Concept Phase

Purpose

Identify and evaluate available concepts and select the one that is best suited to achieving the project’s goals and within its defined constraints.

Introduction

The Concept Phase is initiated by executive leadership to determine whether a proposed project should be started. This is Decision Point 1 (DP 1) in the Project Framework. The appointed project manager or phase manager is responsible for coordinating the development of the Mandate for the Concept Phase into a full Project Description.

Mandate for the Concept Phase and Project Description

The Mandate for the Concept Phase sketches out the projects Why, What, How, and When, as well as describing the work that will be done during the Concept Phase to further develop the project. The Mandate should give a high-level, but detailed enough, set of answers to the questions above so that the decision makers in the organization can determine whether to proceed to the Concept Phase. Often, at the beginning of the Concept Phase, there is already a concrete idea for a solution that may seem an obvious way to meet the need—or the perceived need. However, is it certain that this the organization’s actual need? Perhaps the problem has another cause or comprises several parts. The Concept Phase offers the opportunity to adjust and sharpen the understanding of the need that the project will address.

During the concept phase, a detailed project description will be developed. The level of detail in the Mandate for the Concept Phase vs. the Project Description varies depending on the scope and complexity of the project. For smaller projects, one might consider combining the Mandate for the Concept Phase and the Project Description into a simpler document.

Transition from the Concept Phase to the Planning Phase

The transition from the Concept Phase to the Planning Phase takes place at Decision Point 2 (DP2) when Line Management and the designated Project Owner approve the Project Description, allocate key roles and resources in the project organization, and plan for the next phase. Project Manager, Project Owner, Benefits Realization Lead, key participants in the project team and the Steering Committee must be in place before the start of the Planning Phase. Leadership is responsible for ensuring that this is the case. The blue fields in the Project Framework (see figure above) show which decision points and phases the organization is responsible for, while the green fields show the project owner’s responsibilities. Decision point 2 marks the transition from line management to project management.

Templates and Tools

• Mandate for the Concept Phase (DP1) (word)
• Project Description (DP2) (word)
• Checklist for Benefit Realization (pdf) (Norwegian) 

Checklist: Decision Point 1

• Is there a clearly defined problem that needs to be addressed?
• Is it clear how or by whom the Concept Phase will be financed?
• Should the proposed work be carried out as a project or as an assignment within the organization?
• Is the proposal consistent with organizational strategy?
• Is enough information available to make a decision?
• Are there any laws, regulations, or guidelines that will have an impact on how the problem is addressed?
• Has consideration been given to how and to what extent the proposed project will affect the organization?

Checklist: Decision Point 2

• Is there a Project Description based on the current template for the project?
• Is the project goal realistic and achievable?
• Has the establishment of a project Steering Committee been considered?
• Has a Project Owner been appointed and have the role and responsibilities for the Project Owner been defined?
• Has a Benefit Realization Lead been appointed and their role and responsibilities defined?
• Does the proposed project support institutional goals and strategies?
• Have alternative approaches been appropriatly explored including cost/benifit analyses?
• Have the roles of Project Manager and key project team members (key resources) been assigned.
• Has the extent of the Project Manager’s responsibility and authority been defined?
• Is there a plan for key activities in the next phase?
• On the basis of the work done in the Concept Phase, is it likely that the organization will succeed in implementing the desired changes as described in the Project Description?
• Is there a strategy for necessary change management?