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OGC and DH Gateway process

  • Last modified date:
    15 February 2007

The OGC Gateway Process examines programmes and projects at critical stages in their life-cycle to provide assurance that they can progress successfully to the next stage

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Gateway Project Review Process: overview

Each review is carried out at a key decision point by a team of experienced people, independent of the project team.

The Gateway Project Review Process looks at the readiness of a project or programme to progress to the next phase at six key stages (or Gates) in the life of the project:

  • Gate 0 - Strategic assessment
  • Gate 1 - Business justification
  • Gate 2 - Procurement strategy
  • Gate 3 - Investment decision
  • Gate 4 - Readiness for service
  • Gate 5 - Benefits evaluation

OGC Gateway Reviews (Gates 1 to 5) take place during the lifecycle of a project, three before contract award and two looking at service implementation and confirmation of the operational benefits, as appropriate to the point reached in the project's lifecycle.  There may be additional OGC Gateway Reviews if required, such as the decision points between Gate 3 and 4 reviews for construction projects.  The process emphasises early review for maximum added value.

Gate 0 Reviews are programme-only reviews that can be repeated throughout the programme's life.  They can be applied to policy implementation, business change or any other sort of programme.

Initiating Gateway Reviews

A Risk Potential Assessment (RPA) spreadsheet, suitable for programmes and projects, is available from (see link below) to enable predetermined areas of risk to be assessed.  At present only projects and programmes which are assessed as having high or medium risk are included in the Gateway Review process.  The completed RPAs should be emailed to the DH Gateway Team who manage the Gateway Review process for the NHS, the Department of Health and its ALBs.  A member of the Gateway Team will contact the project to gain an insight into its objectives and progress and agree the timing for a review.  They will also identify the skills and resources required in the review team.

  • Contact:
    Department of Health Gateway Project Review Team
  • Address:
    Room 3W04, Quarry House
    Quarry Hill
    Leeds LS2 7UE
  • Phone:
    Health Gateway Project Review helpdesk
    0113 25 46165
  • Email:
    DH_NHSgatewayreviews@dh.gsi.gov.uk

Gateway Review 0: Strategic assessment

Purposes of the review:

  • Review the outcomes and objectives for the programme (and the way they fit together) and confirm that they make the necessary contribution to Ministers' or the department's overall strategy.
  • Ensure that the programme is supported by key stakeholders.
  • Confirm that the programme's potential to succeed has been considered in the wider context of the department's delivery plans and change programmes.
  • Review the arrangements for leading, managing and monitoring the programme as a whole and the links to individual parts of it (eg to any existing projects in the programme's portfolio).
  • Review the arrangements for identifying and managing the main programme risks (and the individual project risks), including external risks such as changing business priorities.
  • Check that financial provision has been made for the programme (initially identified at programme initiation and committed later) and that plans for the work to be done through to the next stage are realistic, properly resourced with sufficient people of appropriate experience, and authorised.
  • After the initial review, check progress against plans and the expected achievement of outcomes.
  • Check that there is engagement with the market on the feasibility of achieving the required outcome.

Gateway Review 1: Business justification

The project initiation process produces a justification for the project based on business needs and an assessment of the project's likely costs and potential for success.

Purposes of the review:

  • Confirm that the business case is robust - that is, in principle it meets business need, is affordable, achievable, with appropriate options explored and likely to achieve value for money.
  • Confirm that appropriate expert advice has been obtained as necessary to identify and/or analyse potential options.
  • Establish that the feasibility study has been completed satisfactorily and that there is a preferred way forward, developed in dialogue with the market.
  • Confirm that the market's likely interest has been considered.
  • Ensure that there is internal and external authority, if required, and support for the project.
  • Ensure that the major risks have been identified and outline risk management plans have been developed.
  • Establish that the project is likely to deliver its business goals and that it supports wider business change, where applicable.
  • Confirm that the scope and requirements specifications are realistic, clear and unambiguous.
  • Ensure that the full scale, intended outcomes, timescales and impact of relevant external issues have been considered.
  • Ensure that there are plans for the next stage.
  • Confirm planning assumptions and that the project team can deliver the next stage.
  • Confirm that overarching and internal business and technical strategies have been taken into account.
  • Establish that quality plans for the project and its deliverables are in place.

Gateway Review 2: Procurement strategy

Prior to approval of an OBC for a programme or project there is a requirement for the project to complete a Gate 2 Review.

The purposes of the Gate 2 Review are:-

  • Confirm the Outline Business Case now the project is fully defined.
  • Ensure that the procurement strategy is robust and appropriate.
  • Ensure that the project's plan through to completion is appropriately detailed and realistic, including the contract management strategy.
  • Ensure that the project controls and organisation are defined, financial controls are in place and the resources are available.
  • Confirm funding availability for the whole project.
  • Confirm that the development and delivery approach and mechanisms are still appropriate and manageable.
  • Check that the supplier market capability and track record are fully understood (or existing supplier's capability and performance).
  • Confirm that the project will facilitate good client/supplier relationships in accordance with government initiatives such as Achieving Excellence in Construction.
  • Confirm that there is an appropriate procurement plan in place that will keep procurement timescales to a minimum.
  • Confirm that appropriate project performance measures and tools are being used.
  • Confirm that quality procedures have been applied consistently since the previous review.
  • For IT-enabled projects, confirm compliance with IT security requirements.
  • For construction projects, confirm compliance with health and safety and sustainability requirements.

Gateway Review 3: Investment decision

Prior to approval of an FBC for a programme or project there is a requirement for the project to complete a Gate 3 Review.

The purposes of the Gate 3 Review are:-

  • Confirm the business case and benefits plan now that the bid information has been confirmed.
  • Check that all the necessary statutory and procedural requirements were followed throughout the procurement process.
  • Confirm that the recommended contract decision, if properly executed within a standard lawful agreement, is likely to deliver the specified outputs/outcomes on time, within budget and will provide value for money.
  • Ensure that management controls are in place to manage the project through to completion, including contract management aspects.
  • Ensure there is continuing support for the project.
  • Confirm that the approved procurement strategy has been followed.
  • Confirm that the development and implementation plans of both the client and the supplier or partner are sound and achievable.
  • Check that the business has prepared for the development (where there are new processes), implementation, transition and operation of new services/facilities.
  • Confirm that there are plans for risk management, issue management and change management (technical and business) and that these plans are shared with suppliers.
  • Confirm that the technical implications, such as 'buildability' for construction projects; and for IT-enabled projects information assurance, the impact of e-government frameworks (such as e-GIF, e-business and external infrastructure) have been addressed.

Gateway Review 4: Readiness for service

Purposes of the review

  • Check that the current phase of the contract is properly completed and documentation completed.
  • Ensure that the contractual arrangements are up-to-date.
  • Check that the business case is still valid and unaffected by internal and external events or changes.
  • Check that the original projected business benefit is likely to be achieved.
  • Ensure that there are processes and procedures to ensure long-term success of the project.
  • Confirm that all necessary testing is done (e.g. commissioning of buildings, business integration and user acceptance testing) to the client's satisfaction and that the client is ready to approve implementation.
  • Check that there are feasible and tested contingency and reversion arrangements.
  • Ensure that all ongoing risks and issues are being managed effectively and do not threaten implementation.
  • Evaluate the risk of proceeding with the implementation where there are any unresolved issues.
  • Confirm the business has the necessary resources and that it is ready to implement the services and the business change.
  • Confirm that the client and supplier implementation plans are still achievable
  • Confirm that there are management and organisational controls to manage the project through implementation and operation.
  • Confirm that all parties have agreed plans for training, communication, roll-out, production release and support as required.
  • Confirm that all parties have agreed plans for managing risk.
  • Confirm that there are client-side plans for managing the working relationship, with reporting arrangements at appropriate levels in the organisation, reciprocated on the supplier side.
  • Confirm information assurance accreditation/certification.
  • Confirm that defects or incomplete works are identified and recorded.
  • Check that lessons for future projects are identified and recorded.

Gateway Review 5: Benefits evaluation

Gateway Review 5 focuses on ensuring that the project delivers the benefits and value for money identified in the business case and benefits plans.

Purposes of the review

  • Assess whether the business case justification for the project at OGC Gateway Review 3 was realistic.
  • Assess whether the anticipated benefits at this stage are actually being delivered.
  • Confirm that the client side continues to have the necessary resources to manage the contract successfully.
  • Confirm continuity of key personnel involved in contract management/'intelligent customer' roles.
  • Where changes have been agreed, check that they do not compromise the original procurement.
  • Assess the ongoing requirement for the contract to meet business need. Ensure that if circumstances have changed, the service delivery and contract are adapting to the new situation. Changing circumstances could affect: partner management; relationship management; service management; change management; contract management; benefits management; performance management.
  • Check that there is ongoing contract development to improve value for money.
  • Confirm that there are plans to manage the contract to its conclusion.
  • Where applicable, confirm the validity of exit strategy and arrangements for re-competition.

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