Initiating Process Group

“Initiating” is the first of five Project Management Institute (PMI) process groups. It defines a new endeavor (or phase of a new endeavor). Contracts are signed and financing for research activities is approved. A high-level road map (charter) is necessary, stakeholders must be identified, and it is essential to assign a Project Manager (PM) or at least someone to fill the PM role in the interim. It is critical to assign a project manager who has planning and executing experience.

 
Developing the Project Charter 

The charter is the foundation of the venture. It:
 

• Is connected to all five process management process groups in some manner
• Provides formal authorization and “baseline” to proceed to planning
• Documents initial requirements provided by the client

If possible, the Project Manager should be assigned in time to participate in the charter’s development and see his responsibilities adequately defined.  It is important to select a manager who can work within the company/client environments and who is experienced in collecting information from principals.  Both talents are helpful when eliciting information for detailed requirements (during planning).
 
Input for the charter includes the
 

• Statement of work (from the customer – internal or external)
• Business case and Contract (if available)
• Enterprise environmental factors
• Organizational process assets

Identifying Stakeholders
 

The charter is an input for characterizing stakeholders.  The customer and those working directly on daily tasks are included in the stakeholder register, as well as the sponsor and/or a champion.  For a scenario, let us assume ABC Company decides to keep work in-house and bring its manufacturing plant effluent to within the new government standards.
 
Adding properly-qualified vendors to the stakeholder register is especially critical to this effort: the team must answer to the federal government.  At this time, an experienced project manager begins contemplating communication/update options for the different types of contributors.  In this vein, the venue is important.  There is quite a difference between an interdepartmental dust-maker of two weeks and complying with a federal regulation that impacts the environment.
 
Once key members are identified, I (as the PM) ascertain the level of impact and support I can expect from each.  A power/interest grid – graphing a team member’s level of power against his level of interest – can help the team assess this information for each participant or group of participants.   It can also be used, later, to assist in formally planning communications.  For example, if a person has great interest in the undertaking and the power to see it to completion (upper right corner of the grid), the project manager will want to keep him in the loop on all points.  It is imperative to discover how this champion cares to receive updates (timing and format), ensure this information is in the communication plan, and follow it closely.   

Transitioning to the Planning Phase

Once documentation is completed for the initiation phase, a go/no-go decision is needed: are we approved to move to the next process group, “Planning”? This is a critical juncture, since a great deal of funding is necessary to define the work, prepare/integrate the different plans (procurement, communication, etc.), and document the effort properly.
 
When the sponsor approves the charter, “Initiating” is complete, and “Planning” begins.