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Initiating
Forms
1.0INITIATING PROCESS GROUP
The purpose of the Initiating Process Group is to authorize a project, provide a high-level
definition of the project, and identify stakeholders. There are two processes in the
Initiating Process Group:

• Develop project charter

• Identify stakeholders

The intent of the Initiating Process Group is to at least:

• Authorize a project
• Identify project objectives
• Define the initial scope of the project
• Obtain organizational commitment
• Assign a project manager
• Identify project stakeholders

As the first processes in the project, the initiating processes are vital to starting a
project effectively.
These processes can be revisited throughout the project for validation and elaboration as
needed.
The forms used to document initiating information include:

• Project charter
• Assumption log
• Stakeholder register
• Stakeholder analysis

These forms are consistent with the information in the PMBOK® Guide – Sixth Edition.
Tailor them to meet the needs of your project by editing, combining, or revising them.
2 Initiating Forms

1.1PROJECT CHARTER
The project charter is a document that formally authorizes a project or phase. The project
charter defines the reason for the project and assigns a project manager and his or her
authority level for the project. The contents of the charter describe the project in high-
level terms, such as:

• Project purpose
• High-level project description
• Project boundaries
• Key deliverables
• High-level requirements
• Overall project risk
• Project objectives and related success criteria
• Summary milestone schedule
• Preapproved financial resources
• Key stakeholder list
• Project approval requirements
• Project exit criteria
• Assigned project manager, responsibility, and authority level
• Name and authority of the sponsor or other person(s) authorizing the

project charter The project charter can receive information from:

• Agreements (contracts)
• Statements of work
• Business case
• Benefits management

plan It provides

information to:

• Stakeholder register
• Project management plan
• Scope management plan
• Requirements management plan
• Requirements documentation
• Requirements traceability matrix
• Project scope statement
• Schedule management plan
• Cost management plan
• Quality management plan
• Resource management plan
• Communications management plan
• Risk management plan
• Procurement management plan
• Stakeholder engagement plan

The project charter is an output from process 4.1 Develop Project Charter in the
PMBOK® Guide – Sixth Edition. This document is developed once and is not usually changed
unless there is a significant change in the environment, scope, schedule, resources,
budget, or stakeholders.
 Initiating Forms 3

Tailoring Tips
Consider the following tips to help you tailor the project charter to meet your needs:

• Combine the project charter with the project scope statement, especially if your project is
small
• If you are doing the project under contract you can use the statement of work as the
project charter in some cases

Alignment
The project charter should be aligned and consistent with the following documents:

• Business case
• Project scope statement
• Milestone schedule
• Budget
• Stakeholder register
• Risk register

Description
You can use the element descriptions in Table 1.1 to assist you in developing a project charter.

TABLE 1.1 Elements of a Project Charter

Document Element

Description
Project purpose The reason the project is being undertaken. May refer to a
business case, the organization’s strategic plan, external
factors, a contract agreement, or any other reason for
performing the project.
High-level project description A summary-level description of the project.
Project boundaries Limits to the project scope. May include scope
exclusions, or other limitations.
Key deliverables The high-level project and product deliverables. These will
be further elaborated in the project scope statement.
High-level requirements The high-level conditions or capabilities that must be met to
satisfy the
purpose of the project. Describe the product features and
functions that must be present to meet stakeholders’
needs and expectations. These will be further elaborated in
the requirements documentation.
Overall project risk An assessment of the overall riskiness of the project. Overall
risk can include the underlying political, social, economic,
and technological volatility, uncertainty, complexity, and
ambiguity. It pertains to the stakeholder exposure to
variations in the project outcome.
Project objectives and related Project objectives are usually established for at least scope,
success criteria schedule, and cost. The success criteria identify the metrics
or measurements that will be used to measure success.
There may be additional objectives as well. Some
organizations include quality,
safety, and stakeholder
satisfaction objectives.

(continued)
4 Initiating Forms

Table 1.1 Elements of a Project Charter (continued)

Document Element Description

Summary milestone schedule Significant events in the project. Examples include the
completion of
key deliverables, the beginning or completion of a project
phase, or product acceptance.
Preapproved financial resources The amount of funding available for the project. May include
sources
of funding and annual funding limits.
Key stakeholder list An initial, high-level list of people or groups that have
influenced or can influence project success, as well as those
who are influenced by its success. This can be further
elaborated in the stakeholder register.
Project exit criteria The performance, metrics, conditions, or other
measurements that must be met to conclude the project.
Assigned project manager, The authority of the project manager with regard to
responsibility, and authority level staffing, bud- get management and variance, technical
decisions, and conflict resolution.
Examples of staffing authority include the power to hire, fire,
discipline, accept, or not accept project staff.
Budget management refers to the authority of the project
manager to commit, manage, and control project funds.
Variance refers to the variance level that requires
escalation.
Technical decisions describe the authority of the project
manager to make technical decisions about deliverables or
the project approach.
Conflict resolution defines the degree to which the project
Name and authority of the sponsor manager can resolve conflict within the team, within the
or other person(s) authorizing the organization, and with external stakeholders.
project charter The name, position, and authority of the person who
oversees the project manager for the purposes of the
project. Common types of authority include the ability to
approve changes, determine acceptable variance limits,
resolve inter-project conflicts, and champion the proj- ect at a
senior management level.
 PROJECT CHARTER
Project Title: HD X440 Bike Assembly Process Development at Hero Neemrana Plant
Project Sponsor: Manufacturing Head- Neemaran
Date Prepared: 30/09/22
Project Manager: Bhupinder Saini Project Customer: Despatch Team

Project Purpose:
 To Develop a Process for Vehicle assembly & Engine assembly for HD X440 for
50VPD by Sept-23
 To Plan & Order the Infrastructure requirement for all 06 Manufactuirng shops by
Jan-23
 To Installed & Commissioned all the machines & equipment in all 06 shops by
March-23
 To successfully execute the PP1 & PP2 event in vehicle assembly on Jan-23 &
March-24

High-Level Project Description:

 Process Development of HD X440 bike at Hero Motocorp Neemrna plant by aug-23.

Project Boundaries:
 No X440 Vehicle will be assembled on line-2.
 Vehicle Start of Production will be start after CIT approval area.
 Vehicle Dispatch will be started after dispatch evaluation apparoval.

Key Deliverables:
 Fuel Tank Welding Process machines tobe delivered within 3 months after order
releaseing.
 Delivery of Tightening Tools for Engine & vehicle assembly within 2 months after the
order release.
 Delivery of Special Tooling & Fixtures for Subassembly process withi 15 days of order
released.
 Paint Shop Shade establishment within 3 days after approval of paint testing results

High-Level Requirements:
 X440 PP1 & PP2 event to be completed by Jan-23 & March-23 respectively.
 X440 vehicles dispatched must be start on or before 18th October 2023.
 Overall Production Capcity of assembly line must be 50 vehicle per day.
 Manpower to be recruited & handover by Feb-23.
 Vehicle Quality Straight pass must be 100% from Day 1 of Start of Production (SOP)

Overall Project Risk

 Delay in Availbility of raw material from suppliers for starting of assembly.
 Delay in the Delivery of Tools & Fixture for assembly process.
 Engine performance parameters not meet the required standard during testing at
R& D .
 Delay in the receiving of testing report form PDI Lab

Page 1 of 4
 PROJECT CHARTER
Project Objectives Success Criteria

Scope:
To assembled the HD X440 motorcycle Assembly of HD X440 vehicle with 100%
with 04 nos.of variant on vehicle assembly Qulality rate passing all CIT , IQC & ARAI
line-1 at neemrana plant by Oct2023. test by oct 23 with minimum development
rejection cost.
Time:

To complete the Project within schedule time of Completion of HD X440 Vehicle assembly by
12 months Oct2023 passed in all quality parameter

Cost:

To complete the project within Budget 120 Cr To attain a EBITA margin of 20%O

Other:

Summary Milestones Due

Date
Technical Specification Finalization of All Within 15 days of final releasing of the drawings
Equipment
Purchase Order Releasing Of all machines, Tools , Witin 7 days after technical specification signedoff
Fixtures & machine Consumables
Delivery of all Facilities Within 3 months of purchase order

Child Parts Availbility for Machine Trial 20 days before the machine delivery

Civil & Utilities Infrastructure Completion To be ready before machine delivery

Machine Layout & material Flow Finalization On or before machine Delivery

Installation & Commissioning of machines With 7 days after machine Delivery

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 PROJECT CHARTER
Preapproved Financial Resources:

100% Approved CAPEX from Central Team

Stakeholder( Role
s)
Project Manager (New Model Coordinator) All Project Related Activites
Project Sponser (Manufactuing Head) Review progress of all activities
Release of funds for projects
Approval of all Procurement
Project Team All Project related activities
Machine Suppliers Machine Delivery & machines drawings as per
timeline .
Fixture & Tightening Tools Suppliers Delivery of Fixture & tightening tools as per timeline
ARAI To provide the necceasry approval for go ahead
Civil Contractor To get the civil drawings approval from Local
authorities
PDT Testing Divison To Provide the approval for Driveability test

Project Exit Criteria:

1. Handing Over of New Facility to respective shops for Vehicle assembly of X440
2. Assembly of 1st 50 nos. QC Ok Vehicles to dispatch team

Project Manager Authority Level:

Staffing Decisions:
1.Assembly Process design Expert
2. Mitsuibuishi PLC Prorammer
3. Tools & Fixture Designer
2.

Budget Management and Variance:

2.INR 150 cr ± 5%

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 PROJECT CHARTER

Technical
Decisions:
1. Approval of Machine Layout
2. Machine Technical specification Finalization
3. Utility Layout Finaliation
4. Approval of Process flow
5. Supplier Recommendations

Conflict Resolution:
 Resolution of Conflict between project team members R&D ,Central Project
team , Plant team.
 Resolution of conflict between the civil contractor & other vendors for pricing
finalization.
 Resolution of conflict with machine supplier on technical issues.

Sponsor Authority:
 Deployment of Project team
 Releasing of funds for project
 Review of progress of project
 Approval of suppliers recommended by PM

Approvals:

Project Manager Signature Sponsor or Originator Signature

Project Manager Name Sponsor or Originator Name

Date Date

Page 4 of 4
 Initiating Forms 9

1.2ASSUMPTION LOG
Assumptions are factors in the planning process that are considered to be true, real, or
certain, without proof or demonstration. Constraints are also documented in this log.
Constraints are limiting factors that affect the execution of the project. Typical constraints
include a predetermined budget or fixed milestones for deliverables. Information in the
assumption log includes:

• Identifier
• Category
• Assumption or constraint
• Responsible party
• Due date
• Actions
• Status
• Comments

Assumptions can come from any document in the project. They can also be determined
by the proj- ect team. Constraints may be documented in the project charter and are
determined by the customer, sponsor, or regulatory agencies.

The assumption log provides information to:

• Requirements documentation
• Project scope statement
• Network diagram
• Duration estimates
• Project schedule
• Quality management plan
• Resource estimates
• Risk register
• Stakeholder engagement plan

The assumption log is an output from the process 4.1 Develop Project Charter in the
PMBOK® Guide – Sixth Edition. This log is a dynamic document that is updated throughout
the project. Assumptions are progressively elaborated throughout the project and are
eventually validated and no longer assumptions.

Tailoring Tips
Consider the following tips to help you tailor the assumption log to meet your needs:

• Combine the assumption log with the issue register and the decision log, to create
an AID Log (A = assumption, I = issue, D = decision). You can create them in a
spreadsheet with each sheet dedicated to either assumptions, issues, or decisions.
• If you have a very large project you may want to keep the constraints in a separate
log from the assumptions.
10 Initiating Forms

Alignment
The assumption log should be aligned and consistent with the following documents:

• Project charter
• Issue log
• Risk register

Description
You can use the element descriptions in Table 1.2 to assist you in developing the assumption
log.

TABLE 1.2 Elements of an Assumption Log

Document Element Description

ID Identifier
Category The category of the assumption or
constraint Assumption/constraint A description of the
assumption or constraint
Responsible party The person who is tasked with following up on the assumption to
validate if it is true or not
Due date The date by which the assumption needs to be validated
Actions Actions that need to be taken to validate assumptions
Status The status of the assumptions, such as active, transferred,
or closed Comments Any additional information regarding the assumption or
constraint
 ASSUMPTION LOG
Project Title:Process Design of X440 Date Prepared: 30.09.2022

ID Category Assumption/Constraint Responsible Party Due Date Actions Status Comment

s
AX1.1 Finance Assumption is that Advance Finance 30.12.2023 Timely Pending Urgent
Payment for Robot Suplier will Releasing of
be released by finance team Payment as
per due date
AX1.2 Supply Chain Assumption is that initial parts Supply Chain Team 20.01.2024 Parts Pending Urgent
for machine trial will be Availibility
available by supply chain team as per
timeline
AX1.3 Top Managment Assumption is that all Puchase Top Management Within a week Approval of Pending Critical
orders value more than 20 lac after submission Purchase
will be approved by Head of of all Documents orders
Plant Operations
AX1.4 R& D Assumption that R&D team will R & D Within week Sharing of Pending Semi-urgent
share the testing report within a after receiving of testing report
week after receiving of initial lot initial lot of
of vehciles. vehicle
AX1.5 R&D Assumption is that all design R &D Before PP2 EventAll open Pending Semi-urgent
st
related open points of 1 trial points of
event (PP1) vehicle will be PP1 to be
closed by R&D before next trial closed .
event.(PP2)
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1.3STAKEHOLDER REGISTER
The stakeholder register is used to identify those people and organizations impacted by
the project and to document relevant information about each stakeholder. Relevant
information can include:

• Name
• Position in the organization
• Role in the project
• Contact information
• List of stakeholder’s major requirements
• List of stakeholder’s expectations
• Classification of each stakeholder

Initially you will not have enough information to complete the stakeholder register. As
the project gets underway you will gain additional information and understanding about
each stakeholder’s requirements, expectations, and classification and the stakeholder
register will become more robust.

The stakeholder register receives information from:

• Project charter
• Procurement

documents It is related

to:

• Stakeholder analysis

matrix It provides

information to:

• Requirements documentation
• Quality management plan
• Communications management plan
• Risk management plan
• Risk register
• Stakeholder engagement plan

The stakeholder register is an output from the process 13.1 Identify Stakeholders in the
PMBOK® Guide – Sixth Edition. The stakeholder register is a dynamic project document. The
stakeholders, their level of influence, requirements, and classification are likely to change
throughout the project.

Tailoring Tips
Consider the following tips to help you tailor the stakeholder register to meet your needs:

• Combine the position in the organization with the role on the project, especially if it is a
smaller project and everyone knows everyone else’s position.
• Combine the stakeholder analysis matrix information with the stakeholder register.
• Eliminate position, role, and contact information for small internal projects.
 Initiating Forms 13

Alignment
The stakeholder register should be aligned and consistent with the following documents:

• Project charter
• Stakeholder analysis matrix
• Stakeholder engagement plan

Description
You can use the element descriptions in Table 1.3 to assist you in developing the stakeholder
register.

TABLE 1.3 Elements of a Stakeholder Register

Document Element Description

Name Stakeholder’s name. If you don’t have a name you can substitute a position or
organization until you have more information
Position/Role The position and/or role the stakeholder holds in the organization. Examples of
positions include programmer, human resources analyst, or quality assurance
specialist. Roles indi- cate the function the stakeholder performs on the project
team, such as testing lead, Scrum Master, or scheduler
Contact information How to communicate with the stakeholder, such as their phone number, email
address, or physical address
Requirements High-level needs for the project and/or
product Expectations Main expectations of the project
and/or product
Classification Some projects may categorize stakeholders as friend, foe, or neutral; others
may classify them as high, medium, or low impact
 STAKEHOLDER REGISTER
Project Title:HD X440 Vehicle Development Date Prepared: 30.09.2022

Name Position/Role Contact Requirements (Resp) Expectations Classifi

Informati cation
on
PG Manufacturing XXXXXX To review the project progress The project must be completed within decided High
Head (Project Sponsor) XXXX on weekly basis timeline within budget. There will be no Impact
defects outflow from the process during
vehicle assembly.
AS Project Manager XXXXXX To overall review of the project Project must be completed within decided High
XXXX as per schedule , all activities schedule as per the scope , within budget . Impact
execution safely & alignment There will be no impact on the quality of work.
of different stakeholders There will be no accidents during
commissioning of machine during the project.
PK Research & XXXXXX Timely review of ECN The updated drawings to be released as per the High
Development SPOC XXXX received received ECN. Impact
Timley review of Designed All the design related points to be closed on or
related Points during 1st vehicle before the SOP.
lot Production. Timely Releasing of test reports
DC Civil Contractor XXXXXX Drawings approval fromLocal
XXXX Authority
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 Initiating Forms 15

1.4STAKEHOLDER ANALYSIS
Stakeholder analysis is used to classify stakeholders. It can be used to help fill in the
stakeholder register. Analyzing stakeholders can also help in planning stakeholder
engagement for groups of stakeholders.
The following example is used to assess the relative power (high or low), the relative
interest (high or low), and the attitude (friend or foe). There are many other ways to
categorize stakeholders. Some exam- ples include:

• Influence/impact
• Power/urgency/legitimacy

Stakeholder analysis receives information from:

• Project charter
• Procurement documents

Stakeholder analysis is a tool used in 13.1 Identify Stakeholders in the PMBOK® Guide –
Sixth Edition.

Tailoring Tips
Consider the following tips to help you tailor the stakeholder analysis to meet your needs:

• For projects with relatively homogenous stakeholders you can use a 2 × 2 grid that
only considers two variables, such as interest and influence.
• For larger projects consider using a 3 × 3 stakeholder cube. Tailor the categories to
reflect the impor- tance of various stakeholder variables.

Alignment
The stakeholder analysis should be aligned and consistent with the following documents:

• Stakeholder register
• Stakeholder engagement plan

Description
You can use the element descriptions in Table 1.4 to assist you in developing a stakeholder
analysis.

TABLE 1.4 Stakeholder Analysis

Document Element Description

Name or role The stakeholder name, organization, or group
Interest The level of concern the stakeholder has for the project
Influence The degree to which the stakeholder can drive or influence outcomes for
the project Attitude The degree to which the stakeholder supports the project
 STAKEHOLDER ANALYSIS
Project Title: Date Prepared:

Name or Role Interest Influenc Attitude

e

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