In this blog, we will explore the Initiate Project or Phase process, along with its associated inputs, tools and techniques, and outputs.

Initiate Project or Phase is the process of officially authorizing the start of a project or phase by creating a document (the project charter or equivalent) that links the work to organizational objectives and gives authority to use resources.

Whenever we study a process along with its inputs, tools and techniques, a good strategy is to begin with its primary output. In this case, the main output of the process is the Project Charter. The Assumption Log is a secondary output, which we will cover later.

For now, let’s focus on what is required to develop the Project Charter, which is the primary output of this process.

It is important to understand that the Project Charter is the foundation of all project documents. It is created during project initiation and acts as a guiding framework for planning and all subsequent project activities.

So, how do we build this document? We rely on the information that was used to justify the initiation of the project by the sponsor to the steering committee, also known as the project governance board. In simple terms, this refers to the top management responsible for overseeing business decisions.

The justification presented to convince top management to approve and initiate the project is documented in the Business Case and the Benefits Management Plan. These serve as key inputs for developing the Project Charter.

The business case explains why the project is being undertaken, expected benefits, costs, and alignment with organization’s strategic goals and objectives and options identified to implement the project. Initiation must be grounded in this justification.

Next, the benefits management plan. This document describes what benefits are expected from the initiative, how and when they will be realized, and how they will be measured. During Initiate Project or Phase, this information is needed to ensure that the project or phase being authorized is truly aligned with the intended benefits and value. It guides the project charter so that the project purpose, high‑level objectives, and success criteria directly support the benefits the organization expects to realize.

Next, Agreements / Contracts – If a project is triggered by a contract or external agreement, initiation must be consistent with that agreement’s obligations, scope, and high-level constraints.

This input is not applicable to all projects.

In some cases, a project is initiated only after the organization is awarded a contract.

For example, if you are a construction company, you may receive a government order to build a highway. In such scenarios, the work is formally agreed upon through a signed contract between your company and the government agency awarding the project.

However, in other cases, a project may be initiated internally by an organization without any external contract acting as a trigger.

Next, Enterprise Environmental Factors

(EEFs) is needed because The decision to initiate and the content of the charter must respect the organization’s governance model, risk appetite, regulatory context, and available technologies.

A bank’s regulatory EEFs require data projects to comply with strict data residency laws. Those constraints are explicitly included in the charter.

Next, the OPAs – Organizational Process Assets (OPAs)

Templates, approval workflows, and historical charters provide structured guidance on how projects are typically initiated in the organization.

The PMO provides a standard project charter template with predefined fields. The sponsor and project manager fill it out rather than starting from a blank page, ensuring key governance information is captured.

Now let’s talk about Tools & techniques and how these tools convert these inputs into the project charter.

First expert judgment – You need knowledgeable people to define realistic objectives, scope at a high level, and determine whether the project should be authorized at all.

Next data gathering – Before you can write a meaningful charter, you must gather information on needs, constraints, stakeholder expectations, and potential risks.

Interviews: You interview the sponsor and key stakeholders to understand desired outcomes, key deadlines, and critical constraints.

Brainstorming: The core team brainstorms major risks and constraints at initiation, and you summarize key ones in the charter (e.g., regulatory approval risk, budget ceiling).

Focus groups bring together selected stakeholders (for example, customers, users, business owners, subject matter experts) to discuss needs, expectations, risks, and constraints for the proposed project or phase.

Next, Interpersonal and Team Skills – Stakeholders may have different expectations about objectives, scope, and priorities. Initiation requires alignment at a high level.

These skills help reconcile differing views and build a shared understanding of what the project is about before it is formally authorized.

Next, Meetings – Initiation involves formal discussions and decision points: kick-off conversations, scoping sessions, and approval meetings. Meetings allow real-time clarification, negotiation, and commitment, leading to a charter that stakeholders recognize and support.

Next Responsibility Assignment Matrix (RAM) – (often called as RACI) shows who is Responsible, Accountable, Consulted, and Informed for key activities or deliverables. During Initiation, you may not have a full RAM for the whole project yet, but you can create an initial, high‑level RAM for key roles and early activities. Developing the project charter includes clarifying who has authority, who sponsors the work, and who will perform critical initiating activities (e.g., requirements clarification, early planning, approvals).

This helps avoid confusion about roles and authority right at the point of project authorization.

However, we progressively elaborate the RACI chart into detailed one during the planning phase, once we have more information about the project work and greater clarity on resources and stakeholders.

Next the project Canva – A Project Canvas is a one-page visual model that captures key elements of a project: purpose, stakeholders, value, scope, constraints, risks, resources, and success measures. It is used early, often before or while the charter is drafted, to structure conversations and build shared understanding.

During Initiate Project or Phase, you need to quickly align diverse stakeholders on what the project is and why it matters, often with limited information and limited time. The Project Canvas helps us here by offering simple, visual framework , facilitating discussions and connecting the business case and benefits management plan to concrete project elements.

By deriving and consolidating key information from the Business Case, Benefits Management Plan, and Agreements, we create the Project Charter. This document acts as a guiding framework for the project team to plan and execute the project. It formally authorizes the existence of the project and empowers the project manager to utilize organizational resources to carry out project activities.

In simple terms, it officially “turns on the engine” of the project, provides legitimacy and authority to use resources, and establishes the initial direction and boundaries.

Next the assumption log – it is a record of high-level assumptions and constraints identified during initiation.

It creates traceability for early assumptions, which can be validated or corrected during detailed planning, reducing surprises later.

Example:
An assumption in the log: “Customer service team can support new product without additional headcount.” During planning, you validate this with HR and adjust scope or resource plans if the assumption proves false.

That’s it!

With that, we’ve completed this process. I hope you enjoyed this Blog.