Assumptions & Constraints Log (template)

Project:
Project Manager:
Document Owner:
Document Creation Date:
Last Document Change Date:
Last changed by:
Confidentiality level:
Authorized to read:
Authorized to change (besides the document owner):
Versioning scheme:
Review frequency of document:
Master document storage place:
Approval for new version needed (name):
Publication procedure for new document version:

Assumptions & Constraints Log (template)

add project name here
add project manager name here
add document owner name here
add document creation date here
add last document change date here
add name of last person who changed the document here
add confidentiality level here if relevant (public use/confidential/secret/...)
list stakeholders (groups) authorized to read this document here
list stakeholders (groups) authorized to change this document here
add information regarding document versioning scheme here
add frequency of document reviews here
add storage place of master document (source of truth!) here
add information regarding approval process here
add information regarding publication procedure here

Guide to the Assumptions & Constraints Log Template

1. Take key decisions on document management & update sheet "Master Data" accordingly
- What is the confidentiality level of the document? Who is authorized to read the document? Does the document have to be p
- Who will be the document owner? Who is authorized to update the document apart from the document owner (if any)?
- What is the planned frequency of document reviews & updates?
- Where will the document be stored?
- How will versions be marked (date in file name or version number in file name or...)?
- Do new document versions have to be approved before publication? If yes, by whom?
- How will new versions of the document be published and the stakeholder community be informed about a new version?
2. Take decisions on master data for this document & update tab "Ranges" accordingly!
- What assumption/constraint status do you want to use in managing the assumptions and constraints?
- What categories do you want to use for the assumptions and constraints?

3. Decide if you want to use the simple or advanced version of the assumptions & constraints sheet!
- If in doubt start with the simple version. You can change later easily to the advanced version via copy & paste if there is a com
Especially at project start the focus should be on managing the constraints and assumptions and not on managing the docume
4. Remove example data from simple or advanced version of the assumptions & constraints sheet!

5. Start populating the simple or advanced sheet:

- ID ==> mandatory ==> used to identify an item in the list, but you can use your own ID scheme. To start simple you can coun
- type ==> mandatory (valuerange) ==> defines if the item is an assumption or constraint
- assumption/constraint ==> mandatory ==> describes the assumption/constraint with a few words (long form description shou
- status ==> mandatory (value range) ==> should indicate the status of the item (not verified yet/verified as correct/verified as i
- category (only in advanced sheet) ==> optional (value range) ==> categorization of assumption/constraint (technical area/pro
- description ==> optional, but recommended ==> extended description of the item (only in simple sheet: should mention docu
assumption/constraint and might have to be reviewed and updated if there is a change to the assumption/constraint and especi
- related documents & artifacts (only in advanced sheet) ==> optional ==> list of all documents and artifacts that are related to
updated if there is a change to the assumption/constraint (be as specific as possible, use hyperlinks if possible)
- Comments ==> optional ==> any additional information regarding the item, which is not a description
- review frequency (only in advanced sheet) ==> optional ==> state if there is a review frequency planned for this particular ite
whole document (weekly/bi-weekly/monthly/quarterly/...)
- last review date (only in advanced sheet) ==> optional ==> date of last review if the status and content of the item is still up t
- Changed by (only in advanced sheet) ==> optional ==> date of the last change to this item (no matter what of the fields was
- Change date (only in advanced sheet) ==> optional ==> person who did the last change of this item
- Created by (only in advanced sheet) ==> optional ==> date when this item was added to the list initially
- Creation date (only in advanced sheet) ==> optional ==> person who created this item

6. Review and update list as stated in the review cycle stated on the master data sheet (or in the column review frequency if you
- Especially if you change an assumption status to "verified as incorrect" you should review the related documents and artifact
- If you verify an assumption as incorrect or add a constraint which have no effect at all on any document or artifact then that a

ID

Type

Assumption/Constraint

1 Assumption

Example data: ERP Release 6.1 will be available for public

usage on the 1st of December 2014.

2 Assumption

Example data: Business analyst Bob Allen will be available for

the project 60% of his time (0.6 FTE) during the course of the
whole project.

3 Assumption

Example data: Project reporting will be managed by the

division PMO, thus no project-specific project office resource
has been budgeted.

4 Constraint

Example data: Test team will not be available before 1st of

July 2015.

5 Constraint

Example data: Lowest cost bidder on PMIS system cannot be

used, because company is not on the preferred vendor list.
TEST DATA ENDS HERE (Please remove all previous
lines including this before using this sheet!)

Status

Description

verification in
process

If ERP release 6.1 is not available by 1st of January 2015

latest, then project has to start with release 6.0 and adapt
the project plan via a change request which includes rework
the project plan and update of the estimate. Probably this
will add two months to the project timeline.

verified as
correct

Bob Allen is the most knowledgeable business analyst

regarding the new ERP system. If he is not available for at
least 60% throughout the whole project, then he has to be
replaced by another less skilled BA, which makes it
necessary to review and update the BA-related project
estimate.lines.

verified as
incorrect

Project need a project office resource and division PMO has

stated that they have sufficient resources available to
execute project reporting tasks without additional costs for
the project. Thus no project specific project office resource
has been budgeted.

not verified yet

Development will be done by end of May 2015 and the

project could save some time and idle time, if the test team
could start immediately beginning of June 2015.
Unfortunately management has mentioned, that the test
team is engaged with another project until end of June 2015
and thus only be available beginning of July 2015.

verified as
incorrect

Lowest cost bidder matching the minimum PMIS

requirements cannot be selected due to procurement rules
(not on preferred vendor list). Thus we have the 2nd bidder,
which will increase PMIS related cost by 20%.

Comments

New contact at ERP vendor will be

contacted to verify release schedule.

Bob's Manager has confirmed his

availability throughout the project (at
least 60%, probably up to 80%)

Division PMO has no resources

available. Thus project office resource
has to be budgeted. Budget update not
done yet!

Situation will be verified by project

manager with senior management end
of Q1/2014!

Lowest cost bidder has been added to

preferred vendor list. Update of project
cost estimate in progress (PMIS-related
cost drop by 20%)

ID

Type

Assumption/Constraint

1 Assumption

Example data: ERP Release 6.1 will be available for public

usage on the 1st of December 2014.

2 Assumption

Example data: Business analyst Bob Allen will be available for

the project 60% of his time (0.6 FTE) during the course of the
whole project.

3 Assumption

Example data: Project reporting will be managed by the

division PMO, thus no project-specific project office resource
has been budgeted.

4 Constraint

Example data: Test team will not be available before 1st of

July 2015.

5 Constraint

Example data: Lowest cost bidder on PMIS system cannot be

used, because company is not on the preferred vendor list.
TEST DATA ENDS HERE (Please remove all previous
lines including this before using this sheet!)

Status

verification in
process

verified as
correct

verified as
incorrect

not verified yet

verified as
incorrect

Category

Description

Category A

If ERP release 6.1 is not available by 1st of January 2015

latest, then project has to start with release 6.0 and adapt
the project plan via a change request which includes rework
the project plan and update of the estimate. Probably this
will add two months to the project timeline.

Category A

Bob Allen is the most knowledgeable business analyst

regarding the new ERP system. If he is not available for at
least 60% throughout the whole project, then he has to be
replaced by another less skilled BA, which makes it
necessary to review and update the BA-related project
estimate.lines.

Category B

Project need a project office resource and division PMO has

stated that they have sufficient resources available to
execute project reporting tasks without additional costs for
the project. Thus no project specific project office resource
has been budgeted.

Category B

Development will be done by end of May 2015 and the

project could save some time and idle time, if the test team
could start immediately beginning of June 2015.
Unfortunately management has mentioned, that the test
team is engaged with another project until end of June 2015
and thus only be available beginning of July 2015.

Category C

Lowest cost bidder matching the minimum PMIS

requirements cannot be selected due to procurement rules
(not on preferred vendor list). Thus we have the 2nd bidder,
which will increase PMIS related cost by 20%.

related docs & elements

- project plan - WBS items 6.3.1;

6.7.5 and 12.3.15
- project estimate - lines 234-243

Comments

New contact at ERP vendor will be

contacted to verify release schedule.

review frequency

every other month

- project estimate - all lines showing

business analyst as an assigned
project role
Bob's Manager has confirmed his
- project org chart & team member
availability throughout the project (at
contact list
least 60%, probably up to 80%)

quarterly
once project office
- project org chart & team member
resource has been
contact list
onboard, no need to
- project management plan (RACI
Division PMO has no resources
review again since it
chart on page 37)
available. Thus project office resource won't change the
- project estimate - all lines showing has to be budgeted. Budget update not project organisation
PMO role
done yet!
afterwards

- project plan - WBS items 9.1 - 9.7

Situation will be verified by project

manager with senior management end
of Q1/2014!
monthly

- project estimate - line 123-126

- project procurement plan
- preferred vendor list
- stakeholder register & contact list

Lowest cost bidder has been added to

preferred vendor list. Update of project once contract has been
cost estimate in progress (PMIS-related signed with bidder no
cost drop by 20%)
need to review again

last review date

Changed by

Change date

Created by

Creation date

1st of Sept 2014

n/a

n/a

I.T. Archer

1st of June 2014

1st of Oct 2014

P.M Starr

1st of Oct 2014

P.M. Starr

1st of July 2014

15th of Aug 2014

P.M Starr

15th of Aug 2014 P.M. Starr

1st of June 2014

n/a (no review yet)

n/a

n/a

1st of Nov2014

1st of Oct 2014

P.M Starr

1st of Sept 2014 P. Urch

P. Sponser

1st of July 2014

Assumption Status Range

Category Range

Type

not verified yet

Category A

Assumption

verification in process

Category B

Constraint

verified as correct

Category C

verified as incorrect