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Decision Gates
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OBJECTIVE: Decision Gates define major control points that are used to move from one phase of the project to the next. A control gate is used to determine if the products for the current phase of work are completed based on the criteria set out at the beginning of the project and that the project is ready to move forward to the next phase. Controls are used to get formal sign off of that phase of work by the system’s owner and management. |
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DESCRIPTION: Decision gates are used as a formal way to conclude and accept the products for a particular phase of the project. Intelligent Transportation Systems development, as laid out in this guidebook, has 6 major phases to the system life cycle. Each phase has a major control gate and there are several additional control gates that occur within phases 1, 2, and 3 of the system life cycle. These additional control gates are needed during the definition, development, integration, verification, and deployment of the system. The additional decision gates are used to evaluate the body of development work accomplished for the current phase of the development and determines if the project is ready [staff, funding, documentation, and products] to start the next phase of development. It is important that the following activities be performed in advance of a decision gate: § plan how a decision gate is to be conducted § identify the participants including their roles and responsibilities § define the entrance criteria [what needs to happen before a control gate review takes place] § define the exit criteria [what conditions must be met before the next phase or step begins] Decision gates are points at which the system’s owner has formally approved the completion of work for the current phase, and has approved the team to move forward to the next phase. This approval is in the form of a written sign-off of the phase of work, and a notice to proceed to the next phase. |
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CONTEXT OF PROCESS:
DECISION GATE PROCESS |
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Inputs: Planned Phase/Step Products and Schedule that were to be produced during this phase/step. Current Phase/Step Products that are produced or developed during the current phase/step. Next Phase/Step Products and Schedule defines the plan and list of planned products that are to be developed for the next phase/step of work. [If this is a termination point for the effort of a team then this may be an internal plan for the next contract or an effort for a different organization] |
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Control: SEMP/Project Plan defines the control gate process and criteria for approvals. |
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Enablers: Technical reviews identify the process for conducting the technical review. Stakeholder involvement is essential to come to an agreement on the completion of work for this phase and on the plans to move the project forward to the next phase/step. |
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Outputs: Decision Gate Plan is placed in the SEMP and will determine the process and criteria for performing a control gate. Completion of all phase/step activities and products all phase/step activities and products should have been completed for this phase/step of work. Approved waivers and deviations include any anomaly that have occurred, but does not prevent the team from moving to the next phase of work. Needs to be documented and approved by the system’s owner before proceeding to the next phase. Decision to move forward or to revisit a current phase/step activity is made at this time. It may be that the phase work is not ready to move forward to the next phase and need to be reworked. These decisions are made and the plans are updated to reflect these decisions. Also, the team needs to show that they have the needed resources to move forward. |
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Process Activities: Plan control gates reviews Plan the conduct of a decision gates and who should attend, roles and responsibilities, what is the entrance & exit criteria. Define entrance criteria Before performing a control gate activity, the phase/step products and schedule should be reviewed and the presentations developed in accordance with the plan. The purpose is to demonstrate that the phase of work has been completed. This may include, for example, the approved requirements document and verification plans, acceptance test results, and the completion of all action items. If there is unfinished work and its completion needs to be moved to the next phase/step, this needs to be identified with supporting rationale. Deviations or waivers should be issued on defective or incomplete work. Deviations allow the work to be used as-is permanently; and waivers allow the work to be used on a temporary basis until the defective/incomplete work is corrected. Define exit criteria If this is a continuation of effort, then a plan for the next phase/step of work is presented to ensure that the schedule, list of deliverables, and resources are updated and in place in order to move forward to the next phase/step. If there is any dependency on work done in the current phase, this work is reviewed to ensure it will support the next phase/step. If, at this decision gate, the current effort is at an end or there is a change in the scope of work for the next phase, this will provide a clear point of departure. For example, if the regional architecture work is completed and now projects are being implemented [control gate at phase 1], there may be a different system’s owner as well as a different development team. After the control gate at phase 3 there may be a different development team brought in for hardware/software development. Perform formal review Performing the control gate review should be done in accordance with the process developed for performing a technical review [see Technical Reviews]. |
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Where do Decision Gates take place in the project timeline? |
Is there a policy or standard that talks about Decision Gates?
FHWA Final Rule does not specifically mention general control gate practices. IEEE 1028-1988 Standards for Reviews and Audits provides information that is useful to control gates.
Which activities are critical for the system’s owner to do?
§ Lead the planning of the control gate activities including the entrance and exit criteria
§ Lead the control gate reviews and gain stakeholder support for decisions made
§ Identify and gain stakeholder support and participation in the control gate activities
§ Lead the follow-up on any action items as a result of the control gate, including updating any plans, schedules, deliverables, waivers and deviations to the work
How do I fit these activities to my project? [Tailoring]
Project size and number of stakeholders are the driving factors for this activity. On small projects where the system’s owner may be performing the control gate activities alone, the control gate can be very informal and meeting minutes may be the only documentation needed to move the project forward. In multi-regional systems where there are a large number of stakeholders, the control gate activities will not be as simple, especially when a consensus is sought for all decisions. A more formal and planned control gate will be needed where all of the stakeholders are involved in the planning activities and setting the criteria.
What should I track in this process step to reduce project risks and get what is expected? [Metrics]
On the technical side:
§ Track the technical objectives for the phase/step and compare them with the planned technical objectives. Do the technical objectives meet the planned objectives? Were the correct technical objectives achieved?
§ Incomplete technical objectives or different technical objectives leads to increased technical risk and increased cost
§ At the decision gate, is all documentation complete and/or does the documentation match the products required for the phase/step? Deficiencies in documentation will lead to reengineering portions of the product later on
On the project management side:
§ Track all products of the phase of work against the plan
§ Track deficiencies and their impact on the next phase of work. The next phase can be started even with deficiencies in the current phase of work. If there are deficiencies, the appropriate deviations or waivers must be issued
Checklist: Are all the bases covered?
R Is the plan for the control gate review included in the SEMP?
R Does it include entrance criterion?
R Does it include an exit criterion?
R Does it identify who should attend?
R Does it identify how the control gate will be conducted? [formally or informally]
R Have the entrance criteria been met prior to the control gate review?
R Have all phase/step products been reviewed and approved?
R Have the exit criteria been met for the next phase/step.
R Have all waivers and deviations been issued if any?
R Have the appropriate stakeholders been invited to the Control Gate review?
R Has the Control Gate review been conducted IAW the technical review process?
Are there any other recommendations that can help?
Have the appropriate stakeholders been
involved in the decision gate review.
Frequent changes in stakeholders can be an obstacle to moving a project forward. If new stakeholders become involved mid-stream and they have not been completely updated on the project, they can cause “old” ground to be covered again. When it comes to a control gate it is not the time to train new stakeholders on a project.
A closer look a the life cycle decision gates for ITS systems
Project Approval Decision Gate: [Phase 1]
Out of the regional architecture a number of projects were proposed and a feasibility analysis was performed to provide a business case. This control gate approves projects to move forward to development and implementation.
Planning Decision gate: [Phase 1]
Planning decision gate reviews the Systems Engineering Management Plan [SEMP] to see if all the plans are complete enough to start the project.
Concept of Operations Decision Gate [Phase 2]
Upon completion of the Concept of Operations, the control gate is used to see if the SEMP and Concept of Operations are complete and the stakeholders are in agreement on how the system is to work. This control gate initiates the system definition phase of work.
Requirements Decision Gate [Phase 2]
This gate approves the system level requirements and the verification plans that will be used by the development team to implement the system.
High level Design Decision Gate [Phase 3]
Here the high level design for the system is approved and is ready for the development team to start the component level detailed design. Sometimes this is called a Preliminary Design Review [PDR].
Component Level Detailed Design Decision Gate [Phase 3]
This is the completion of the detailed design and the project is now ready for hardware/software development and purchase of COTS products. This is sometimes called the Critical Design Review [CDR]
Test Readiness Review Decision Gates [phase 3]
This is a series of control gates that review the readiness of products from the development team to be verified, starting at the lowest level products and working up to sub-systems, and finally to system acceptance.
Operational Decision Gate [Phase 4]
This control gate approves the system to be commissioned into operation and maintenance.
System Retirement/Replacement Decision Gate [Phase 5]
This control gate approves the system to be retired or replaced in part or in whole.
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