11. Integrate the Initializing Reference and Obtain Sponsor Approval

Executive Summary

The initializing reference is the authorization document that consolidates and formalizes the outcomes of initializing activities. In other bodies of practice, this document is commonly referred to as a charter when initializing activities are applied to a project. This initializing reference is the foundational instrument that officially sanctions a work execution unit, transforming a conceptual idea into a formally established temporary organization. This reference applies to all levels of work execution units, including programs, projects, phases, releases, and work packages. It consolidates all critical information developed during the initialization process and is presented to the appropriate customer or management team for approval. The primary functions of this document are to define the central parameters of the work execution unit, including its purpose, goal, and expected outcome, and to formally appoint a manager, delineating the extent of their authority. The sponsor’s signature signifies official support, granting the appointed manager the power to utilize organizational resources and commence the detailed work of planning.

Note: In this framework, the term initiative refers to programs and projects. The term work execution unit refers collectively to programs, projects, phases, releases, and work packages, all of which are considered temporary organizations.

Purpose and Formal Function

The initializing reference serves as the primary instrument for securing approval for a work execution unit at any level. After the initial activities of defining the work execution unit are complete, all relevant information is consolidated into this document. It provides the authorizing customer or governance body with the necessary information to make an informed decision. The approval process has three potential outcomes:

Approved: The work is officially authorized and can proceed to the planning stage.
Denied: The work is rejected and does not move forward.
Returned for Revision: The document is sent back with feedback for further refinement before being reconsidered.

Upon approval, the initializing reference officially authorizes the work execution unit and announces its existence to the organization. This is the foundational act that establishes a new, temporary organization dedicated to achieving the specified goals.

Distinction from Detailed Planning Documents

It is critical to understand that the initializing reference is not a detailed management plan. The initializing reference, referred to as Charter in other bodies of practice, is a product of the initializing activities. It consolidates high-level information and decisions made before detailed planning begins. It sets the central parameters and provides the foundation for the work execution unit.

In contrast, a management plan is a more detailed document developed subsequently. It outlines the specific work required to execute the decisions and intent defined in the initializing reference.

The Hierarchy of Authorization

The principles of authorization apply consistently across a hierarchy of work. The form and labeling of the initializing reference may vary by organizational context and level, for example, legacy terms such as program Charter, project Charter, phase Mandate, or work package Authorization. However, the core function remains the same: to formally define, approve, and empower.

A program is authorized to achieve broad strategic objectives.
A project within that program is authorized to deliver specific capabilities contributing to the program’s goals.
A phase within that project is authorized to complete a major segment of the project work.
A release is authorized to deliver a specific set of functionalities to users.
A work package is authorized to create a specific, tangible deliverable as part of a project or phase.

The authorization for a lower-level item, such as a project, is contingent upon and must align with the authorization of the higher-level item it belongs to, such as a program.

Core Components of an initializing Reference

The elements listed below describe a comprehensive initializing reference. They represent the full set of information that may be required to establish a solid and unambiguous foundation for a work execution unit. The required level of detail must be tailored to the size, complexity, risk profile, and organizational context of the item being initialized, whether it is a program, project, phase, release, or work package.

Component	General Description	Application Across Levels
Name	The title or name that serves as the primary identifier.	All Levels: Uniquely identifies the program, project, phase, release, or work package.
Problem/Opportunity Statement	A description of the specific problem or opportunity being addressed, including its causes, effects, and boundaries.	All Levels: The scale varies. A program addresses a major business problem; a work package addresses a highly specific technical or operational issue.
Purpose Statement	The reason for undertaking the work.	All Levels: Explains why this specific program, project, phase, release, or work package is necessary.
Goal Statement	A specific statement of what the work execution unit intends to achieve.	All Levels: Defines a measurable target state appropriate for the level of work.
Outcome Statement	The immediate impact or change resulting from the goal deliverable.	All Levels: Describes the immediate impact or change resulting from the availability of the goal deliverable
Benefits Statement	The long-term value or advantage gained from the outcome.	All Levels: benefits are strategic at the program level and become more tactical and immediate at the work package level.
Strategic and Hierarchical Alignment	Describes the contribution to organizational goals and its place within the work hierarchy.	Program: Aligns with corporate strategic goals. Project: Aligns with program or strategic goals. Phase/Release/Work Package: Aligns with project goals.
Business Requirements	Capabilities the organization wants to achieve for its stakeholders.	All Levels: Expressed as high-level capabilities for programs and projects; may become specific user stories for releases or work packages.
Selected Strategy and Rationale	The chosen course of action, alternatives considered, and justification.	All Levels: The approach for achieving the goal, which can range from a multi-year program strategy to a specific technical approach for a work package.
High-Level Schedule or Roadmap	A timeline outlining major milestones or a general roadmap showing the sequence of work.	Program: General roadmap of constituent projects. Project: High-level milestone schedule. Phase/Release/Work Package: More specific, shorter-term timeline.
Goal Deliverable and Major Components	The primary product, service, or capability produced, along with its main parts.	All Levels: Defines the tangible or intangible output of the work execution unit.
Exclusions	Explicit clarifications of what the endeavor will not deliver to avoid ambiguity.	All Levels: Crucial for setting clear boundaries for any work execution unit.
Success Criteria	The specific, predefined criteria used to determine if the endeavor was successful.	All Levels: Defines what “done” and “successful” mean for that specific work execution unit.
High-Level Risks	Potential events or conditions that could have a negative impact.	All Levels: Risks are strategic and business-oriented at the program level; they become more technical and operational at the work package level.
Assumptions	Statements taken to be true for planning and execution.	All Levels: Articulates the foundational beliefs upon which the plan for the work will be built.
Constraints	Explicit restrictions related to time, funds, resources, or technology that must be followed.	All Levels: Captures stakeholder-imposed limitations. Note: This does not refer to the developed budget and schedule, which are inherent constraints.
Financial Resources Reserved	Acknowledgment of any pre-allocated funds from a business case or portfolio decision.	All Levels: An informational section confirming initial funding allocation. If a strict financial limit is imposed by the organization, it should be listed under constraints.
Organizational Structure	A description of the hierarchical structure and reporting relationships for the endeavor.	Program/Project: An organigram showing governance, management, and team leadership. Phase/Release/Work Package: May be a simpler description of roles and responsibilities.
Stakeholder Register and Analysis	A listing of major stakeholders, their importance to success, and their level of engagement.	All Levels: The stakeholders change with the level. A program involves senior executives; a work package involves team members and functional managers.

The Approval and Authorization Process

The initializing reference becomes official upon being signed by the sponsor. The sponsor is the individual or group possessing the authority to commit organizational resources for that specific level of work. This signature signifies formal support and acts as a power of attorney, granting the appointed manager the authority outlined within the document. In some organizations, the appointed manager also co-signs the document, creating a formal agreement.

Once signed, the sponsor is responsible for distributing the document to all relevant stakeholders. This action communicates that the work execution unit is officially authorized and makes the manager’s authority common knowledge. With the approved initializing reference, the manager is empowered to use the organization’s resources to begin the detailed management of the planning stage for their assigned program, project, phase, release, or work package.

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