Pre-Initiation Gate Review Template – Free Word Download
Introduction
In many organizations, projects simply “start” because a senior leader has an idea or a customer makes a request. However, skipping the rigorous assessment that should occur before a project is even officially born is a recipe for wasted capital. The Pre-Initiation Gate Review (often referred to as Gate 0) is the most important “No-Go” filter in the entire portfolio management lifecycle. It is the moment where the organization decides whether a proposal is worth the cost of even investing time to write a formal Project Charter.
The purpose of this review is to evaluate the strategic fit, high-level feasibility, and estimated ROI of a concept. It prevents “pet projects” from consuming resources and ensures that the PMO (Project Management Office) is only working on initiatives that have a high probability of delivering value. If a project cannot pass this gate, it is discarded or sent back for significant redesign before it ever reaches the “Initiation” phase.
This template provides a professional framework for conducting this review. It is designed to be used by a Governance Committee or a Portfolio Board. It covers the essential criteria: alignment with corporate goals, availability of high-level funding, and the initial risk profile. By following this guide, you ensure that the organization’s “Inbox” is managed with discipline and strategic foresight.
Section 1: Proposal Overview and Strategic Intent
Purpose of This Section
Every project must have a “reason for being” that is larger than the project itself. This section forces the requester to articulate the link between their idea and the corporate strategy. If the link is weak, the project should be rejected immediately.
Step-by-Step Guidance
Analyze the “Idea Brief” or “Concept Note” against the current fiscal year goals.
1. The Strategic Pillar:
Identify which corporate pillar this project supports.
- Example: “Digital Transformation,” “Customer Excellence,” or “Cost Optimization.”
- Validation: “Does this project directly move the needle on a Key Performance Indicator (KPI) defined in the Annual Operating Plan?”
2. The Problem Statement:
What pain is being felt today?
- Bad: “We need a new app.”
- Good: “The current manual claims process takes 15 days, leading to a 20% customer churn rate. We need to automate this to reduce the cycle to 2 days.”
3. The Opportunity Cost:
What happens if we don’t do this project?
- Analysis: Will we lose market share? Will we face a fine? Or will nothing happen? (If nothing happens, the project is a low priority).
Section 2: High-Level Feasibility and “The Rough Order of Magnitude” (ROM)
Purpose of This Section
At this stage, you do not have a detailed budget. However, you must have a “ballpark” estimate to decide if the project is even in the organization’s price range. This is known as the ROM estimate, typically accurate within -25% to +75%.
Step-by-Step GuidanceOpens in a new windowGetty Images Project Management Triangle
1. Estimated Cost (ROM):
- Based on similar past projects, what is the likely cost?
- Category: < $100k, $100k – $500k, $500k+.
2. Estimated Duration:
- Is this a “Quick Win” (3 months) or a “Major Transformation” (18+ months)?
3. Technical Feasibility:
- Do we have the technology to do this today?
- Assessment: “Proven Technology,” “Emerging Technology,” or “Needs Research.”
4. Resource Availability:
- At a high level, do we even have the people?
- Question: “If we start this, which existing project must stop to free up the staff?”
Section 3: Initial ROI and Value Proposition
Purpose of This Section
This is the “Business Case Lite.” The committee needs to know if the juice is worth the squeeze. You are looking for a high-level justification of the investment.
Step-by-Step Guidance
Use a table to map the expected benefits.
| Benefit Category | Description | Estimated Value |
| Financial (Direct) | Revenue increase or cost savings. | $200k / year |
| Productivity (Indirect) | Staff time saved. | 40 hours / week |
| Compliance / Risk | Avoidance of fines or legal issues. | Mandatory |
| Strategic / Brand | Market positioning or customer loyalty. | High (Qualitative) |
The Payback Period:
At this stage, a simple estimate of when the project will “break even” is sufficient.
- Rule: “Most organizations require a payback period of less than 24 months for non-mandatory projects.”
Section 4: Initial Risk and Constraints Assessment
Purpose of This Section
Some projects are “toxic” from the start. They may involve highly unstable vendors, unproven technology, or extreme political sensitivity. This section identifies “Show-Stoppers.”
Step-by-Step Guidance
Evaluate the “Big Three” risks.
1. Regulatory/Legal Risk:
- “Is there any chance this project will violate new privacy laws or labor union agreements?”
2. Technical Complexity:
- “Is the project trying to integrate three legacy systems that haven’t been touched in a decade?”
3. Dependency Risk:
- “Does this project rely on the success of another project that is currently failing?”
Categorization:
Assign a “Complexity Rating” (Low, Medium, High).
- Note: A “High Complexity” project requires a much more senior Project Manager and a larger contingency budget.
Section 5: Stakeholder Alignment and Support
Purpose of This Section
A project without a Sponsor is a ghost. This section verifies that there is an executive willing to “own” the results and the budget.
Step-by-Step Guidance
1. Identification of the Sponsor:
- Is there a named individual at the VP or Director level?
- Verification: “Has the Sponsor personally reviewed this proposal, or did a subordinate submit it?”
2. Impacted Departments:
- Which other departments will be affected?
- Action: “Do those Department Heads agree that this is a priority, or will they block resource requests later?”
Section 6: Governance Decision and Scoring
Purpose of This Section
This is the “Decision Gate.” The committee must choose one of three paths. This section records the formal vote.
Step-by-Step Guidance
Use a scoring matrix (1 to 5) across these criteria:
- Strategic Fit: (How well it aligns with goals).
- Economic Value: (ROI potential).
- Feasibility: (Ease of execution).
- Urgency: (Time sensitivity).
The Decision Options
- Approve to Initiate: The project is authorized to proceed to the Initiation phase (Charter development). A small “Seed Budget” is often released.
- Defer: The project is a good idea but not a priority right now. Review again in 6 months.
- Reject: The project is not aligned, not feasible, or not profitable. It is closed.
Section 7: Pre-Initiation Gate Review Sign-Off
Purpose of This Section
This creates a permanent record of the “Go” decision, protecting the PMO from being accused of working on unauthorized initiatives.
Signature Block
Governance Committee Chair:
“I certify that this proposal has been reviewed against the portfolio criteria. The decision is recorded as [Approved/Deferred/Rejected].”
- Signature: _______________________
- Date: ____________________________
Project Sponsor:
“I accept the role of Sponsor and agree to provide the necessary executive oversight during the Initiation phase.”
- Signature: _______________________
- Date: ____________________________
Conclusion – Pre-Initiation Gate Review Template – Free Word Download
The Pre-Initiation Gate Review is the organization’s “immune system.” It ensures that only the healthiest and most relevant ideas are allowed to enter the project pipeline. By using this template, you bring transparency and rigor to the selection process.
As a Project Manager or PMO lead, you should welcome this gate. It ensures that when a project finally reaches your desk, it already has executive buy-in, strategic relevance, and a high-level budget. It prevents the frustration of working on projects that are eventually cancelled because they “never should have started in the first place.” Use this template to maintain the integrity of your organization’s project portfolio.
Meta Description:
A template for the Pre-Initiation Gate Review (Gate 0). Evaluate strategic fit, ROI, and feasibility before authorizing the development of a Project Charter.
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