Chapter 4:

Planning Projects,
Part 1 (Integration and
Scope Management)

Note: See the text itself for full citations. Text website is www.intropm.com.
 Learning Objectives
 Describe the importance of creating plans to guide project
execution
 List several planning processes and outputs for project integration
and scope management
 Discuss the project integration management planning process and
explain the purpose and contents of a project management plan
 Explain the purpose and contents of a scope management plan
and requirements management plan
 Develop a work breakdown structure (WBS) and a WBS dictionary

Copyright 2017 Kathy Schwalbe LLC

Introduction
 Many people have heard the following sayings:
◦ If you fail to plan, you plan to fail.
◦ If you don’t know where you’re going, any road will take you
there.
◦ What gets measured gets managed.
 Successful project managers know how important it is to
develop, refine, and follow plans to meet project goals
 People are more likely to perform well if they know what
they are supposed to do and when

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Project Planning Should Guide Project
Execution
 Planning is often the most difficult and unappreciated
process in project management
 Often, people do not want to take the time to plan well,

but theory and practice show that good planning is

crucial to good execution
 The main purpose of project planning is to guide project

execution, so project plans must be realistic and useful

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Figure 4-1. Planning Processes and Outputs for
Project Integration and Scope Management
Knowledge area Planning process Outputs
Project integration Develop project Project management plan
management management plan  

Project scope Plan scope management Scope management plan

management   Requirements management plan
Collect requirements Requirements documentation
  Requirements traceability matrix
Define scope Project scope statement
  Project documents updates
Create WBS Scope baseline
Project documents updates

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Project Integration Management
 Project integration management involves coordinating
all the project management knowledge areas
throughout a project’s life span
 The main planning output is a project management plan

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Project Management Plans
 A project management plan is a document used to integrate
and coordinate all project planning documents and to help
guide a project’s execution, monitoring and control, and
closure
 Plans created in the other knowledge areas are subsidiary
parts of the overall project management plan and provide
more detailed information about that knowledge area
 Project management plans facilitate communication among
stakeholders and provide a baseline for progress
measurement and project control
◦ A baseline is a starting point, a measurement, or an observation
that is documented so that it can be used for future comparison

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Attributes of Project Management Plans
 Project management plans should be dynamic, flexible, and
receptive to change when the environment or project changes
 Just as projects are unique, so are project plans.
◦ For a small project involving a few people over a couple of months,
a project charter, team contract, scope statement, and Gantt chart
might be the only project planning documents needed; there
would not be a need for a separate project management plan
◦ A large project involving 100 people over three years would benefit
from having a detailed project management plan and separate
plans for each knowledge area
 It is important to tailor all planning documentation to fit the
needs of specific projects

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Common Elements in Project Management
Plans
 Introduction/overview of the project
 Project organization
 Management and technical processes
 Work to be performed (scope)
 Schedule information
 Budget information
 References to other project planning documents

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Figure 4-3. Sample Project Management Plan
(Partial)
Management Processes
• Management Review Process: The project steering committee will meet at least monthly to provide
inputs and review progress on this project.
• Progress Measurement Process: The project steering committee will review project progress during
project review meetings, and they can also review information as needed by viewing reports on the
enterprise project management software. Post project progress will also be measured to see if the
project met its goals. These goals include reducing the training cost per employee by
$100/person/year and receiving positive results from survey participants on the effectiveness of the
training.
• Change Approval Process: See Attachment 1 based on corporate standards.
• Supplier Management Process: See Attachment 2 based on corporate standards.
Technical Processes
• Enterprise Project Management Software: All tasks, costs, resources, issues, and risks will be tracked
for this project using our enterprise project management software. Data must be entered on a weekly
basis, at a minimum, to provide timely information.
• Supplier Evaluation: The project team will coordinate with the purchasing department to follow our
standard procedures for selecting and working with suppliers. See Attachment 2 for corporate
standards.
• Productivity Improvement: The project team will work with the finance and quality assurance
departments to develop and implement a system to measure improvements in employee productivity
that result from this new training program. The finance department will report on this information
annually beginning one year after the first new training course is offered.

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Project Scope Management
 Project scope management involves defining and
controlling what work is or is not included in a project
 The main planning tasks include planning scope

management, collecting requirements, defining scope,

and creating the WBS
 The main documents produced are requirements

documents, a requirements management plan, a

requirements traceability matrix, and a scope baseline

Copyright 2017 Kathy Schwalbe LLC

Planning Scope Management
 The purpose of the process of planning scope
management is to determine how the project scope will
be defined, validated, and controlled.
◦ Validation means formal acceptance of deliverables by the
customer and other identified stakeholders
◦ Verification (done as part of controlling quality) means the
deliverable complies with a regulation, requirement,
specification, or imposed condition
 Project teams usually have several meetings with key
stakeholders and experts to help them develop a scope
management plan and requirements management plan.

Copyright 2017 Kathy Schwalbe LLC

Processes Described in a Scope
Management Plan
 Preparing a detailed project scope statement
 Creating, maintaining, and approving the WBS
 Obtaining acceptance of the completed project

deliverables
 Controlling how requests for changes to the project

scope statement will be processed

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Collecting Requirements
 The PMBOK® Guide – Sixth Edition, defines a
requirement as “a condition or capability that is
necessary to be present in a product, service, or result
to satisfy a business need.”
 A requirements management plan describes how

project requirements will be analyzed, documented,

and managed.

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Figure 4-4. Sample Requirements Management Plan (partial)
Requirements Management Plan Version 1.0
September 30
Project Name: Just-In-Time Training Project
Planning, tracking, and reporting requirements
Information from the Phase I project, the business case, and the project charter will provide valuable information in
determining requirements for this project, as will many existing corporate standards and processes. A survey will also
be used to gather requirements. All requirements will be documented where appropriate. For example, requirements
related to course prerequisites will be documented in course descriptions. Requirements related to facilities, class size,
etc. will be documented in the scope statement. Requirements will be tracked by the person in charge of each related
deliverable and reported as part of our normal reporting processes (i.e., weekly status reports, monthly review
meetings, etc.)
Performing configuration management activities
Requirements can be introduced by several means, such as existing written requirements, suggestions provided from
our survey, or direct suggestions from stakeholders. Appropriate project stakeholders will analyze, authorize, track,
and report changes to requirements. The project manager must be informed in advance of potential changes to
requirements and be involved in the decision process to approve those changes. Any change that will impact the
project’s cost or schedule significantly must be approved by the project steering committee.
Prioritizing requirements
All requirements will be designated as 1, 2 or 3, for mandatory, desirable, or nice-to-have, respectively. Emphasis will
be placed on meeting all mandatory requirements, followed by desirable and then nice-to-have requirements.
Using product metrics
Tracing requirements

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Outputs of Collecting Requirements
 Requirements documents, which can range from a
single-page checklist to a room full of notebooks with
text, diagrams, images, etc.
 A requirements traceability matrix (RTM), which is a

table that lists requirements, various attributes of each

requirement, and the status of the requirements to ensure
that all of them are addressed

Copyright 2017 Kathy Schwalbe LLC

 Defining Scope
 Good scope definition is crucial to project success because it
◦ Helps improve the accuracy of time, cost, and resource estimates
◦ Defines a baseline for performance measurement and project control
◦ Aids in communicating clear work responsibilities
 A project scope statement describes product characteristics and
requirements, user acceptance criteria, and deliverables.
 Work that is not included in the scope statement should not be done,
and you can explicitly state what is out of scope for the project
under a section called project exclusions.
 https://www.youtube.com/watch?v=JTg7dw_uLpk

Copyright 2017 Kathy Schwalbe LLC

Figure 4-6. Sample Scope Statement
Scope Statement, Version 1.0
August 1
Project Title: Just-In-Time Training Project
Product Characteristics and Requirements
This project will produce three levels of courses, executive, introductory, and advanced, in the following
subject areas: supplier management, negotiating skills, project management, and software applications
(spreadsheets and Web development). Details on each course are provided below:
1. Supplier management training: The Supplier Management Director estimates the need to train at least
200 employees each year. There should be three levels of courses: an executive course, an introductory
course, and an advanced course. Course materials should be developed as a joint effort with internal
experts, outside training experts, if needed, and key suppliers.
A partnership might be developed to maximize the effectiveness of the training and minimize development
costs. Different delivery methods should be explored, including instructor-led, CD/ROM, and Web-based
training. About half of employees would prefer an instructor-led approach, and about half would prefer a
self-paced course they could take at their convenience.
Product User Acceptance Criteria
The courses produced as part of this project will be considered successful if they are all available within
one year and the average course evaluations for each course are at least 3.0 on a 5.0 scale.
Project Exclusions
Training related to Six Sigma is not part of this project.
Providing new facilities is not part of this project.

Copyright 2017 Kathy Schwalbe LLC

 Figure 4-6. Sample Scope Statement (continued)
Deliverables
Project Management-Related Deliverables
Project charter, project management plan, scope statement, WBS, etc.
Product-Related Deliverables:
1. Supplier management training:
1.1. Needs assessment: A survey will be conducted to determine the learning objectives for
the executive, introductory, and advanced courses. The corporate online survey software will be
used and coordinated with IT and HR. Results will be documented in a detailed report (8-10
pages) and presentation (15-20 minutes long).
1.2 Research of existing training: A study will be done to identify current training courses
and materials available. Results will be documented in a detailed report and presentation.
1.3. Partnerships: Partnership agreements will be explored to get outside training
organizations and suppliers to work on developing and providing training.
1.4. Course development: Appropriate materials will be developed for each course.
Materials could take various formats, including written, video, CD/ROM, or Web-based.
Materials should include interactivity to keep learners engaged.
1.5. Pilot course: A pilot course will be provided for the introductory supplier management
course. Feedback from the pilot course will be incorporated into following courses.

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Keep Scope Information Current
 The project team should update the project scope
statement as new information becomes available
 Name different iterations of the scope statement

Version 1.0, Version 2.0, etc.

 A good, up-to-date scope statement helps prevent scope

creep, which is the tendency for project scope to

continually increase

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Creating the Work Breakdown Structure
 A work breakdown structure (WBS) is a deliverable-
oriented grouping of the work involved in a project
that defines the total scope of the project
 The WBS is a document that breaks all the work
required for the project into discrete deliverables, and
groups them into a logical hierarchy
 Often shown in two different forms:
◦ Graphical or chart form
◦ Tabular or list form

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Work Packages
 A work package is a deliverable at the lowest level of the
WBS, where it can be appropriately assigned to and managed
by a single accountable person
 Each work package should be defined in enough detail to
estimate what it would cost and how long it would take to
create

 https://www.youtube.com/watch?v=CQ_QfrClfR4

Copyright 2017 Kathy Schwalbe LLC

Importance of a Good WBS
 Foundation document in project management because
it provides the basis for planning and managing project
schedules, costs, resources, and changes
 The WBS contains 100% of the deliverables (often

called “work”) of the project—not 95%, not 102%, but

100%
 Often depicted in a graphical format, similar to an

organizational chart; can also be shown in tabular form

as an indented list of elements

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Figure 4-8. WBS for a Birthday Cake

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Figure 4-9. WBS for a House Showing 6 Main
Deliverables (www.matchware.com)

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Figure 4-10. WBS for a House Showing 10
Main Deliverables (Microsoft Project)

Copyright 2017 Kathy Schwalbe LLC

Figure 4-11. WBS for a Kiosk Project Showing Graphical
and Tabular Formats (The project is to create a new patient sign-in kiosk for a
small physician practice).

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Creating a Good WBS
 It is difficult to create a good WBS
 The project manager and the project team must decide as

a group how to organize the work and how many levels to

include in the WBS
 It is often better to focus on getting the top levels of the

WBS done well to avoid being distracted by too much

detail
 You should focus on what work needs to be delivered, not

when or exactly how it will be done

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Creating the WBS Dictionary
 A WBS dictionary is a document that describes the
deliverables on the WBS in more detail
 The format can vary based on project needs
 It may also include who owns the work package,

estimated cost and schedule information, contract

information if outsourced, specific quality
requirements, technical and performance
requirements, etc.

Copyright 2017 Kathy Schwalbe LLC

Approaches to Developing WBSs
 Using guidelines or templates: Some organizations
provide guidelines or templates for preparing WBSs
 The analogy approach: Review WBSs of similar
projects and tailor to your project
 The top-down approach: Start with the largest items of
the project and break them down
 The bottom-up approach: Start with the specific tasks
and roll them up
 Mind-mapping approach: Mind mapping is a
technique that uses branches radiating out from a core
idea to structure thoughts and ideas

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Figure 4-13. Patient Kiosk WBS Initial
Mind Map

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Figure 4-14. Patient Kiosk WBS Detailed
Mind Map

• X-Mind and FreeMind are open source mind

mapping applications.

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Video Highlights
 MindView software allows you to create a WBS with a mind map. You
can access a 30-day trial of their software at www.matchware.com.
You can also watch several videos about creating a WBS using a mind
map from Matchware’s site or others. For example, Jim Franklin shows
how to use Mindview to create a WBS for a solar panel project. Jim
has also created a site called pmmapping.com with more information
on using mind maps in project management.
 Andy Kaufman, host of PeopleAndProjectsPodcast.com, demonstrates
how to engage people in creating a WBS for a vacation by using sticky
notes.
 Jennifer Bridges of projectmanager.com explains how to plan projects
with your team and provides tips to perfect the project planning
process by using a simple white board.

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Figure 4-15. Sample WBS
Work Breakdown Structure (WBS) for the
Just-In-Time Training Project, August 1
1. Initiating
1.1. Stakeholder register
1.2. Project charter
1.3. Assumption log
1.4. Project kickoff meeting
2. Planning
2.1. Project integration management • Top-down approach
2.1.1. Project management plan
2.2. Project scope management
2.2.1. Scope management plan
2.2.2. Requirements management plan
2.2.3. Requirements documentation
2.2.4. Requirements traceability matrix
2.2.5. Project scope statement
2.2.6. Scope baseline
2.3. Project schedule management
2.4. Project cost management
2.5. Project quality management
2.6. Project resource management
2.7. Project communications management
2.8. Project risk management
2.9. Project procurement management
2.10. Project stakeholder management

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Figure 4-15. Sample WBS (continued)

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Figure 4-16. Sample WBS Dictionary Entry

WBS Item N umber: 3.1.1.1.2

WBS Item N ame: Survey administration
Requirement Trace: R12 – Follow corporate policies on surveys
Responsible person: TBD
Estimated Cost: TBD
Estimated duration: TBD
Resource requirements: Mike Sundby, department heads, survey expert
Description: The purpose of the survey for the supplier management training is to determine
the learning objectives for the executive, introductory, and advanced supplier management
courses (see WBS item 3.1.1.1.1 for additional information on the survey itself). The survey will
be administered online using the standard corporate survey software. After the project steering
committee approves the survey, the IT department will send it to all employees of grade level
52 or higher in the purchasing, accounting, engineering, information technology, sales,
marketing, manufacturing, and human resource departments. The project champion, Mike
Sundby, VP of Human Resources, will write an introductory paragraph for the survey.
Department heads will mention the importance of responding to this survey in their
department meetings and will send an e-mail to all affected employees to encourage their
inputs. If the response rate is less than 30% one week after the survey is sent out, additional
work may be required.

Copyright 2017 Kathy Schwalbe LLC

Chapter Summary
 Planning for integration management includes developing a project
management plan. Plans in the other knowledge areas are considered to be
subsidiary parts of the project management plan.
 Planning processes for scope management include planning scope
management, collecting requirements, defining scope, and creating a WBS
 Approaches for developing a WBS include using guidelines or templates, an
analogy approach, a top-down approach, a bottom-up approach, and mind
mapping. A WBS dictionary provides more detail on WBS items
 Samples of several planning documents are provided for the Just-In-Time
Training project

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