Download Part 3: Managing a Successful Gateway Review

August 2006
Guidance on the Gateway
Review Process—A Project
Assurance Methodology for
the Australian Government
FMG 20
FINANCIAL MANAGEMENT GUIDANCE (FMG)
The information in this Guidance publication is based on Gateway Review Pack – Best Practice (Version 2),
published by the Victorian Department of Treasury and Finance in 2004 and the Successful Delivery Toolkit
(Version 4.5), published by the United Kingdom Office of Government Commerce (OGC), in 2004. The Victorian
Gateway documentation is subject to copyright protection by the State of Victoria and is reproduced with its
permission. The Successful Delivery Toolkit is a Crown Copyright value-added product and is developed, owned
and published by the OGC. It is subject to Crown Copyright protection and is reproduced under licence with
permission of the Controller of Her Majesty’s Stationery Office and the OGC.
© Commonwealth of Australia 2006
ISBN 0-9758059-6-7
Department of Finance and Administration
Financial Management Group
Cover Photo: Parliament House, Canberra. Steve Keough Photography.
Copyright: Department of Finance and Administration
This work is copyright. Apart from any use as permitted under the Copyright Act 1968, no part may be reproduced
by any process without prior written permission from the Australian Government.
Requests and enquiries concerning reproduction and rights should be addressed to the
Commonwealth Copyright Administration, Attorney-General’s Department, Robert Garran Offices, National
Circuit, Barton ACT 2600 or posted at <http://www.ag.gov.au/cca>.
An appropriate citation for this publication is: Commonwealth of Australia, Guidance on the Gateway Review
Process – A Project Assurance Methodology for the Australian Government, Canberra, 2006. This is No 20 in the
Financial Management Guidance series.
Enquiries regarding the Gateway methodology should be directed to:
Gateway Unit
Financial Management Group
Department of Finance and Administration
John Gorton Building, King Edward Terrace
PARKES ACT 2600
Email: [email protected]
Internet: http://www.finance.gov.au/gateway
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Contents
INTRODUCTION
2
PURPOSE
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GLOSSARY
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PART 1: THE GATEWAY REVIEW PROCESS—AN OVERVIEW
Application of Gateway
Introduction of Gateway
The Methodology
Freedom of Information
Participants in Gateway
Key Steps in a Gateway Review
The Benefits of Gateway
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PART 2: ROLES, RESPONSIBILITIES AND RELATIONSHIPS
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Who Participates in a Gateway Review?
Importance of Participation
Participants’ Roles and Responsibilities in a Gateway Review
The Sponsoring Agency
The Gateway Unit
The Gateway Review Team
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PART 3: MANAGING A SUCCESSFUL GATEWAY REVIEW
Key Elements for a Successful Gateway Review
Planning and Co-ordination
Access to Resources
Open and Clear Dialogue
Confidentiality and Accountability
Mission Critical Projects
Support Provided by the Gateway Unit
Key Steps in a Gateway Review
The Assessment Meeting
The Onsite Review Activity
The Gateway Review Report
APPENDICES
Appendix A: Gateway Assessment Tool
Appendix B: Summary of Gateway Reviews
Appendix C: Skills Profile of a Gateway Reviewer
Appendix D: Other Reference Material
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Introduction
In November 2005, the Australian Government endorsed, through Cabinet decision, the adoption
of the United Kingdom’s Office of Government Commerce, (OGC) Gateway Review Process™
(Gateway).
OGC developed Gateway to improve the delivery of major projects and introduced it in the United
Kingdom (UK) in 2000. The Victorian Government adopted the methodology in 2003. Since its
inception, over 1700 Gateway reviews have been conducted in the UK and over 100 reviews have
been conducted in Victoria.
The application of Gateway in the UK and Victoria has demonstrably benefited project delivery
through:
 identifying the skills and experience required to deliver successful projects;
 increasing stakeholder understanding of their role in successful project management and the
factors which contribute to the achievement of project objectives;
 identifying early in projects where corrective action may be required; and
 improving project management and delivery skills.
The formal feedback mechanism that forms part of the Gateway process in the UK and Victoria
strongly indicates that participants find Gateway beneficial. The benefits demonstrated in these
jurisdictions have been assessed as clearly transferable to the Australian Government’s
environment. The adoption of Gateway is a further tool to improve the on-time and on-budget
delivery of major projects undertaken by Australian Government Financial Management and
Accountability Act 1997 (FMA Act) agencies (FMA agencies). Importantly, it supports project
teams by providing them with an independent information resource that can add value to their
project (for example, by the early identification of issues that may need to be addressed).
At the direction of the Government, the Gateway Unit was established within the Department of
Finance and Administration to manage the introduction and continued operation of Gateway.
The purpose of this Guidance publication is to provide an introduction and practical information on
the process and requirements of Gateway and how it can help to improve the successful delivery of
projects to:
 FMA agencies;
 Gateway reviewers;
 Project Teams; and
 Other potential participants.
This Guidance will assist these parties to successfully prepare for, and participate in, Gateway
reviews. Information in this Guidance should be applied using common sense
—as relevant to the circumstances of each project under review.
The Gateway Unit in the Department of Finance and Administration provides further information
and assistance on Gateway, its application and outcomes through:
 facilitating the provision of accredited training programs;
 developing reference and supporting materials; and
 periodically publishing lessons learnt from Gateway reviews.
This information will be available at <http://www.finance.gov.au/gateway>.
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Glossary
FMA agency Includes all Financial Management and Accountability Act 1997 agencies.
Assessment Meeting A meeting between the Gateway Unit and the Sponsoring Agency’s Senior
Responsible Official, to clarify the characteristics of the project, discuss the timing and logistics of
the review and determine the skills requirements of potential reviewers.
Gate(s) A particular point(s) in a project’s lifecycle when a Gateway Review is undertaken.
Gateway The United Kingdom’s Office of Government Commerce Gateway Review Process™,
which is a project assurance methodology that involves short, intensive reviews at up to six critical
stages in a project’s lifecycle.
Gateway Assessment Tool (GAT) The risk assessment tool used to assess the inherent risk of
projects in the context of a Gateway review. The GAT provides a standard set of high level criteria
against which Senior Responsible Officials and Project Managers can assess the characteristics and
degree of complexity of a proposed project.
Gateway Review Report The report issued by the Gateway Review Team at the conclusion of the
Gateway review to the Sponsoring Agency’s Senior Responsible Official.
Gateway Review Report Template The template issued by the Gateway Unit to the Gateway
Review Team to assist in the preparation of the Gateway Review Report.
Gateway Reviewer A Gateway Reviewer is an individual with extensive relevant experience in a
particular field and has been accredited by the Gateway Unit. Reviewers may be sourced from the
public or private sectors, depending upon their suitability and availability for a project.
Gateway Review Team A team of expert reviewers engaged to undertake a Gateway review.
Members of a Review Team should not have worked on the project under review, except in the
capacity as a Gateway Reviewer at previous gates.
Gateway Reviewer Training Approved training programs that must be completed as
part of the process of becoming an accredited Gateway Reviewer.
Handbook Gateway Review Process—A Handbook for Conducting Gateway Reviews (Financial
Management Reference No.7). This publication contains practical information designed to assist with
the successful preparation for, and participation in, Gateway reviews.
Information technology (IT) A general term encompassing the use of hardware, software and
services to create, store, retrieve, transfer, process and present information. IT projects typically
involve the introduction or enhancement of systems or technology to meet a particular business
need.
Infrastructure Basic facilities, services, and installations needed for the functioning
of a community or society, such as transportation and communications systems and public
institutions such as schools. Infrastructure projects typically involve the introduction or
enhancement of facilities, services, and installations to meet a
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particular community need.
Lessons learnt Observations arising from Gateway reviews which highlight opportunities for
improvements in project management practice. Lessons learnt are disseminated to FMA agencies
by the Gateway Unit.
Mission Critical Project A project deemed essential to the Australian Government’s ability to
successfully deliver a major legislative requirement or a major policy initiative; or a project for
which failure would have catastrophic implications for the delivery of a key public service,
national security of the internal operation of an FMA agency.
Onsite Review Activity The Gateway Review conducted over four to five working days,
at the Sponsoring Agency’s premises. The Onsite Review Activity includes an examination of the
requested documentation and interviews with key project participants.
Outcomes The results, impacts or consequences of actions by the Australian Government on the
Australian community.
Planning Meeting A meeting of the Gateway Review Team, the Sponsoring Agency’s Senior
Responsible Official and the Project Manager to clarify the intent, logistics and timing of the
Gateway review.
Private financing A form of government procurement involving the use of private sector capital
to wholly or partly fund an asset—that would otherwise have been purchased directly by the
government—used to deliver Australian Government outcomes. Private financing is generally an
option to be considered only for major asset and infrastructure procurements.
Procurement The acquisition of property, goods or services through purchase, hire, lease, rental
or exchange.
Programme A group of government-mandated activities that contribute to a common strategic or
operational objective that can clearly be linked to an outcome statement as articulated in the
Appropriation Acts.
Project A process undertaken by a Project Team, which is guided by a project management
framework, to achieve a new one-off product or service within a finite period of time, in contrast to
ongoing work.
Project Management Framework A set of integrated, cohesive and related tools, procedures and
techniques that can be used to guide the execution of a project.
Project Manager The official within or engaged by the Sponsoring Agency, with overall
responsibility for the delivery of a project. The Project Manager typically reports to the Senior
Responsible Official.
Project Team The team of individuals engaged by the Sponsoring Agency to assist the Project
Manager in the delivery of a project.
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Property Every type of right, interest or thing that is legally able to be owned. This includes, but is
not restricted to, physical goods and real property as well as intangibles such as intellectual
property, contract options and goodwill.
Review Team Leader The member of the Gateway Review Team engaged for their expertise and
experience, who has broader responsibility for managing the Gateway review and being the key
point of contact with the Gateway Unit and the Sponsoring Agency’s Senior Responsible Official.
Review Team Member/s Member/s of the Gateway Review Team engaged for their expertise
and experience to contribute to the assessment of a project’s progress against its stated objectives.
Senior Responsible Official The official within the Sponsoring Agency that has overall
accountability for the realisation of the project outcomes and objectives for the project under
review.
Sponsoring Agency The agency that is undertaking the project subject to the
Gateway review.
Stakeholder An individual or entity who is either potentially affected by the project or who has a
potential effect on the project.
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Part 1: The Gateway Review
Process—An Overview
Application of Gateway
Gateway applies to new projects undertaken by FMA agencies operating under the Financial
Management and Accountability Act 1997 (FMA Act)1, which satisfy certain financial and risk
thresholds. The current financial thresholds are:
 $10 million and over for information technology (IT) projects; and
 $20 million and over for other procurement and infrastructure projects.
These thresholds will be reviewed at regular intervals and refer to the total value of a project,
regardless of the timeframe taken to deliver the objectives.
Risk is assessed using the Gateway Assessment Tool (GAT). The GAT is explained in greater
detail at Appendix A. It provides a standard set of high-level criteria and questions, which the
agency answers in relation to a proposed project, to determine the level of project risk (high,
medium or low). A subset of high risk projects have been defined by the Government as ‘Mission
Critical’, and as such, the Government has decided that additional governance requirements be
applied to these projects, on the basis that:
 such projects are essential to the successful delivery of a major legislative requirement or a
major policy initiative committed to by the Government; or
 project failure would have catastrophic implications for delivery of a key public service,
national security or the internal operation of an agency.
Introduction of Gateway
Gateway is being phased in from the 2006–07 Budget, focusing initially on a representative
cross-section of projects that satisfy the financial thresholds and are identified as high risk.
After the 2006–07 Budget, all projects over the financial thresholds must complete the GAT.
Projects deemed to be high risk, after completion of the GAT and in consultation with the Gateway
Unit, must undertake a Gate 1—Business Case Review prior to consideration by Government.
Projects that are included in Gateway will proceed through subsequent Gates in the Gateway
process during their lifecycles.
For the 2008–09 Budget and onward, those projects that satisfy the financial thresholds and are
assessed as medium risk will also be subject to the same process as high risk projects.
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Some exemptions exist for projects in the Defence portfolio. Further clarification of these exemptions can be obtained from the
Gateway Unit.
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The Methodology
Gateway is a project assurance methodology that involves short, intensive reviews at up to six
critical stages of the project lifecycle. The reviews, undertaken by a team of experienced peer
reviewers who are not associated with the project, are designed to:
 assess the project against its specified objectives at a particular stage in the project’s lifecycle;
 provide early identification of areas that may require corrective action; and
 provide validation that a project is ready to progress successfully to the next stage.
There are six different reviews that occur at critical stages (or Gates or decision points) of a
project’s lifecycle. These are:
Critical Stage or Gate
Type of Review
Gate 0
Business Need
Gate 1
Business Case
Gate 2
Procurement Strategy
Gate 3
Investment Decision
Gate 4
Readiness for Service
Gate 5
Benefits Realisation
Appendix B provides a summary of the purpose of each Gateway review, and the key areas to be
examined. These are also discussed in detail in Financial Management Reference No.7 Gateway
Review Process—A Handbook for Conducting Gateway Reviews (Handbook), which is provided
to reviewers during the Gateway Reviewer training. The Handbook can also be accessed from the
Gateway Unit or via the Department of Finance and Administration’s website, at
<http://www.finance.gov.au>.
A Gate 0 Review may occur prior to the commencement of a programme or project, or during later
stages of the project or programme, if required. For most projects though, the first review will be a
Gate—1 Business case Review. Figure 1 outlines the relationship between a typical project’s
lifecycle and the reviews at each Gate.
Projects that are included in Gateway are subject to Gates 1 through 5.
The Gate 0—Business Need review is a broad strategic review that may be undertaken before the
start-up stage of a programme or project, to inform decision-making, or may be undertaken during
project implementation, to confirm the alignment with the intended outcomes. It is envisaged that
Gate 0 Reviews will not be commonly used and will only be undertaken when an agency
specifically requests a review, and obtains the Gateway Unit’s concurrence, or where the review is
commissioned by the Government. If Gate 0 Reviews are deemed appropriate for a project, they
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can be repeated during the life of particularly complex projects.
Following the completion of a Gateway review, subsequent Gateway reviews for projects will
commence when the Sponsoring Agency informs the Gateway Unit of its intention to proceed to
the next phase in the project lifecycle. Protocols around these notifications will be established
between the Sponsoring Agency and the Gateway Unit at the Assessment Meeting.
Figure 1: Gateway and the Project Lifecycle
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Gateway is not an audit, a detailed technical review or an inquiry. The reviews identify and focus
on issues that are most important to the project, so that a Project Team’s effort is directed to those
aspects that will help make the project successful. The Gateway review findings and
recommendations are provided directly to the Sponsoring Agency at the conclusion of the review.
It is the responsibility of the Sponsoring Agency, not the Gateway Unit, to determine what action
should be taken to address recommendations.
Freedom of Information
Gateway reports provided to Sponsoring Agencies are subject to the Freedom of Information Act
1982 (FOI Act). The Sponsoring Agency has responsibility for dealing with FOI requests for
Gateway reports. Other information held by Sponsoring Agencies, or by the Gateway Unit, related
to a Gateway review may also be subject to the FOI Act.
Participants in Gateway
Gateway involves the participation of the:
 Sponsoring Agency (including the Senior Responsible Official, Project Manager and Project
Team);
 Gateway Unit;
 Gateway Review Team; and
 Other project stakeholders.
A Gateway Review Team will usually consist of a Review Team Leader and up to three Review
Team Members. All reviewers must be accredited through the Gateway Unit’s accreditation
process. The Gateway Unit consults with the Sponsoring Agency to determine the optimal
composition of the Gateway Review Team for each Gateway review.
Key Steps in a Gateway Review
At each Gate, a Gateway review consists of four elements requiring the Sponsoring Agency’s
participation.
1. An Assessment Meeting between the Gateway Unit and the Senior Responsible Official of the
project, to clarify the characteristics of the project, discuss the timing and logistics of the review
and determine the skills requirements for potential reviewers. This meeting will generally take one
hour.
2. A Planning Meeting between the assigned Gateway Review Team and the significant project
personnel (including the Senior Responsible Official and the Project Manager) to clarify the
project’s characteristics and the requirements for the review. This meeting will generally take no
more than half a day.
3. The Onsite Review Activity, which involves examination of critical documentation and
interviews with key Project Team members and other project stakeholders on the Sponsoring
Agency’s premises. Interviews will be carefully planned and scheduled to minimise the disruption
to interviewees. The Onsite Review Activity typically takes the Gateway Review Team four to five
working days to complete. The Review Team Leader will brief the Senior Responsible Official on
a daily basis regarding any findings to date. This briefing typically takes less than half an hour.
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4. The Gateway Review Report is provided to the Senior Responsible Official on the last day of
the Onsite Review Activity, following a briefing by the Gateway Review Team on the review’s
conclusions and recommendations. This briefing generally takes no more than an hour to complete.
The report highlights where corrective action may be required at that particular point in time.
Figure 2 provides an overview of a typical Gateway review (with an indicative five- day timeline
for the Onsite Review Activity), including the suggested timeframe, the participants at each stage
and the key actions at each step in the process.
The process and resource requirements for each of the Gateway reviews are described in greater
detail in Part 3 of this Guidance.
The Benefits of Gateway
As previously noted, Gateway strengthens the oversight and governance of major projects and
assists FMA agencies to deliver new projects in accordance with the stated objectives, on-time and
on-budget. It achieves this by providing an arm’s length assessment of a project at critical stages of
the project’s lifecycle.
The benefits of Gateway to FMA agencies can include:
 better alignment of service delivery with Government’s desired outcomes and available funds;
 access to the knowledge of highly experienced peers;
 improved accuracy in planning;
 improved allocation of skills and resources;
 improved procurement and contract management processes;
 improved risk management;
 reduced time and cost overruns;
 increased supplier confidence;
 greater assurance that the project can progress to the next stage of development or
implementation;
 dissemination of better practice techniques across the public sector, leading to enhanced
project management awareness and skills; and
 enhanced agency awareness, responsibility and accountability through open, targeted and
honest communication.
The Gateway Unit will periodically publish a report that is a composite of lessons learnt from a
variety of Gateway reviews. These reports will incorporate confidentiality principles, with lessons
learnt not attributable to any particular project. The lessons learnt reports will be available on the
Gateway website.
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Figure 2: Overview of the Gateway Review Process Timeline
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Part 2: Roles, Responsibilities and
Relationships
Who Participates in a Gateway Review?
As each Gateway review is undertaken over a short period of time, it is critical that the following
participants work co-operatively to complete a review successfully:
 Sponsoring Agency (including the Senior Responsible Official, Project Manager and Project
Team);
 Gateway Unit;
 Gateway Review Team; and
 Other project stakeholders.
Importance of Participation
Participants in a Gateway review should engage fully in the process, demonstrating a willingness
to share information openly and honestly. This will assist in building a collaborative working
relationship among the participants, and result in the production of a fully informed and useful
Gateway Review Report. The confidentiality of the process should also help encourage that
working relationship.
The Review Team Leader needs to plan early for interviews, ensuring that the appropriate
participants are involved, and that Review Team Members and interviewees are aware of the
purpose and structure of the interviews. The Handbook provides sample interview questions and
supporting documentation. However, these questions are not exhaustive, and the Gateway Review
Team should use their expertise and experience to tailor questions to the particular requirements of
a Gateway review. In all circumstances interviewees should be encouraged to fully explain aspects
of their project.
Participants’ Roles and Responsibilities in a Gateway Review
The Sponsoring Agency
The Senior Responsible Official
The Senior Responsible Official is responsible for the successful delivery of the project and should
have the authority to make decisions affecting the progress of the project. The Senior Responsible
Official is not responsible for the day•to•day management or the project; that is the Project
Manager’s role.
The Senior Responsible Official:
 provides input to the Gateway Unit at the Assessment Meeting on the skill requirements
needed for the Gateway Review Team;
 briefs the Gateway Review Team at the Planning Meeting on key aspects of
the project;
 assists the Gateway Review Team to obtain access to key stakeholders and documentation,
including any previous Gateway Review Reports;
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 receives daily briefings from the Gateway Review Team;
 ensures appropriate action is taken to address the Gateway review findings; and
 notifies the Gateway Unit of the project’s intention to progress to the next phase, enabling
appropriate scheduling of subsequent Gateway reviews.
The Project Manager
The Project Manager has primary responsibility for the day-to-day management of the entire
project and assists the Gateway Review Team to obtain an understanding of:
 the project’s origin and stated outcome(s);
 how the stated outcomes link to the agency’s business strategy and/or high-level policy
outcomes;
 the project objectives and desired outputs;
 the governance, composition and management of the project; and
 how the delivery of the project will be determined.
The Project Manager, or a nominee, should ensure that:
 project documents, which have been identified by the Review Team Leader as necessary to the
Gateway review, are made available to the Gateway Review Team at the Planning Meeting.
When documents cannot be provided at a Planning Meeting, the Project Manager should
indicate to the Gateway Review Team when they will be available;
 any other relevant documentation is provided to the Gateway Review Team either prior to, or
during, the Onsite Review Activity;
 interviews are arranged and interviewees have been informed of the time, location and purpose
of the interview; and
 suitable meeting rooms and facilities are available to the Gateway Review Team for interviews
and meetings.
The Project Team
The Project Team comprises the agency staff (and contractors) responsible for undertaking the
project work. The Project Team should report to the Project Manager.
The Project Team’s role is to:
 provide a summary of the project to the Gateway Review Team at the
Planning Meeting;
 make all information available to the Gateway Review Team to enable it to
conduct a timely and complete review; and
 attend interviews with the Gateway Review Team if requested.
Other Project Stakeholders
Other project stakeholders include any individual or entity who is either potentially affected by the
project or who has a potential effect on the project. For example, other FMA agencies, interest
groups, or private sector bodies involved in, or affected by, the project.
Other project stakeholders may be asked:
 by the Project Manager and/or the Review Team Leader to meet with the Gateway Review
Team; and
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 by the Gateway Review Team to provide relevant information in its entirety and in a timely
manner.
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The Gateway Unit
Overview of the Gateway Unit’s Role and Responsibilities
The Department of Finance and Administration’s Gateway Unit provides guidance, support and
additional information on the Gateway methodology to the Gateway Review Teams and FMA
agencies as required. The Gateway Unit does not undertake the Gateway Reviews.
The Gateway Unit will oversee the management of Gateway reviews by:
 providing a point of contact to schedule and co-ordinate Gateway reviews;
 assessing, accrediting and maintaining a register of suitable Gateway reviewers;
 maintaining and continually improving Gateway guidance and resources, including the GAT;
 communicating the requirements of Gateway to FMA agencies and assisting them in their
participation in Gateway reviews; and
 compiling and disseminating lessons learnt on the management of major projects to FMA
agencies. This will assist FMA agencies to implement practices and controls that increase the
likelihood of successful project outcomes. Individual projects are not discussed as part of this
process.
In respect to facilitating Gateway reviews, the Gateway Unit:
 liaises with the Senior Responsible Official regarding the skills requirement of the Gateway
Review Team;
 assembles the Gateway Review Team and assists with its logistical and administrative
arrangements;
 briefs the Project Team on the requirements of a Gateway review;
 assists the Review Team Leader to organise the Planning Meeting;
 responds to queries from and provides advice to the Sponsoring Agency and the Gateway
Review Team on the review process;
 ensures that the procedural requirements for a Gateway review are met;
 collates evaluations on the Gateway Review Team’s performance in the conduct of Gateway
reviews; and
 draws on review recommendations to identify lessons learnt on a non-attributable basis.
The Gateway Unit does not receive copies of Gateway Review Reports as they are completed.
Rather, the Gateway Unit receives a copy of the Gateway Review Report as follows:
 In Gates 0 to 4 the Gateway Unit receives the last completed Gateway Review Report at the
completion of the next Gateway review for a particular project. For example, the Gateway
Review Report for a Gate 1 review will not be provided to the Gateway Unit until the Gate 2
review is complete. The Gateway Unit obtains a copy of these reports to enable it to undertake
quality assurance on the reporting process and highlight, in a timely manner, potential
reporting improvements to the incoming Gateway Review Team; and
 In Gate 5 the Gateway Unit receives the final Gateway Review Report three months after the
completion of the Gate 5—Benefits Realisation Review. The Gateway Unit obtains a copy of
this report to enable it to undertake quality assurance on the reporting process. This elapsed
time is consistent with the Gateway Unit’s approach of not holding detailed contemporaneous
information about projects.
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Gateway Review Reports will also be used by the Gateway Unit as a key source of information for
the preparation of the lessons learnt reports. Although the Gateway Unit does not receive a
Gateway Review Report until the completion of the next Gateway review, access to Gateway
Review Report recommendations is provided to the Gateway Unit to inform the preparation of the
lessons learnt reports.
Distribution of a Gateway Review Report is at the discretion of the Senior Responsible Official.
Aside from the copy provided to the Gateway Unit on completion of the next review, reports are
not provided to anyone outside the Gateway Unit.2
Selection of Gateway Reviewers
The level of a project’s risk, as identified through the GAT, determines the selection process for the
structure of a Gateway Review Team. The risk categories and the selection processes are:
 High Risk: the Gateway Unit appoints the Review Team Leader and Review Team Members,
who are independent of the project;
 Medium Risk: the Gateway Unit appoints an independent Review Team Leader to lead a
review team of staff nominated by the Sponsoring Agency, from within the agency, but who
are not in any way involved with the project being reviewed; and
 Low Risk: the Sponsoring Agency conducting the project appoints an independent Review
Team Leader. The Sponsoring Agency appoints Review Team Members, who are drawn from
staff within the Sponsoring Agency, but are not in any way involved with the project being
reviewed.
The Gateway Unit does not play a role in Gateway reviews for low risk projects, as they are not
Government mandated and are conducted at the discretion of the Sponsoring Agency, using
agency resources.
When selecting Gateway reviewers, the Gateway Unit will consult with the Sponsoring Agency to
ensure an optimal mix of Gateway reviewers is selected for the Gateway Review Team.
Consideration will be given to factors such as:
 potential conflicts of interest or other sensitivities;
 reviewer knowledge, skills and experience relevant to the particular project and the Gateway
review to be undertaken;
 obtaining the best mix of reviewer expertise;
 reviewer availability; and
 the level of security clearance required for the project, where relevant.
The common practice is to have one reviewer with financial or economic expertise; one with
project management expertise relevant to the Gate being reviewed; and one with expertise related
to the business requirements of the project. Depending on the purpose of each Gateway review and
the profile of the reviewer, there may not necessarily be continuity in a Gateway Review Team
from one Gate to the next. Regardless of the Review Team composition, the Gateway Planning
Meeting provides an opportunity for all Review Team Members to be aware of the outcomes of
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For ‘Mission Critical’ projects, the Senior Responsible Official provides a summary of Gateway Review Report
recommendations to the project steering committee (refer to Mission Critical Projects section of Part 3 – Managing a Successful
Gateway Review).
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previous reviews and have access to all necessary information.
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Accreditation of Gateway Reviewers
The background and skills of the Gateway reviewers are fundamental to their involvement on
particular Gateway reviews. Appendix C provides details of the required Gateway reviewers’
expertise and experience.
To be accredited as a Review Team Member, candidates must:
 demonstrate extensive relevant knowledge, skills and experience in one or more business or
technical areas specified as relevant to the review;
 have attended Gateway Review Team Member training provided by an accredited training
provider;
 register with the Gateway Unit; and
 agree to the terms and conditions for reviews as set by the Gateway Unit.
Ongoing accreditation as a Review Team Member requires satisfactory feedback from a Review
Team Leader.
The accreditation process for Review Team Leaders involves all of the above requirements, as well
as:
 extensive experience in successfully leading Project Teams or Gateway review teams; and
 accredited Review Team Leader training, as required.
Ongoing accreditation as a Review Team Leader requires satisfactory feedback from a Senior
Responsible Official and the Gateway Unit.
The Gateway Unit will periodically check that information on Gateway reviewers is current and
that reviewers are trained in any changes to Gateway and its application in the Australian
Government context.
The Gateway Review Team
Gateway reviewers are experts in their field, who have extensive relevant experience and have
been accredited by the Gateway Unit. Reviewers may be sourced from the public or private
sectors, depending upon their suitability and availability for a project. The Gateway Unit aims to
maximise public sector participation in reviews to build the skills and experience of Project
Managers and Project Teams within the public sector. However, the need for specific expert skills
in some Gateway reviews is likely to require private sector participation.
It is important to note that Gateway reviewers sourced from the public sector are selected for their
expertise, and not to represent their agency, on a particular Gateway review. Similarly, Gateway
reviewers sourced from the private sector are selected for their expertise, not to represent their firm,
and should not use the Gateway review process to actively solicit business for themselves or their
firm.
Roles and Responsibilities of the Review Team Leader
The Review Team Leader’s role is essential to the success of a Gateway review—they are
primarily responsible for facilitating communication and relationships with the Senior Responsible
Official, the Project Team and other participants. Another important part of the Review Team
Leader’s role is to ensure all Gateway review participants understand their responsibilities and the
21
purpose of the Gateway review.
The Review Team Leader has five key responsibilities:
1. Ensure that communication occurs between the Gateway Unit and Project Manager regarding
any concerns that the Gateway Review Team has about access to and/or the quality of
information provided in the course of the review – either in the documentation or from
interviews.
2. Prepare a plan for the conduct of the Gateway review, including acting as chairperson during
the Planning Meeting and interviews. As chairperson, the Review Team Leader should:
 communicate the intention of the Gateway review to all participants interviewed;
 ensure that the Review Team Members and interviewees are aware of the purpose and
structure of the interviews prior to interview commencement;
 lead interviews and encourage discussion; and
 close interviews and assess the need for further actions such as a follow•up interview or
access to documentation identified during the interview.
3. Act as the key point of contact for the Senior Responsible Official and the Gateway Unit,
including provide a daily briefing to the Senior Responsible Official on the status of the
Gateway review and any emerging issues.
4. Ensure that the Gateway Review Report is prepared in a timely manner, and is provided to the
Senior Responsible Official on the final day of the Onsite Review Activity. The Gateway
Review Report should provide validation for the Senior Responsible Official that the project is
ready to proceed to the next stage, and should make recommendations for action.
5. Ensure that the recommendations from the Gateway Review Reports are provided to the
Gateway Unit at the conclusion of each Gateway review.
During interviews, the Review Team Leader may need to focus the Gateway Review Team’s
attention on issues that are important to the project’s success to prevent it becoming unnecessarily
focussed on technical aspects of the project.
The Review Team Leader also provides leadership to the Review Team Members, including
coaching, support and feedback to develop their skills. At the completion of the review, the Review
Team Leader must complete an evaluation on each Review Team Member. This is provided to the
Gateway Unit to assist in assembling future Gateway Review Teams.
Roles and Responsibilities of Review Team Members
Review Team Members are selected for the relevance of their skills and experience. The primary
role of Review Team Members is to assist the Review Team Leader in gathering and analysing the
information made available during a Gateway review. Review Team Members’ responsibilities
include:
 identifying relevant documentation for review and participants for interview;
 considering project material relevant to the Gateway Review, and forming an opinion on the
adequacy of the material, based on their experience and expertise;
 participating in the discussion and assessment of the project under review in a professional and
objective manner;
 contributing to the development of a high-quality and constructive Gateway Review Report;
 working cooperatively with all participants in the Review, including the Review team, the
Sponsoring Agency and the Gateway Unit;
22
 contributing, as required, to briefing the Senior Responsible Official on the Reviews
conclusions and recommendations on the last day of the review; and
 providing feedback to the Gateway Unit on the Review Team Leader.
Part 3: Managing a Successful Gateway
Review
Key Elements for a Successful Gateway Review
Planning and Co-ordination
Successful Gateway reviews are underpinned by thorough planning and careful co•ordination.
Throughout the review process, discussions are held with key participants from the Sponsoring
Agency, the Gateway Unit and the Gateway Review Team. These discussions will clarify the
intent, requirements and timelines of a review, and provide information to assist with project
planning and co-ordination. The discussions help achieve a successful review outcome within the
agreed timeframe.
Access to Resources
Prior to the Gateway Review Team commencing its Onsite Review Activity, the Project Manager
should organise accommodation, facilities and access to relevant information and documentation.
At a minimum, the Gateway Review Team will need:
 a meeting room
 a cabinet of appropriate security rating, to allow project and review documentation to be
secured when unattended
 project documentation containing critical information relevant to the origin, objectives, and
progress of the project
 at least one computer (preferably a laptop), with
 network access to relevant project documentation (if appropriate)
 email facilities
 secure login
 light projector
 access to a printer (to print notes for daily briefings and to print the final report).
At each Gate, the Gateway Review Team will require access to a variety of critical project
documentation. Lists of the documents typically requested at each Gate are provided in the
Handbook for Conducting Gateway Reviews (Financial Management Reference Series No.7). It is
preferable that documentation requested at the Assessment and Planning Meetings be provided to
the Gateway Review Team at the Planning Meeting or by the time the Onsite Review Activity
commences. Some documentation, for example highly classified material, will be made available
only at the Sponsoring Agency’s premises or via secure login.
Open and Clear Dialogue
At each Gate, access to key project participants and other stakeholders will need to be organised.
23
As noted in Part 2 of this publication, participants in a Gateway review should engage fully in the
process, demonstrating a willingness to share information openly and honestly.
Participants from the Sponsoring Agency should answer the questions of the Gateway Review
Team accurately and completely. The Project Manager and Project Team members should
communicate to the Gateway Review Team their role, responsibilities and reasons for their actions
and decisions, as requested. If requested to provide documentation, they should do so in a timely
manner, and be available to answer follow-up questions.
It is likely that each Project Team will use different terminology when naming their project
documentation and describing actions planned or undertaken. The Gateway Review Teams and
Project Teams should clarify at all times the meaning of the terminology used, to ensure an
accurate and useful Gateway review outcome.
Confidentiality and Accountability
Fostering confidentiality in the Gateway review discussions and all Gateway Review Reports
encourages candour of participants and helps ensure access to information. This helps achieve the
best outcome for the project. As part of that confidentiality, it is critical that all project
documentation is returned to the Sponsoring Agency at the conclusion of the review. The Gateway
Review Team’s notes, draft reports and copies of the final Gateway Review Report are destroyed
on the last day of the review.
The only permanent record of the review should be the final Gateway Review Report, that was
signed off by the Gateway Review Team and provided to the Senior Responsible Official on the
last day of the review. This report will be held by the Sponsoring Agency.
It is, nevertheless, important that lines of management responsibility within FMA agencies not be
undermined. To ensure an appropriate level of awareness of Gateway activity, Senior Responsible
Officials are encouraged to ensure their Chief Executive Officer (CEO) is informed of progress of
the project, including the outcomes and recommendations arising from any Gateway reviews.
Where a project receives a ‘red light’ (‘lights’ are discussed later in the section on the Gateway
Review Report) it is better practice for the CEO and, where appropriate, the responsible Minister,
to be informed.
The use of Gateway does not change the accountability of FMA agencies for their projects in any
way. FMA agencies must take responsibility for determining and implementing any actions
required to address recommendations that are critical to the success of the project.
Mission Critical Projects
While all projects should have a governance structure that suits the particular requirements of the
project, there is a small subset of high-risk projects, which are classed as ‘Mission Critical’, that
call for more stringent governance arrangements. Mission Critical projects, as defined by the
Government, are distinguished by the following characteristics:
 it is essential to the successful delivery of a major legislative requirement or a major policy
initiative committed to by the Government; or
 failure of the project would have catastrophic implications for delivery of a key public service,
national security or the internal operation of an agency.
24
The Government has determined that the necessary governance arrangements for Mission Critical
projects are achieved through addressing the following requirements:
 A project steering committee must be established, comprising the Sponsoring Agency, the
Department of Finance and Administration and significant stakeholders, as appropriate, to
monitor the project’s progress and provide guidance and support. In many cases a committee
comprising the same membership and purpose may be planned or already exist. Where this is
the case, there is no need to establish a separate Gateway-specific committee provided that this
committee has the additional attributes below.
 A Senior Responsible Official must be appointed, who is responsible for co-ordinating the
Gateway reviews in consultation with the project’s steering committee. The Gateway Unit
should be informed of the identity of the Senior Responsible Official. Where the project is an
inter-agency project, a lead agency should be designated. In this case the Senior Responsible
Official would be from the lead agency.
 The Senior Responsible Official provides the project steering committee with a summary of
recommendations arising from Gateway reviews. The steering committee would then be
responsible for ensuring noteworthy findings of Gateway reviews are properly reported within
the lead agency.
Support Provided by the Gateway Unit
To assist participants in the efficient and effective conduct of Gateway reviews, the Gateway Unit
has developed this Guidance and other relevant documentation.
In addition to this Guidance, A Handbook for Conducting Gateway Reviews (Financial
Management Reference series no. 7) has been developed to assist Gateway participants and
provide:
 an introduction to the Gateway process and its requirements;
 the purpose of the review for each specific Gate;
 a list of the likely project documents to be reviewed at each Gate; and
 areas to probe and the evidence required at each Gate, including sample questions.
As each project is different, the Handbook is not an exhaustive reference. It fosters a consistent
approach across reviews of different projects and should be used to complement the expertise of
the Gateway Review Team.
In addition, the Gateway Unit will provide templates to Gateway Review Teams to assist them
prepare Gateway Review Reports.
The Gateway Guidance and Handbook are available from the Gateway website, at
<http://www.finance.gov.au/gateway>. Other reference materials that may be of assistance to
Gateway participants when undertaking projects and preparing for reviews are listed in Appendix
D.
25
Key Steps in a Gateway Review
At each Gate, a Gateway review consists of the following four distinct steps requiring the
Sponsoring Agency’s participation.
The Assessment Meeting
An Assessment Meeting is held between the Gateway Unit and the Senior Responsible Official
once a project has been identified for a Gateway review. The purpose of the meeting is to:
 clarify the characteristics of the project;
 discuss the timing and logistics of the review process;
 discuss the skills requirements needed for the Gateway Review Team, as well as potential
reviewers;
 request initial critical project documentation, consistent with the listing provided for that Gate
in the Handbook; and
 identify key project participants who could be required to be interviewed as part of the
Gateway review.
Following the Assessment Meeting, the Gateway Unit will:
 finalise the membership of the Gateway Review Team (for high-risk projects) and the Review
Team Leader (for high and medium risk projects);
 brief the Gateway Review Team on the project and their role in the Gateway review; and
 give the contact details of the Review Team Leader to the Sponsoring Agency’s Senior
Responsible Official and Project Manager.
At this point, primary responsibility for co-ordinating the Gateway review passes to the Review
Team Leader and Senior Responsible Official, with the Gateway Unit providing ongoing support.
The Project Manager should compile the documents requested at the Assessment Meeting and
make them available to the Gateway Review Team at the Planning Meeting, or by the time the
Onsite Review Activity commences. As noted in Part 2, certain classified material may be made
available only on the Sponsoring Agency’s premises.
The Planning Meeting
A Planning Meeting is held approximately two to three weeks after the Assessment Meeting. The
Planning Meeting allows the Senior Responsible Official to brief the Gateway Review Team about
the project, including the:
 policy, service, legal, governance and/or contractual context of the project;
 service or demand requirements that led to the project being initiated;
 relationship of the project with Government policy, legislation and the FMA agency’s (or
agencies’) outputs and outcomes;
 options considered in developing the project brief or definition and how the project was
selected as the recommended course of action;
 service results and outcomes the project will be expected to deliver and how these might be
measured;
 project’s status, progress to date and planned work;
 project plan, including an outline of the resource, funding and planning arrangements;
26
 effect(s) of the project on the agency, its staff, key stakeholders and customers, and how these
will be managed (including the communications and change management strategies); and
 risks associated with the project and how these will be managed.
The Planning Meeting also provides the Gateway Review Team, Senior Responsible Official and
Project Manager with an opportunity to discuss the review agenda and resource requirements, and
agree on protocols for the review. The Gateway Review Team will make requests for project
documentation and interviews with key participants. The Project Manager is responsible for
organising the interviews prior to the commencement of the review.
The Onsite Review Activity
This is conducted over four to five working days, at the Sponsoring Agency’s premises. The Onsite
Review Activity will include an examination of the requested documentation and interviews with
key project participants. It is important for the Gateway Review Team to remember that the
purpose of a Gateway Review is to provide the Senior Responsible Official with an assessment of
the project’s progress against its stated objectives and its readiness to progress to the next phase.
The Gateway Review Report is not being produced for the Gateway Unit; it is being produced for
the Sponsoring Agency.
Where possible, the Review Team Members should have reviewed the project documentation
provided by the Sponsoring Agency prior to the first day of the Onsite Review Activity.
A planning session is held on the first morning to enable the Gateway Review Team to clarify
arrangements for the week and confirm interviews with the Project Manager. The remainder of the
first day will then generally be devoted to the review of project documentation, although some
interviews may also be possible.
Interviews should commence by the second day and generally take up to one hour, unless
otherwise requested by the Gateway Review Team. Interviews are best conducted in person, but
teleconferences may be necessary.
Time should also be allocated each day for the Gateway Review Team to discuss key issues and to
compile notes on their findings, which will form the basis of the Gateway Review Report
(discussed in detail in the next section).
At the end of each day, the Review Team Leader will brief the Senior Responsible Official on the
day’s findings. This provides the Senior Responsible Official with an opportunity to address any
misunderstandings, progress outstanding issues or provide additional information in a timely
manner so as not to unnecessarily delay the completion of the Onsite Review Activity. It also
means that the Gateway Review Report should contain no surprises for the Senior Responsible
Official.
On the morning of the last day the Gateway Review Team should discuss the Gateway review
findings and finalise the Gateway Review Report. The afternoon will be used to brief the Senior
Responsible Official on the outcomes of the Gateway review and to hand over the final signed
version of the Gateway Review Report. Also, the Review Team Leader is responsible for ensuring
that the recommendations from the Gateway Review Report are provided to the Gateway Unit at
the conclusion of the Onsite Review Activity.
A typical timeline for an Onsite Review Activity is shown in Figure 3. This may change depending
on the characteristics of the project and the access to key project participants, but the Onsite
Review Activity for a Gateway review should not exceed five working days.
27
28
Figure 3: Typical Timeline for the Onsite Review Activity
The Gateway Review Report
The Gateway Review Report should include:
 logistics of the Gateway review (Senior Responsible Official’s details, dates of the review
activities, and the Gateway Review Team membership);
 the purpose and scope of the current Gateway review;
 background to the project, including its origin, the outcomes it seeks to achieve, and how those
outcomes link to the agency’s business strategy and/or high level policy objectives;
 findings and recommendations; and
 an overall conclusion on the project’s status and its readiness to progress to
the next phase.
The Gateway Review Report will provide an overall status for the project at the Gate being
assessed, as well as an indication how critical its recommendations are. A ‘traffic light’ system is
used to indicate the project’s overall status as follows:
Red
It is critical to the overall success of the project that the issues raised in this review are addressed
before the project proceeds.
Amber
The issues raised in this review should be addressed before the next
Gateway review.
Green
The project is on target to succeed, but may benefit from implementing the recommendations in
respect to the issues raised in this review.
It is important to note that a red light does not mean that the project must stop. It indicates that
further work is needed before progressing the project. The Sponsoring Agency is responsible for
29
determining what action it will take in response to a Gateway Review Report.
The Gateway Review Report will also indicate if recommendations in earlier reviews have been
addressed. The appendices to the Gateway Review Report provide information on interviewees
and the project documentation reviewed.
The Gateway Review Team should draft the Gateway Review Report, which is generally eight to
ten pages in length, using the templates provided by the Gateway Unit.
At the conclusion of the review, the Gateway Review Report is provided to the Senior Responsible
Official. As the Gateway Review Report will need to be finalised by the last day of the Onsite
Review Activity, drafting should commence as soon as practicable, with the draft report updated
each day. Typically, the Gateway Review Team will spend the last day of the Onsite Review
Activity finalising the report for presentation to the Senior Responsible Official. The final Gateway
Review Report should be signed by all members of the Gateway Review Team.
30
Appendix A:
Gateway Assessment ToolThe Gateway Assessment Tool (GAT) is the tool used to assess the risk
of projects in the context of a Gateway review. The GAT is not an exhaustive risk analysis model
and does not replace the need for FMA agencies to perform their own detailed risk analysis
throughout a project’s lifecycle. The GAT is available from the Gateway website at
<http://www.finance.gov.au/gateway>.
The GAT provides a standard set of high level criteria against which Senior Responsible Officials
and Project Managers can assess the characteristics and degree of complexity of a proposed
project. The GAT takes into account such factors as the affect(s) on stakeholders, complexity of
scope, the nature of any procurement processes (if any), the degree of change required in the
delivering FMA agencies, and identified capability to deliver the project.
FMA agencies complete the GAT for projects in accordance with the Gateway financial thresholds
and phasing in of Gateway, as discussed in Part 1 of this publication.
The completed GAT is to be sent to the Gateway Unit via CABNET. The Gateway Unit will
review completed GATs for whole of government consistency and may also seek clarification
from the Senior Responsible Official or Project Manager in relation to answers or comments,
where needed. On the basis of the answers provided, the GAT generates an indicative low, medium
or high risk assessment. The ‘indicative’ risk rating
is then confirmed by the Gateway Unit after submission.
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Appendix B:
Summary of Gateway Reviews
Critical Stage or Gate
Purpose and elements of review
Gate 0—Business Need
Provides assurance to the Sponsoring Agency responsible for
the programme or project, via the Senior Responsible Official,
that the scope and purpose has been adequately assessed,
communicated to stakeholders and fits within the agency’s
overall business strategy and/or whole-of-government
strategies and policies. It also aims to test whether stakeholders’
expectations of the programme or project are realistic, by
referencing them to outcomes, resource requirements,
timetable and achievability.
 Ensure that the programme or project contributes to the
agency’s business strategy and to high-level Government
policy objectives and outcomes.
 Review the business need. Confirm whether the business
need requires a project or a programme of projects.
 Confirm that the programme or project’s potential to
succeed has been considered in the wider context of the
Sponsoring Agency’s delivery plans and change
programmes.
 Check that there has been an assessment of the market to
determine the feasibility of the required outcome.
 Ensure the programme or project is clearly understood and
supported by users and stakeholders.
 Review the arrangements for leading, managing and
monitoring the project or programme (and its individual
projects).
 Review the arrangements for identifying and managing the
main programme or project risks (and in the case of a
programme, the individual project risks), including external
risks such as changing business priorities.
 Check that financing has been adequately assessed
for the programme or project and that each project has
realistic, properly resourced and authorised work
plans through to the next stage of the project.
32
33
Critical Stage or Gate
Purpose and elements of review
Gate 1—Business Case
Focuses on the robustness of a project’s business case to
provide assurance to the Sponsoring Agency, through the
nominated Senior Responsible Official, that the proposed
approach to meeting the business requirement has been
adequately researched and can be delivered within the
timeframe and with the resources provided.
 Confirm that the business case is robust (that is, it meets
the business need, is affordable and achievable, with
appropriate options explored and likely to achieve value for
money).
 Confirm that potential options have been identified and
analysed and appropriate expert advice has been obtained
as necessary.
 Establish that the feasibility study or assessment has been
completed satisfactorily and a preferred way forward has
been determined.
 Confirm that the market’s likely interest has been
assessed.
 Ensure that there is internal and external authority, if
required, and support exists for the project.
 Ensure major risks have been identified and a risk
management plan has 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 impact of business process changes on
internal and external stakeholders have been assessed.
 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 assessed.
 Ensure plans exist 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 assessed.
 Establish that quality assurance strategies/plans for the
project and its products are in place.
34
Critical Stage or Gate
Purpose and elements of review
Gate 2—Procurement
Strategy
Focuses on evaluating the procurement strategy to provide
assurance that it establishes a clear definition of the project and
a plan for its implementation, has made an assessment of the
project’s potential for success and if the project is ready to
invite proposals or tenders.
 Confirm the business case, now that the project is fully
defined.
 Ensure that the procurement strategy is robust and
appropriate and provides an exit strategy, if necessary.
 Ensure that the project’s plan is appropriately detailed and
realistic, through to completion, and includes a change
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 (or existing supplier’s capability and performance)
are fully understood.
 Confirm that the procurement (or acquisition approach)
will facilitate good client/supplier relationships.
 Confirm that there is an appropriate procurement plan in
place, that facilitates a value for money outcome.
 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 projects, confirm compliance with IT
infrastructure and security requirements.
 For construction projects, confirm compliance with
building codes, occupational health and safety and
sustainability requirements.
35
Critical Stage or Gate
Purpose and elements of review
Gate 3—Investment Decision
Focuses on providing assurance to the Sponsoring Agency on
the supplier selection, that the business needs are likely to be
met through the project and contract management controls, and
that the processes are in place for contract delivery.
 Confirm the business case and benefits realisation plan,
now that the firm proposals have been received.
 Check that all the necessary policy, statutory and
procedural requirements were followed throughout the
procurement process.
 Confirm that the recommended contract decision is likely
to deliver the specified outputs/outcomes on time, within
budget and will provide value for money.
 Confirm the existence of an exit strategy and arrangements
for retendering.
 Ensure that management controls are in place to manage
the project through to completion.
 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 agency and the supplier/partner are sound and
achievable.
 Check that the business has prepared for developing new
business processes, where needed, and for implementing
and operating new services or facilities, as well as the
transition process.
 Confirm that there are plans for risk management, issue
management, quality management and change
management (technical and business) and that these plans
are shared with suppliers.
 Confirm that the technical implications have been
addressed.
 Confirm that the proposed procurement is within approved
financial limits.
36
Critical Stage or Gate
Purpose and elements of review
Gate 4—Readiness
for Service
Focuses on providing assurance to the Sponsoring Agency on
whether the solution is robust before delivery, assessing
organisational readiness before and after delivery, and
considers the basis for evaluating ongoing performance.
 Check that the contractual arrangements are current,
and that the current phase of the contract is properly
completed and documented.
 Confirm that there are plans for managing the working
relationship with the supplier, with agreement at
appropriate levels.
 Confirm that all parties have agreed plans for managing
risks.
 Check that risks and issues are being managed
effectively and do not threaten implementation. Evaluate
the risk of proceeding with the implementation if there are
any unresolved issues.
 Confirm that commissioning plans have been developed
and that they identify and address key areas such as
business integration, change management and business
continuity management. FMA agencies should refer to
internal policies and industry best practice in preparing
these plans.
 Check that the commissioning plans have been assessed
for risks, affordability and robustness.
 Confirm that the business process changes are being
implemented.
 Confirm that agency and supplier implementation plans
are still achievable.
 Confirm the business has the necessary resources and is
ready to implement the services and the business process
change(s).
 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.
37
Critical Stage or Gate
Purpose and elements of review
Gate 4—Readiness
for Service

Confirm that all necessary testing (e.g. commissioning
of buildings, business integration and user acceptance
testing) is done to the end-user’s satisfaction and that
the projects’ Senior Responsible Official is ready to
approve implementation.

Check that there are feasible and tested contingency
and exit arrangements.

Confirm that defects or incomplete works are
identified and recorded.

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.

Check that lessons for future projects are identified,
recorded and are proposed to be disseminated.

Ensure processes and procedures are in place to ensure
the long-term success of the project.
38
Critical Stage or Gate
Purpose and elements of review
Gate 5—Benefits Realisation
Focuses on assessing whether the project delivers the identified
benefits and value for money identified in the Business Case

Assess whether the business case for the project at Gate 3
and Gate 4 was realistic.

Assess whether the anticipated benefits are being
delivered.

Confirm that the responsible agency or supplier continue
to have the necessary resources to successfully manage
the contract.

Confirm continuity of key personnel involved in
contract management roles.

Assess the ongoing requirement for the contract to meet
the business need. Ensure that if circumstances have
changed, the service delivery and contract are adapting to
the new situation. Changing circumstances could affect
partner, relationship, service, change, contract, benefits
and performance management.

Where changes have been agreed, ensure they do not
compromise the original contract.

Ensure there is ongoing contract development to
improve value for money.

Assess the application of the contract management
procedures to date to manage the contract.

Confirm that there are plans to manage the contract to its
conclusion.

Assess lessons learnt and methodology for sharing
these with peers within the agency and across
government.

Confirm the validity of the exit strategy and
arrangements for retendering, where applicable.
Appendix C: Skills Profile of a
39
Gateway Reviewer
As noted in this Guidance, Review Team Leaders and Review Team Members will be matched to
projects and reviews based on their skills and experience, and the requirements of the Gateway
review. A reviewer accreditation process is operated by the Gateway Unit, which aims to develop a
flexible team allowing progression and development of Review Team Leaders and Review Team
Members.
The Gateway reviewers must demonstrate a level of skills maturity in one or more of the following
areas:
Project Management
 Professional Project Management practitioner, for example be Prince2™ or Project
Management Body of Knowledge (PMBOK)™ accredited.
 Lead role in successful and significant projects/programmes or procurements.
Business Analysis
 In depth financial assessment/evaluation experience.
 Lead role in the preparation of strategic assessments, business cases and business requirements
for significant projects/programmes.
They could also be the following:
Procurement professionals who:
 are accredited/professional procurement practitioners, including Public Private Partnerships
experience, where possible;
 have a lead role in managing significant contractual relationships; and
 are responsible for the research and development of best practice in procurement.
Specialists who:
 are members of the legal profession with contracting experience;
 have experience managing significant business change projects/programmes – within and/or
across FMA agencies;
 have experience managing large or complex information technology projects
– within and/or across FMA agencies;
 have experience managing large or complex electronic documents and records management
systems;
 have significant facilities management experience;
 have experience in construction and property management, including property portfolio
management; and
 have operations support experience.
In addition, potential reviewers should be able to demonstrate excellent leadership, communication
and negotiation skills. They should also have the ability to quickly develop new working
relationships, and be capable of delivering concise and constructive outputs within tight
timeframes.
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Appendix D: Other Reference Material
The references contained in this appendix are provided for the information of Gateway
participants. This listing is a guide, and is not an exhaustive collection of the available reference
material.
Project management methodologies
There is a wide range of project management methodologies available that may
suit a project or an agency’s operating environment. FMA agencies may also have developed their
own methodology to suit their specific needs. Two commonly used methodologies are:
 Office of Government Commerce 2005, PRINCE2, OGC United Kingdom, available at
<http://www.ogc.gov.uk/prince2/>
 Project Management Institute 2000, Project Management Body of Knowledge PMBOK)
Guide, PMI, available at <http://www.pmi.org/info/pp_pmbok2000welcome.asp>.
Other relevant reference materials, all available at<http://www.finance.gov.au>
The Financial Management Guidance series
FMG 1 Commonwealth Procurement Guidelines, January 2005
FMG 4 Commonwealth Cost Recovery Guidelines for Information and Regulatory Agencies,
March 2003
FMG 6 Guidelines for Issuing and Managing Indemnities, Guarantees, Warranties and Letters of
Comfort, September 2003
FMG 10 Guidance on complying with Legislation and Government Policy in Procurement,
January 2005
FMG 13 Guidance on the Mandatory Procurement Procedures, January 2005
FMG 16 Public Private Partnerships – Guideline: Commonwealth Policy Principles for the Use
of Private Financing – Introductory Guide, May 2005
FMG 17 Public Private Partnerships – Guideline: Commonwealth Policy Principles for the Use
of Private Financing – Business Case Development, May 2005
FMG 18 Public Private Partnerships – Guideline: Commonwealth Policy Principles for the Use
of Private Financing – Risk Management, May 2005
FMG 19 Public Private Partnerships – Guideline: Commonwealth Policy Principles for the Use
of Private Financing – Contract Management, May 2005
Financial Management Reference series
FMR 3 Financial Management and Accountability Legislation, October 2005
FMR 4 Commonwealth Authorities and Companies Legislation, October 2005
FMR 5 Introduction to Cost Benefit Analysis Guidelines, January 2006
FMR 6 Introduction to Cost-Benefit Analysis and Alternative Evaluation Methodologies, January
2006
Department of Finance and Administration 2003, Estimates Memorandum 2003/05 Capital
Budget – Business Case Requirements, Budget Group – Department of Finance and
Administration, Canberra.
Risk Management guidance
Management Advisory Board, MAB/MIAC 1996, Report No. 22 Guidelines for Managing Risk in
the Australian Public Service, APSC, Canberra, available at
<http://www.apsc.gov.au/publications/index.html>.
Australian/New Zealand Standard 2004, AS/NZS 4360:2004 Risk Management, SAI Global,
available at <http://www.standards.com.au>.
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Australian Government Solicitor 2003, Managing Procurement Risk and Liability, Legal Briefing
No. 66, AGS, Canberra, available at <http://www.ags.gov.au/publications/agspubs/index.htm>.
Australian Public Service Commission 1999, Australian Public Service Code of Conduct, APSC,
Canberra, available at <http://www.apsc.gov.au/conduct/index.html>.
Building codes
Department of Employment and Workplace Relations 2005, Australian Government
Implementation Guidelines for the National Code of Practice for the Construction Industry,
DEWR, Canberra, available at <http://www.workplace.gov.au/>
International guidance
Office of Government Commerce, IT Infrastructure Library (ITIL), OGC, United Kingdom,
available at <http://www.ogc.gov.uk>.
Office of Government Commerce 2005, OGC Successful Delivery Toolkit Business Case
Template, OGC, United Kingdom, available at <http://www.ogc.gov.uk/sdtoolkit>.
Office of Government Commerce 2005, OGC Successful Delivery Toolkit: Contract Management,
OGC, United Kingdom, available at <http://www.ogc.gov.uk/sdtoolkit>.
Office of Government Commerce 2006, OGC Successful Delivery Toolkit: Closing a Programme,
OGC, United Kingdom, available at <http://www.ogc.gov.uk/sdtoolkit>.
Office of Government Commerce 2005, OGC Successful Delivery Toolkit: Post Implementation
Review, United Kingdom available at <http://www.ogc.gov.uk/sdtoolkit>.
Office of Government Commerce 2004, Appendix G – The Contents of a Business Case,
in ICT Infrastructure Management, OGC, United Kingdom, available at
<http://www.ogc.gov.uk>.
ISO Standards, available from <http://www.iso.org>
International Organisation for Standardisation 2005,
Quality management systems - Guidelines for Quality Plans 10005, ISO.
International Organisation for Standardisation 2000,
Quality Management Standard 9000, ISO.
International Organisation for Standardisation,
Guidelines for IT Project Management 12027, ISO.
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