Phase Exit Criteria (Initiation) Template – Free Word Download
Introduction
The transition between project phases is often the point where governance fails. Teams frequently drift from one phase to another without a clear understanding of whether they have actually finished the previous stage. The Phase Exit Criteria (Initiation) document provides the objective “Finish Line” for the Initiation phase. It is a set of mandatory standards and deliverables that must be achieved before the project is allowed to request its Phase Gate Approval (Gate 1).
By establishing these criteria at the very start of the phase, the Project Manager eliminates the risk of “rework” during the Planning stage. This document serves as a checklist for the Project Manager and a quality assurance guide for the Sponsor. It ensures that no project moves forward with a weak foundation, incomplete stakeholder analysis, or unvalidated high-level requirements.
This template outlines the specific evidence required to close out the Initiation phase successfully. It covers the documentation standards, the level of stakeholder consensus required, and the technical prerequisites. Using this guide allows the project team to work with a clear goal in mind, knowing exactly what “done” looks like for this stage of the project lifecycle.
Section 1: Documentation and Artifact Completion
Purpose of This Section
Every phase in a project produces “artifacts”—documents, logs, or records that capture the work done. For the Initiation phase, these artifacts are the primary evidence that the project has a valid reason to exist and a clear direction.
Step-by-Step Guidance
Verify that the following documents are not only created but have reached the required level of maturity.
1. The Project Charter:
- Standard: Must be in version 1.0 (Final), signed by the Sponsor.
- Content Check: Must include Scope, High-level Schedule, ROM Budget, and Success Criteria.
2. Stakeholder Register:
- Standard: Must identify at least 90% of the internal impacted parties.
- Content Check: Must include Power/Interest mapping and preferred communication methods.Opens in a new windowGetty Images A vector 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
3. Assumption and Constraint Logs:
- Standard: Strategic assumptions must be documented and assigned a confidence score.
- Content Check: Constraints must be categorized by Rigidity (Hard vs. Soft).
Section 2: Strategic and Financial Alignment Criteria
Purpose of This Section
Initiation is the time to ensure the project makes sense for the business. These criteria confirm that the project remains a priority and that the organization can afford to proceed to the next phase.
Step-by-Step Guidance
1. Business Case Validation:
- The ROI (Return on Investment) or Cost-Benefit Analysis must show a positive outcome within the organization’s allowed payback period (usually 2 to 3 years).
2. Budget Code Activation:
- The Project Code (Template 88) must be active and linked to the correct cost center in the financial system.
3. Strategic Pillar Check:
- The Project Sponsor must formally state that the project objectives align with the current quarter’s strategic priorities.
Section 3: Stakeholder Consensus and Socialization
Purpose of This Section
A project that starts Planning without key stakeholder buy-in is doomed to face resistance. These criteria measure the “political” readiness of the project.
Step-by-Step Guidance
1. Steering Committee Formation:
- The committee members must be named and must have attended at least one “Kick-off” or “Alignment” meeting.
2. Impacted Department Sign-off:
- Heads of departments that will contribute more than 10% of the project resources must provide written acknowledgment of the project’s existence and high-level timeline.
3. Communication Launch:
- An initial project announcement must have been distributed to the broader organization (where applicable) to manage the “rumor mill.”
Section 4: Risk and Feasibility Thresholds
Purpose of This Section
Is the project too dangerous to continue? These criteria set the “Risk Ceiling” for the Initiation phase.
Step-by-Step Guidance
1. “Kill Zone” Risk Assessment:
- Every risk identified as “Red” in the Initial Risk Heat Map (Template 92) must have a high-level mitigation strategy.
2. Feasibility Study:
- If the project involves unproven technology, a high-level feasibility assessment or “Technical Discovery” report must be completed and approved by the Technical Lead.
Section 5: Transition Readiness (The Bridge to Planning)
Purpose of This Section
This section ensures that the Project Manager has everything they need to hit the ground running in the Planning phase.
Step-by-Step Guidance
1. Planning Phase Resource Request:
- A list of resources required for the Planning workshops (e.g., Business Analysts, Architects) must be drafted and shared with Functional Managers.
2. Repository Setup:
- The Project Repository (Template 89) must be initialized with the standard folder structure.
3. Methodology Choice:
- The Project Manager must declare whether the project will follow a Waterfall, Agile, or Hybrid methodology for the remainder of the lifecycle.
Section 6: Summary of Exit Criteria Status
Purpose of This Section
This is the final summary table used to communicate status to the Sponsor before the Gate Review.
| Criteria Category | Requirement | Status | Evidence Location |
| Governance | Signed Project Charter | Complete | Folder 01.1 |
| Stakeholder | Approved Stakeholder Map | Complete | Folder 01.2 |
| Financial | Cost Center Active | Complete | Finance System |
| Risk | Heat Map Approved | Complete | Folder 01.4 |
| Resources | Planning Team Identified | In Progress | Email Archive |
Conclusion – Phase Exit Criteria (Initiation) Template – Free Word Download
Phase Exit Criteria are the fundamental guards of project quality. Without them, project management becomes a game of “guessing” when a phase is over. By following the criteria laid out in this template, the Project Manager ensures that the project leaves the Initiation phase in the best possible shape.
These criteria protect the team from the frustration of being sent back to “redo” initiation work when they are already deep into planning. They provide the Sponsor with the confidence that the project is following a disciplined, professional process. Most importantly, they ensure that the project only proceeds when it is strategically aligned, financially viable, and organizationally supported. Use these criteria as your roadmap to a successful Phase Gate 1 approval.
Meta Description:
A template defining the mandatory Phase Exit Criteria for the Initiation Phase. Ensure your project is ready for formal Gate 1 approval and the Planning phase.
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