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10.5 The Gateway Process

10.5.1All programmes and projects are subject to Office of Government Commerce (OGC) Gateway Reviews. The process examines a project at critical stages in its lifecycle to provide assurance that it is on track and should progress successfully to the next stage. It is designed to be applied to all programmes and projects.
10.5.2In NI the Gateway Process is managed by CPD's Centre of Excellence (CoE). CPD is now an OGC Gateway Authorised Hub, which provides guidance, will organise and place review teams and provide both awareness and reviewer training.The process is explained in detail on the Gateway Review pages of CPD's Successful Delivery website.
10.5.3In simple terms, a Gateway Review is a peer review of a programme or project carried out at a key decision point by a team of experienced people, independent of the project team. Gateway Reviews need to be scheduled into programme and project plans and at least 8 weeks notice of a review taking place should be given to CPD.
10.5.4The Gateway Process is based on well-proven techniques that lead to more effective delivery of benefits together with more predictable costs and outcomes. The process considers the programme and project at critical points in its development. These critical points are identified as Gateways. For projects, there are five review points in the process, three in advance of investment decision or financial commitment and two looking at service implementation and confirmation of the operational benefits. Gateway 0 generally applies only to programmes while Gateways 1-5 apply to individual projects. The process emphasises early review for maximum added value.
10.5.5All programmes and projects are required to complete a Risk Potential Assessment (RPA) which should be validated by the Head of the Departmental Programme Office or Portfolio Manager under arrangements with CPD's Centre of Excellence (CoE). However, Departments and Organisations may decide on a de minimis cut off point, below which a risk assessment may not be required, but must do so on the basis of a full understanding of the implications and be accountable for their action. De minimis limits should be approved by the Accounting Officer in conjunction with the Head of the appropriate Centre of Procurement Expertise (CoPE).
10.5.6Where a risk assessment designates a programme or project as medium or high risk the assessment should be forwarded to CPD/CoE for agreement (gateway@dfpni.gov.uk). If this risk assessment level is confirmed, CPD/CoE will make arrangements on behalf of the SRO for an OGC Gateway Review, using an experienced and impartial review team. The teams vary in size depending on the level of the programme or project, but typically are between three and up to five people. Each review takes about three to five days, with a complete report provided to the SRO before the team leaves the site. The targeted review is designed to avoid any delay to the project.
10.5.7Where the programme or project is designated low risk an internal peer review should be undertaken, in line with Gateway principles by an independent team appointed by the Department. In the event of a disagreement arising between the Department and CPD/CoE in relation to a Department's determination of risk levels, the matter should be referred to the Departmental Accounting Officer and Director of CPD for resolution.
10.5.8A Gateway review is conducted on a confidential basis for the SRO and ownership of the report rests with the SRO. However, the SRO may be expected to share the report with the Project Board, Accounting Officer and the funding or approving Department. This approach promotes an open and honest exchange between the programme or project and review teams delivering maximum added value. Accountability rests with the SRO for the implementation of recommended remedial action and project progression. These actions may be monitored by CPD depending on the outcome of the review. General advice on the Gateway process is available from CPD's Centre of Excellence (CoE).

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