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The Project Management Body of Knowledge (PMBOK) Guide identifies four processes involved in the overall project definition process: project initiation, scope planning, scope definition, and scope verification. This post will focus on the first of those and cover what project initiation is, what you need and how to perform project initiation, and what the outputs are at the end.

What is project initiation?

Initiation is the process for formally recognizing that a new project exists or that an existing project should continue into its next phase. In some organizations, a project is not formally initiated until after completion of a feasibility study, a preliminary plan, or some other form of analysis. Some types of projects—especially internal service projects and new product development projects—are initiated informally, and a limited amount of work may be done to get the approvals needed for formal initiation.

What goes into project initiation?

Each aspect of the initiation process has its key components, as outlined here:

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.

Strategic plan – Plan projects should be supportive of the performing organization’s strategic goals. As such, the strategic plan of the performing organization should be considered as a factor in project selection decisions.

Project selection criteria – Project selection criteria are typically defined in terms of the product of the project and can cover the full range of possible management concerns (e.g., financial return, market share, public perceptions).

Historical information – Historical information about the results of previous project selection decisions and previous project performance should be considered to the extent it is available. When initiation involves approval for the next phase of a project, information about the results of previous phases is often critical.

What are the techniques for Project Initiation?

The key activity in project initiation is project selection. Project selection methods generally fall into one of two broad categories:

Benefit measurement methods – Comparative approaches, scoring models, benefit contribution, or economic models
Constrained optimization methods – Mathematical models using linear, non-linear, 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) as well as specialized ones (analytic hierarchy process, logical framework analysis).

Project initiation also often requires expert judgment to assess the inputs above. Such expertise may be provided by any group or individual with specialized knowledge or training and is available from many sources.

What do you get out of Project Initiation?

The project charter – A project charter is a document that formally recognizes the existence of a project. It 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.
Identification of project manager – 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 and preferably before much project planning has been done.
Constraints – Constraints are factors that will limit the project management team’s options. For example, a predefined budget is a constraint that will limit the team’s options regarding scope, staffing, and schedule.
Assumptions – Assumptions are factors that, for planning purposes, will be presumed to be true, real, or certain. For example, if the date that a key person will become available is uncertain, the team may assume a specific start date. Assumptions generally involve a degree of risk.

With these deliverables in hand, the organization is prepared to turn its attention to the project scope. For the next process of project definition, see our post on project scope planning.

For more help on navigating the challenges of project management, contact us today.