Gateway Review Process

Introduction

The Gateway Review Process is a series of independent peer reviews undertaken at key stages of a programme or project lifecycle. It is an assurance mechanism designed to provide an objective view of the ability to deliver on time and to budget.

Engagement with the Gateway Review Process is mandatory within all public bodies (excluding local councils) for all programmes and projects valued at £5M and above.

Risk Potential Assessments

It is important for programmes and projects to engage with the Gateway review process as early as they can, for the review to have the maximum beneficial impact on the programme or project’s delivery.

The first step is the completion by the programme/project team of a Risk Potential Assessment (RPA).

Gateway review points

The review points are:

Gate 0 - Strategic Assessment (Programmes only)

A series of Gate 0 reviews are carried at the start of the programme, during programme delivery, and at programme close. This Review investigates the direction and planned outcomes of the programme, together with the progress of its constituent projects. It can be applied to any type of programme.

Gate 1 - Business Justification

A review is undertaken once the Strategic Outline Case (SOC) is prepared, and a forward plan is in place to assess the SOC and the project scope to ensure they are achievable.

Gate 2 - Delivery Strategy

This review takes place before procurement to investigate the assumptions in the Outline Business Case (OBC) and proposed approach for delivering the project including details of sourcing options and proposed procurement route.

Gate 3 – Investment Decision

This review investigates the Full Business Case (FBC) and the governance arrangements for the investment decision to confirm that the project is still required.

Gate 4 – Readiness for service

This review investigates readiness to make the transition to the implementation and ‘go live’ of the project.

Gate 5 – Operations Review & Benefits Realisation

This review should be undertaken 12-18 months after completion of the project and should confirm that the benefits set out in the Business Case are being achieved, that the operational service is running smoothly, and the agreed strategic outcomes are being met.

For each review point there are Gateway workbooks that have been created by the UK Infrastructure and Projects Authority (IPA). The workbook helps members of the Gateway review team by informing questioning, and highlighting areas to probe during each review.

Submitting the RPA

Guidance notes and the RPA proforma are available at Gateway Risk Potential Assessment Form

A completed RPA should be forwarded to your Departmental Portfolio, Programme, and Project Office (P3O) at least 12 weeks prior to the anticipated date of the Gateway review.

Low & Medium Risk Programmes/Projects

If following completion of the RPA process the programme/project is designated as low risk, CDG will review and provide advice to the Senior Responsible Owner (SRO).

If CDG agrees that the project is of low or medium risk, an Internal Peer Review (IPR) will be recommended. However, a SRO may request a formal Gateway review.

An IPR should be undertaken in line with Gateway principles and conducted by an independent team appointed by the department. It should be noted that this is not a Gateway review or part of the Gateway process.

It is recognised that the assessment of a programme or project risk may increase over time, therefore it is expected that medium risk projects should complete a RPA at key milestones to ensure the risk level has not increased.

If the risk potential level does increase (i.e. moves to high risk at any time), the programme or project will be subject to the Gateway review process from that stage until programme/project closure.

High Risk Programmes/Projects

If a risk level of High is indicated on the RPA, CDG will arrange an Assessment Meeting with the SRO and the Programme/Project Team to co-ordinate the Gateway review.

Assessment Meeting

The purpose of the Assessment Meeting, which typically lasts around one hour is to;

• determine the readiness of the programme/project for review
• identify necessary skills for potential reviewers
• establish suitable dates for the planning meeting and the actual review
• agree Gateway review charges

Following the Assessment Meeting, the CDG Departmental Assurance Co-ordinator (DAC) will seek and appoint an independent and impartial review team and arrange a Planning Meeting.

Planning Meeting

The purpose of the Planning Meeting, which normally takes place two weeks before the Gateway Review, is to;

• agree a code of conduct for the review
• agree a list of stakeholders to be interviewed
• agree a list of documents to be made available to the review team
• determine logistics for the review to take place

The DAC will attend the planning meeting to provide advice on compliance with Gateway principles and to support both the review team and the programme or project team through the process.

The Gateway Review

The Gateway review typically takes place over three days but can be extended to four days if appropriate. The review will entail a series of interviews with key stakeholders and the review team.

Being open and honest with the review team is key to the success of the review. All information given to the review team is non-attributable to any of the interviewees within the final report.

• Review Day One – The Review Team will meet with the Senior Responsible Owner (SRO) first followed by the Programme/Project Manager. Interviews with other key stakeholders will continue throughout the day. At the end of the day, the review team will meet with the SRO again to brief them on any emerging findings.
• Review Day Two – Interviews with key stakeholders continue. Again, at the end of the day, the review team will meet with the SRO again for the emerging findings process.
• Review Day Three – No interviews take place on the final day. The review team use this day for formulating the final report. When the report is ready, they meet with the SRO again to pass over their findings.

A Gateway review may need four days to complete if the programme/project is complex and all interviews cannot be fitted into the first two days.

Stage Gate Assessment

The final report will give the programme/project a Stage Gate Assessment which will range from green to red, defined as:

• GREEN - successful delivery of the programme or project to time, cost and quality appears highly likely and there are no major outstanding issues that, at this stage, appear to threaten delivery significantly.
• AMBER - successful delivery of the programme or project to time, cost and quality appears feasible but significant issues already exist requiring management attention; these appear resolvable at this stage and, if addressed promptly, should not present a cost or schedule overrun.
• RED - successful delivery of the programme or project to time, cost and quality appears to be unachievable; there are major issues which, at this stage, do not appear to be manageable or resolvable, the programme or project may need re-baselining and/or its overall viability to be re-assessed -

The Next Assurance Review

The final report will recommend the date the next assurance review should take place. The Programme/Project team should note this date and plan for it accordingly.

Gateway reviews will be mandatory for programmes and projects with a high risk RPA outcome. Programmes and projects which are assessed as high risk at the outset will be subject to the Gateway review process until programme/project closure (i.e. there is no requirement to complete an RPA at each gate stage for a high risk programme or project)

Programme/Project teams and Departmental P3Os should liaise with the CDG Departmental Assurance Co-ordinators to ensure Gateway reviews take place. High risk programmes/projects should complete the Gateway Request for High Risk Projects form.