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Initiating the Plan

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01 Initiating The Plan

This image symbolizes the closing ceremony of the Initiating Process, where the project charter is handed off to the planning team, who then begin the formal planning phase.

Initiating Process Group

The initiating Process Group is the collection of processes performed to formally start a new project or a new phase of an existing project. It ensures that a project’s purpose is clearly defined, that authorization is granted, and that the project manager has the authority to apply organizational resources.

Unlike the initiating phase, which is a time-boxed stage, the Initiating Process Group is a recurring set of processes. Every phase of a project may begin with activities from this group to validate objectives, realign stakeholder expectations, and reconfirm business value.

Key Processes in the Initiating Group

According to PMI, the Initiating Process Group centers on two core processes

  1. Develop Project Charter – Authorizes the project and names the project manager. The Project Charter must be approved by the Project Sponsor in order for the project to go forward.
  2. Identify Stakeholders – Is the process we use to document who is affected, their interests, and their influence on the project. Not every stakeholder will be identified at this time; often, duty positions are listed rather than named individuals.

“The purpose of the Initiating Process Group is to align stakeholders’ expectations with the project’s purpose, give them visibility about the scope and objectives, and show how their participation can help achieve those expectations.” — PMBOK® Guide, 6th Ed.

Example in Practice

A software project may begin with a charter signed by the CIO, authorizing the project manager to begin. At the same time, stakeholders are identified — executives, end users, IT staff, and vendors.

By capturing this list early, the Project Team can plan effective communication strategies in the next process group, Planning. Even though the charter is not yet signed, preliminary work must be completed to identify the five W’s of the project to give the sponsor enough information to make an informed decision.

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