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INITIATING PROCESS GROUP

The Initiating Process Group consists of those processes performed to define a new project or a new phase of an existing project by obtaining authorization to start the project or phase. The purpose of the Initiating Process Group is to align the stakeholders’ expectations and the project purpose, inform stakeholders of the scope and objectives, and discuss how their participation in the project and its associated phases can help to ensure their expectations are met. Within the Initiating processes, the initial scope is defined and initial financial resources are committed. Stakeholders who will interact and influence the overall outcome of the project are identified. If not already assigned, the project manager is appointed. This information is captured in the project charter and stakeholder register. When the project charter is approved, the project is officially authorized, and the project manager is authorized to apply organizational resources to project activities.

The key benefits of this Process Group are that only projects that are aligned with the organization's strategic objectives are authorized and that the business case, benefits, and stakeholders are considered from the start of the project. In some organizations, the project manager is involved in developing the business case and defining the benefits. In those organizations, the project manager generally helps write the project charter; in other organizations, the pre-project work is done by the project sponsor, project management office (PMO), portfolio steering committee, or other stakeholder group. This standard assumes the project has been approved by the sponsor or other governing body and they have reviewed the business documents prior to authorizing the project.

Business documents are documents that are generally originated outside of the project, but are used as input to the project. Examples of business documents include the business case, and benefits management plan. Figure 2-1 shows the sponsor and the business documents in relation to the Initiating Processes.

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As described in Section 1.5, projects are often divided into phases. When this is done, information from processes in the Initiating Process Group is reexamined to determine if the information is still valid. Revisiting the Initiating processes at the start of each phase helps keep the project focused on the business need that the project was undertaken to address. The project charter, business documents, and success criteria are verified. The influence, drivers, expectations, and objectives of the project stakeholders are reviewed.

Involving the sponsors, customers, and other stakeholders during initiation creates a shared understanding of success criteria. It also increases the likelihood of deliverable acceptance when the project is complete, and stakeholder satisfaction throughout the project.

The Initiating Process Group includes the project management processes identified in Sections 2.1 through 2.2.

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2.1 DEVELOP PROJECT CHARTER

Develop Project Charter is the process of developing a document that formally authorizes the existence of a project and provides the project manager with the authority to apply organizational resources to project activities. The key benefits of this process are that it provides a direct link between the project and the strategic objectives of the organization, creates a formal record of the project, and shows the organizational commitment to the project. This process is performed once, or at predefined points in the project. The inputs and outputs of this process are shown in Figure 2-3.

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2.2 IDENTIFY STAKEHOLDERS

Identify Stakeholders is the process of identifying project stakeholders regularly and analyzing and documenting relevant information regarding their interests, involvement, interdependencies, influence, and potential impact on project success. The key benefit of this process is that it enables the project team to identify the appropriate focus for engagement of each stakeholder or group of stakeholders. This process is performed periodically throughout the project as needed. The inputs and outputs of this process are depicted in Figure 2-4.

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The needs of the project determine which components of the project management plan and which project documents are necessary.

2.2.1 PROJECT MANAGEMENT PLAN COMPONENTS

Examples of project management plan components that may be inputs for this process include but are not limited to:

  • Communications management plan, and
  • Stakeholder engagement plan.

2.2.2 PROJECT DOCUMENTS EXAMPLES

Examples of project documents that may be inputs for this process include but are not limited to:

  • Change log,
  • Issue log, and
  • Requirements documentation.

2.2.3 PROJECT MANAGEMENT PLAN UPDATES

Examples of project management plan components that may be updated as a result of this process include but are not limited to:

  • Requirements management plan,
  • Communications management plan,
  • Risk management plan, and
  • Stakeholder engagement plan.

2.2.4 PROJECT DOCUMENTS UPDATES

Examples of project documents that may be updated as a result of this process include but are not limited to:

  • Assumption log,
  • Issue log, and
  • Risk register.
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