**This information reflects the previous IT Investment Oversight policy dated July 2018. Additional information will be added to reflect the updated policy soon. For links to the webinar reviewing the changes, visit the
EIS Templates and Forms page.
What is Stage Gate?
The Stage Gate process provides an opportunity for incremental review and approval of significant IT projects. EIS endorsement is required at the end of each project life cycle stage.
Foundational Standard
The Project Management Body of Knowledge (PMBOK) defines a Stage (or Phase) Gate as a “review at the end of a phase in which a decision is made to continue to the next phase, to continue with modification, or to end a project or program.” (PMBOK Guide, 6th edition, p.18) For the purpose of Stage Gate, EIS defines project life cycle as including stages for Origination and Initiation; Resource and Solution Analysis & Planning; Implementation Planning; and, Execution.
EIS has adopted the PMBOK as a foundational resources to guide development of methodologies, policies, and procedures. Consequently, the standard practices described in the PMBOK are reflected in the requirements and processes used throughout oversight review.
Stage Gate Process
There are four (4) Stage Endorsements in the EIS Stage Gate Review Process. Each project is unique and EIS has latitude in interpreting the Stage Gate process as it applies to each IT investment. The artifacts that
typically support each Stage are included in the
Stage Gate Document List. All project artifacts will be uploaded into the system of record (Project and Portfolio Management tool) for review.
Per policy 107-004-130, EIS approval is required for IT Investments for:
-
IT Investments exceeding a
cost of $150,000, unless the investment is an agency-staffed application development project
-
IT Investments exceeding a
cost of $1,000,000 for agency-staffed application development
projects
-
IT Investments involving Information
Classification Level 3 (restricted) or higher data
-
IT Investments that meet one of the risk thresholds triggering OSCIO oversight under Section III of the
Cloud & Hosted Systems Policy (reference
Policy 107-004-150)
-
Any IT Investments where EIS determines that oversight, review, or approvals is in the best interest of state government (Please discuss investments with your Senior IT Portfolio Manager, they will inform you of the need to submit the investment on the
IT Investment form)
If your project began oversight prior to June 2020, the following illustration of the different oversight levels used within the Stage Gate Oversight Model may still be applicable.
Stage Gate Oversight
Work
activity to prepare for Stage Gate 1 endorsement corresponds to a project’s origination
and initiation, where the organization identifies project management and
business analysis resources (contracted or internal), and prepares high-level
project justifications and project initiation documents.
To
initiate EIS/P3 review, an IT
Investment form must be submitted. Upon approval, EIS/P3 will provide a Stage Gate
1 endorsement memorandum (which may contain conditions that must be satisfied
before the next endorsement).
Work
activity to prepare for Stage Gate 2 endorsement corresponds to a project’s resource
and solution analysis planning. Stage 2 ends when EIS/P3 provides a Stage Gate 2
endorsement memorandum (which may contain conditions that must be satisfied
before the next endorsement).
This Stage is expected to be
completed before the agency begins a formal Request for Proposals (RFP) process
to procure the project's Solution Contractor (also known as the System
Integrator, Implementation Contractor, Design-Development-Implementation (DDI)
Contractor, etc.).
Independent
Quality Control review of important foundational planning artifacts may need to
occur prior to Stage Gate 2 endorsement.
Work
activity to prepare for Stage Gate 3 endorsement corresponds to a project’s detailed
implementation planning. Upon approval, EIS/P3 will provide a Stage Gate 3
endorsement memorandum (which may contain conditions that must be satisfied
before the next endorsement). At the time of Stage Gate 3 endorsement the
scope, schedule, and budget baselines are set for the project.
During
implementation planning:
- The project develops substantial details about the specific
implementation approach that will be used to execute the project
- The project usually releases an RFP for requisite solution vendor
services.
- The project’s planning documents are revised to establish scope,
schedule, and budget baselines.
- The detailed project management plan is updated as appropriate
vendor services are procured and, as needed, throughout the remainder of the
project lifecycle.
With
EIS concurrence, agencies may execute a contract for the Solution Contractor
prior to Stage Gate 3 endorsement to assist in detailed project planning.
However, agencies and their contractors may not begin project execution work
before receiving Stage Gate 3 endorsement from EIS/P3.
From the perspective of a project's authorized budget, Stage Gate 3 endorsement may be needed to support the release of funding for project execution.
Work
activity to prepare for Stage Gate 4 endorsement corresponds to a project’s
execution, where the organization implements the plans that were developed in
Stages 1, 2, and 3, delivers the functionality described in the project
requirements documents and vendor Statement(s) of Work, and prepares project
tracking and close-out artifacts,
During
execution, EIS/P3 expects:
·
Projects to submit monthly status reports to EIS/P3
·
Any significant change to scope or
change to schedule or budget baseline of +- 10% requires submission of updated
project artifacts and re-endorsement from EIS/P3.
·
An appropriate and documented level of internal quality assurance
activity by the agency project team
·
If independent quality management (iQA) is engaged, iQA deliverables
will be shared with the people identified in statute (ORS 276A.223(5)(a)) and
uploaded into the PPM tool after acceptance. The scope of reviews must include
items identified under 107-004-030 in the General
Requirement section, #8.
At project close, EIS/P3 will provide a Stage Gate 4 endorsement memorandum (which may contain additional
conditions that must be satisfied). Stage 4 endorsement will rely on
appropriate transition and operations/maintenance planning, lessons-learned and close-out documentation.
(More information to come on Non-Project & Program oversight)