Certified Associate in Project Management (CAPM)
Phase gate reviews explained: UK Gate 0 to Gate 5
A gate review is an independent check at a key decision point in a program or project life cycle that it can move safely to the next stage. The UK process runs from Gate 0, a strategic assessment of a whole program, through Gate 1 business justification and Gate 4 readiness for service, to Gate 5 operational review and benefits realisation.
What a gate review is
The National Infrastructure and Service Transformation Authority (NISTA) gate review process gives independent guidance to senior responsible owners (SROs) and their teams on whether a program or project is likely to deliver its agreed outcomes to time, cost, benefits and quality. It examines them at key decision points to confirm they can progress to the next stage.
A gate review is a snapshot at one point in time. It complements an organization's own reviews and audits and does not replace them or a sound governance framework.
The gates
Gate 0, the strategic assessment, takes an overall view of a program whose sub-programs and projects pass through Gates 1 to 5 at different times. It is repeated throughout the program's life, from start-up to closure.
Gate 1, business justification, is the first project gate. It examines the strategic outline case and proposed way forward to confirm the scope is clear and achievable, before a project board gives authority to proceed.
Gate 4, readiness for service, checks the organization is ready to go live. For IT-enabled projects it comes after all testing, including business integration and acceptance testing, and before release into production. Reviewers look for a documented go/no-go process, a process for a rollback decision, and tested contingency and reversion plans.
Gate 5, operational review and benefits realisation, confirms that the business case benefits are being achieved and the service runs smoothly. It can be repeated over the life of the service.
Handover and the post-implementation review
Handover from the project's SRO to the operational business owner typically happens within a year of the service starting. The business owner then makes sure the expected benefits are delivered and the service runs smoothly.
The post-implementation review is internal assurance for the SRO that the business case investment was justified and lessons were captured. Gate 5 is an external review that uses it as a major input.
Where the exam catches people
- Believing a gate review replaces internal audit: it is a point-in-time snapshot that complements internal reviews.
- Believing Gate 0 happens once at the start: it is repeated throughout the program's life.
- Believing go-live is decided informally once testing passes: Gate 4 expects a documented go/no-go process and a rollback decision process.
- Believing the post-implementation review and Gate 5 are the same: the first is internal assurance for the SRO; Gate 5 is external and uses it as an input.
- Believing the project team stays responsible for benefits after go-live: after handover the operational business owner is.