Initiate Project or Phase: Authorization and Resource Allocation
PMBOK v8 Definition
The Initiate Project or Phase process officially authorizes the start of a project and grants the project manager the authority to allocate organizational resources to project activities by creating a project charter or similar document. This process belongs to the Initiating Process Group and is part of the Project Integration Management Knowledge Area.
Why It Matters for the Exam
The Initiate Project or Phase process appears frequently on the PMI exam because it establishes the foundation for all subsequent project activities. Exam questions test your understanding of what happens before planning begins—specifically, who authorizes the project, what document formalizes that authorization, and what authority the project manager gains. Expect situational questions where you must identify the correct process based on whether a project charter has been issued.
Key Points to Remember (for the exam)
- Main Purpose: Officially authorizes the project or phase and grants the project manager authority to allocate organizational resources
- Key Output: Project charter (or similar document)
- Timing: Performed at the very start of the project or at the beginning of each phase
- Authority Granted: Project manager receives authority to allocate organizational resources to project activities
- Stakeholder Engagement: Involves adjusting plans based on stakeholder recommendations throughout the project life cycle
- Common Confusion: Do not confuse "Initiate Project or Phase" with "Develop Project Charter"—they are the same process in PMBOK v8 terminology
Typical PMI Exam Example
A company decides to build a new manufacturing facility. The sponsor signs a document that formally authorizes the project and names the project manager. This document gives the project manager authority to assign team members and procure equipment. Which process is being performed?
Answer: Initiate Project or Phase (creating the project charter)
PMI Exam Traps
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Trap: Confusing Initiate Project or Phase with planning processes
- Reality: Initiation happens before planning; the charter must exist before detailed planning begins
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Trap: Thinking the project manager creates the charter alone
- Reality: The sponsor or initiator issues the charter; the project manager may provide input but does not have authority to authorize their own project
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Trap: Assuming "Initiate" only happens once at project start
- Reality: This process can be performed at the beginning of each phase in a phased project
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Trap: Confusing the project charter with the project management plan
- Reality: The charter authorizes the project; the plan describes how to execute it
Important PMI Connections
| Related Concept | Relationship Type | Exam Attention Point |
|---|---|---|
| Close Project or Phase | Opposite process | Initiation starts the project; closure finalizes all activities, archives knowledge, and releases resources |
| Resource Management | Input/Output relationship | Initiate grants authority to allocate resources; resource management plans how resources are used |
| Stakeholder Engagement | Complementary process | Initiate involves adjusting plans based on stakeholder recommendations; stakeholder engagement continues throughout |
| Project Sponsor | Key role in initiation | Sponsor provides funding and authority; champion at organizational level ensuring senior management support |
Quick Review Questions
- What document is created during the Initiate Project or Phase process?
- What authority does the project manager gain from this process?
- Can the Initiate Project or Phase process occur more than once in a project?
- Who typically issues the project charter?
- What is the relationship between Initiate Project or Phase and resource allocation?
PMBOK v8 Reference
Section 2.1.6.1 - Initiate Project or Phase