Initiation Phase Gate Approval Template – Free Word Download

Initiation Phase Gate Approval Template – Free Word Download – Copy and Paste Wording Below

Introduction

The transition from project initiation to project planning represents the first formal transition in the project lifecycle. While the Pre-Initiation Gate (Gate 0) was about the “idea,” the Initiation Phase Gate Approval (often called Gate 1) is about the “mandate.” At this stage, the project team has spent time and resources defining the project’s boundaries, identifying stakeholders, and drafting the formal Project Charter.

This gate review is the moment where the Steering Committee confirms that the project’s definition is robust enough to justify the significant investment required for the Planning Phase. It is a critical “Stop/Go” point. Many projects fail because they rush through initiation with a vague charter, only to find during planning that the stakeholders have fundamentally different expectations.

This template provides the structure for this formal approval. It serves as a contract between the Project Manager and the Steering Committee. By signing this document, the committee is not just approving a piece of paper; they are authorizing the project manager to begin recruiting a full team, committing departmental resources, and spending the first major tranche of the budget.

Section 1: Project Charter Validation

Purpose of This Section

The Project Charter is the primary artifact of the Initiation phase. This section verifies that the Charter is complete, accurate, and has been socialized with the key power players. It ensures that the “Project Constitution” is fit for purpose.

Step-by-Step Guidance

The committee must review the Charter against the following quality criteria:

1. Scope Boundary Clarity:

  • Does the Charter clearly state what is Out of Scope?
  • Validation: “Is there any ambiguity that could lead to scope creep in the Planning Phase?”

2. Objectives (SMART):

  • Are the objectives Specific, Measurable, Achievable, Relevant, and Time-bound?
  • Check: “Instead of ‘Improve performance,’ does it say ‘Reduce system latency by 25% by Q3’?”

3. High-Level Estimates:

  • Are the initial cost and schedule estimates still within the range established at the Pre-Initiation Gate?

Section 2: Stakeholder Commitment Record

Purpose of This Section

A project is only as strong as its stakeholder support. During Initiation, the Project Manager identifies who will be affected. This section confirms that the key stakeholders have not only been identified but have actively participated in defining the requirements.

Step-by-Step Guidance

1. Stakeholder Register Review:

  • [ ] Has a Stakeholder Map been completed?
  • A illustration of the Stakeholder Analysis matrix is a step in Stakeholder Management for supporting analysis between power and interest grid for monitoring, satisfying, managing, informing
  • [ ] Have the “High Power / High Interest” stakeholders signed off on the Charter?

2. Resource Commitment:

  • Have the Functional Managers (the “owners” of the people) agreed in principle to provide staff for the Planning Phase?
  • Verification: “Is there a written confirmation from the IT or Marketing leads that they have the capacity to support the upcoming workshops?”

Section 3: Risk and Assumption Re-Assessment

Purpose of This Section

Initiation is a period of discovery. The team likely uncovered new risks and identified new assumptions while drafting the Charter. This section updates the governance board on the current “Risk Appetite” required for the project.

Step-by-Step Guidance

1. Critical Risks:

  • List the top 3 risks identified during Initiation.
  • Example: “Lack of internal expertise in the new cloud platform.”
  • Mitigation: “The budget includes $10k for specialized consulting during the Planning Phase.”

2. Key Assumptions:

  • Reiterate the “Strategic Assumptions” (Template 93).
  • Question: “Does the committee accept the risk if these assumptions prove false?”

Section 4: Budget and Resource Authorization (Planning Phase)

Purpose of This Section

This is the “financial gate.” Approving this gate typically releases the budget required to complete the Planning Phase. It is important to distinguish between the “Total Project Estimate” and the “Planning Phase Authorization.”

Step-by-Step Guidance

1. Planning Phase Budget:

  • What is the specific cost to get to the next gate (the Planning Gate)?
  • Includes: PM salary, SME workshops, external feasibility studies.

2. Resource Allocation:

  • List the specific roles required for the next 4 to 8 weeks.
  • Example: 1 Business Analyst (50%), 1 Technical Lead (25%), 1 Project Manager (100%).

Section 5: Gate Approval Decision and Conditions

Purpose of This Section

The Steering Committee must make a formal choice. This section records that choice and any “strings attached” to the approval.

Step-by-Step Guidance

The Decision Options:

  • Option A: Approved to Proceed. The project moves immediately into the Planning Phase.
  • Option B: Approved with Conditions. The project can proceed, but the PM must address specific issues (e.g., “Must secure a second vendor quote”) within 14 days.
  • Option C: Defer / Rework. The Charter is insufficient. The PM must re-initiate and present again.
  • Option D: Terminate. The discovery during Initiation shows the project is no longer viable.

Section 6: Initiation Phase Gate Sign-Off

Purpose of This Section

This signature marks the official end of the Initiation Phase.

Signature Block

Project Sponsor:

“I approve the Initiation Phase artifacts and authorize the project to move into Detailed Planning.”

  • Signature: _______________________
  • Date: ____________________________

Steering Committee Members:

  • Name/Title: _______________________
  • Name/Title: _______________________

Conclusion – Initiation Phase Gate Approval Template – Free Word Download

The Initiation Phase Gate Approval is the project’s first major victory. It confirms that the organization is serious about the initiative and is willing to put resources behind it. By using this template, you ensure that the transition is documented, authorized, and based on a solid Charter.

This discipline protects the Project Manager from starting work on shifting sands and provides the Sponsor with the assurance that the project is being managed with professional rigor from the very beginning.

Meta Description:

Formal template for the Initiation Phase Gate Approval (Gate 1). Verify Charter completion, stakeholder commitment, and authorize the Planning Phase budget.

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