sought once
the project completed. Some elements in an effective SOW

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4.1 概念开发
5.1 概念开发
Conceptual Development
Introduction and Background
Technical Description of the Project
Timeline and Milestones
(4) … (see Table 4.2)

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4.2 范围说明 Scope Statement
4.2.1 定义 Definition

Scope statement is the process of developing a

detailed project scope statement (PSS) as the basis
of future project decisions.

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Project Scope Statement (PSS)
• The project scope statement (PSS) provides a
common understanding of the project scope among all
project stakeholders and describes the project’s major
•It also enables the project team to perform more
detailed planning, guides the project team’s work
during execution, and provides the baseline (基准) for
evaluating whether requests for changes or additional
work are contained within or outside the project’s
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Contents of A Project Scope Statement
(PSS) (项目范围说明书的内容)
• Project objectives • Initial project organization
• Initial defined risks
• Project scope description
• Schedule milestones
• Project requirements • Fund limitation
• Project boundaries • Cost estimate
• Project deliverables • Project configuration
management requirements
• Product acceptance criteria
• Project specifications
• Project assumptions • Approval requirements
• Project constraints

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Project Scope Statement
Project Name:
Project Goals/ Objectives:
Production Description and
Project Scope:
Key Milestones:
PM Assigned and Authority:
Key Resource Requirements:
Prepared by: Approved by:
Prepared Date: Approved Date:
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4.2 范围说明
5.2 范围说明 Scope
范围定义 Scope Statement
4.2.2 工作内容 Works
.1 建立项目目标标准
Establishing the project goal criteria
Goal criteria include cost, schedule, performance and
deliverables, and key review and approval “gates” with
important project stakeholders (particularly the clients).

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5.2 范围说明Scope
Scope Statement
.2 建立管理计划
Developing the management plan
管理计划包括项目团队的组织结构、团队成员操作 中需
要遵循的流程和规定、成员工作的描述以及对团 队每个
The management plan consists of the organizational
structure for the project team, the policies and procedures
under which team members will be expected to operate, their
appropriate job descriptions, and a well-understood reporting
structure for each member of the team.
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5.2 范围说明Scope Scope Statement
.3 Establishing a work breakdown structure
The work breakdown structure
(WBS) divides the project into
its component sub-steps

in order to begin establishing critical inter-

relationships among activities.
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Table 4.3 Work package details

Project: Expansion to Full Scale Work Package: Test Assembly Hardware

Description: Deliverable(s):
Plan, conduct, evaluate, and report Test results summary Input(s):
results of tests to ensure proper Assembly hardware prototype
function of the assembly hardware.
Activities Resource Expected cost($)
Prepare Production Analyst 8h 720
Conduct test Production Analyst 16 h 1440
Evaluate test results Production Analyst 6h 540
Prepare test results summary Production Analyst 8h 720

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表4.4 WBS

Table 4.4 Steps in WBS Construction

1. Identify major deliverables.

2. Divide into smaller deliverables.
3. Continue until deliverables are the right size.
4. Review

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Figure 4.3 Sample Work Breakdown Structure Organized by Phase

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Figure 4.4 Sample Work Breakdown with Major Deliverables
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Figure 4.5 Sample WBS with Some Branches Decomposed Down Through Work Packages
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Other Methods to Define Scope
Fish-bone Plats; Cause-and-Effect Diagram
This is a tool to analyze the root causes that help to
improve the logic of analysis, and sometimes it is called 5-
factor method.

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Other Methods to Define Scope

Tools Staffing


Environ’nt Methodology Materials

Figure 4.8 Fish-bone Plat

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Other Methods to Define Scope
(2) 决策树法(Decision Tree)
This is a method that solves problems
by listing conditions and results of steps.

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(3) 线性责任

(LRC-Linear Responsibility Chart)

Comparing WBS and the project organization chart
can be used to assign tasks and implement
responsibility. Finally, it forms a linear responsibility
chart, i.e. LRC.

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LRC图将所分解的工作落实到有关部门或个 人

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4.2 范围说明 Scope Statement
.4 建立基准计划范围说明书
Creating baseline scope statement (PSS)
The baseline scope statement (i.e. PSS) is a document
that provides a summary description of each component
of the project’s goal, including basic budget and
schedule information for each activity.

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4.3 工作授权 Work Authorization

Work authorization consists many times of the formal

sign-off on all project plans, including detailed
specifications for project delivery.

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4.3 工作授权 Work Authorization
In cases of projects developed for external clients, work
authorization typically addresses contractual obligations;
for internal clients, it means establishing an audit trail by
linking all budgets and resources requirements to the
formal cost accounting system of the organization.

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4.4 范围报告 Scope Reporting
4.4.1 范围报告的功能
Function of Scope Reporting
项目开始时,项目团队和关键客户就应该确定他们对项 目信
息更新的需求:需要多少信息?每隔多长时间提供一 次信息
?通过确定定期报告的信息类型、向谁报告该信息 以及如何
Beginning at the project’s kickoff, the project team and key clients
should make decisions about their need for project updates: how many
will they require, and how frequently? Scope reporting fulfills this
function by determining the types of information that will be regularly
reported, who will receive copies of this info, and how this info will
acquired and disseminated.
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4.5 控制系统 Control Systems
.1 配置管理 Configuration Management
配置管理就是对项目变更进行系统的管理和 控
Configuration managementis the
systematic management and control of
project change.

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Table 4.9 Four Stages of Configuration Management
Step Action
1.Configuration identification 1. Develop a breakdown of the project to the necessary level of
2. Identify the specifications of the components of the
breakdown and of the total project.
2. Configuration reviews Meet with all the project stakeholders to agree to the current
project definition.
3. Configuration control 1.If agreement is achieved, repeat the first three steps,
developing the breakdown and specification further, until the
project is defined.
2.If agreement is not reached, either:
-Cycle back to the configuration as agreed at a previous
review and repeat steps 1, 2, and 3 until agreement is
achieved; or,
-Change the specification last obtained by a process change
control to match what people think it should be.
4. Status accounting Memory of the current configurations, and all previous ones, must
be maintained so that if agreement is not reached at some
point, the team can cycle back to a previous configuration
and restart from there. Also, memory of the configuration of
all prototypes must be maintained.
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4.5 控制系统 Control Systems

.2设计控制 Design Control

设计控制是监控设计阶段项目的范围、进度 以
It monitors the project’s scope,
schedule, and costs during the design stage.

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4.5 控制系统 Control Systems

.3趋势监控 Trend Monitoring

It is the process of tracking the estimated costs,
schedules, and resources needed against those

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4.5 控制系统 Control Systems

.4文档控制 Document Control

It ensures that important documentation is
compiled and disseminated in an orderly and
timely fashion.

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4.5 控制系统 Control Systems
.5 采购控制 Acquisition Control
用来对采购的设备、物料或服务等项目开发 和
It monitors systems used to acquire necessary
project equipment, materials, or services needed for
project development and implementation.

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4.5 控制系统 Control Systems
.6规范控制 Specification Control
Specification Control 保证准备清晰的项目规 范,
It ensures that project specifications are prepared
clearly, communicated to all concerned parties.

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4.6 项目收尾 Project Closeout

Project Closure: Administrative & Contractual Closure.

Closeout documentation includes the following:

•历史记录 Historical Records
•项目后分析 Post-project Analysis
•财务收尾文档 Financial Closeout

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