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Owner: GBS IS Capabilities

Date: 2020-04-29
Revision: 5.4
Document ID 9AAD103594

User Manual - ABB Gate Model for IS Projects

Table of Contents
1. Objective ............................................................................................................................................................... 2
1.1. Purpose of this document .........................................................................................................................................2
1.2. References.....................................................................................................................................................................2

2. Gate Model Description....................................................................................................................................... 2

3. Gate Model for projects following a Waterfall approach................................................................................. 3

3.1. Description ...................................................................................................................................................................3
3.2. Gate Models for projects following a Waterfall approach .................................................................................3
3.2.1. Full Gate Model .............................................................................................................................................3
3.2.2. Simple Gate Model .......................................................................................................................................3
3.2.3. Substituting Full with Simple Gate Model ............................................................................................. 4
3.3. Gate Checklists for projects following a Waterfall Approach – Full Gate Model.......................................... 4
3.3.1. Waterfall Full Gate Model: Gate 0 Checklist........................................................................................... 5
3.3.2. Waterfall Full Gate Model: Gate 1 Checklist ........................................................................................... 6
3.3.3. Waterfall Full Gate Model: Gate 2 Checklist ............................................................................................ 7
3.3.4. Waterfall Full Gate Model: Gate 3 Checklist .......................................................................................... 8
3.3.5. Waterfall Full Gate Model: Gate 4 Checklist .......................................................................................... 9
3.3.6. Waterfall Full Gate Model: Gate 5 Checklist .........................................................................................10
3.3.7. Waterfall Full Gate Model: Gate 6 Checklist .......................................................................................... 11
3.3.8. Waterfall Full Gate Model: Gate 7 Checklist.......................................................................................... 12
3.4. Gate Checklists for projects following a Waterfall Approach – Simple Gate Model .................................. 13
3.4.1. Waterfall Simple Gate Model: Gate 1 Checklist .................................................................................... 13
3.4.2. Waterfall Simple Gate Model: Gate 3 Checklist ...................................................................................14
3.4.3. Waterfall Simple Gate Model: Gate 5 Checklist ...................................................................................15
3.4.4. Waterfall Simple Gate Model: Gate 6 Checklist ................................................................................... 16

4. Gate Model for projects following an Agile approach ................................................................................... 16

4.1. Gate Checklists for projects following an Agile Approach .............................................................................. 17
4.1.1. Agile Gate 0 Checklist................................................................................................................................ 17
4.1.2. Agile Foundation Gate Checklist ............................................................................................................18
4.1.3. Agile Increment Gate Checklist ............................................................................................................... 19
4.1.4. Agile Deployment Gate Checklist .......................................................................................................... 20
4.1.5. Agile Benefits Assessment Gate Checklist........................................................................................... 21
4.1.6. Agile Last Benefits Assessment Gate Checklist.................................................................................. 21

5. Revision history ................................................................................................................................................. 22

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1. Objective

1.1. Purpose of this document

The Gate Model ensures visibility and accountability for management and provides management assurance
and support for IS project managers at key milestones within their project.

The Corporate Policy CFIS-CP-03 Gate Model for IS Projects is the procedure for IS investment control.

This document, the User Manual, provides the details in the form of Gate checklists that must be used dur-
ing the execution of IS projects within the scope of the Corporate Regulation. These checklists form the ba-
sis of the project governance procedures to be followed.

This document does not provide guidance on project management methodology and controls.

1.2. References

• This document must be read in conjunction with the Corporate Policy CFIS-CP-03 Gate Model for
IS Projects which can be found on the IS Governance Portal: https://abb.sharepoint.com/sites/IS-
Governance/SitePages/Welcome.aspx

• Project Management methodology, processes, procedures, additional checklists, and guidelines

are available and regularly updated by the GBS IS Capabilities team.
Refer to the Project Management Portal.

• For Disaster Recovery Requirements (mandatory for all mission critical apps), check the Disaster
Recovery Intranet site.

2. Gate Model Description

The Gate Model ensures visibility and accountability for management and provides management assurance
and support for project managers at key milestones within their project. The Gate Model is a governance
model.

A Gate is a decision point in a project where the achieved results are evaluated from a business and strate-
gic point of view and the Business Case is reassessed to determine whether to continue the project or not.

Figure 1: The Gate Model

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The objective of Gate Meetings is to ensure the investment is still viable and that the management and pro-
ject manager are aligned to the objectives for the next phase and overall project goals. The Gate Meeting is
to confirm - not to analyze. The Gate Meeting is called by the Sponsor and is recommended, but not manda-
tory. The Sponsor may choose to approve passing of the gate without holding a Gate Meeting.

Any analysis and assessments should be done prior to the Gate. Assessments are done to ensure that all
relevant information is available to enable a decision to be made at the Gate.

3. Gate Model for projects following a Waterfall approach

3.1. Description

Figure 2: Project phases and gates for projects following a Waterfall approach

3.2. Gate Models for projects following a Waterfall approach

There are two Gate Models for projects following a waterfall approach. The criteria for selecting the appro-
priate gate model is described below.

3.2.1. Full Gate Model

• For projects with IS investments in excess of $100,000; and/or

• For all ERP projects

• Gate Checkpoints to be held

o All gates (from Gate 0 to Gate 7)

3.2.2. Simple Gate Model

• For projects with IS investments less than $100,000; and/or

• For projects with low to medium business risk and complexity

• Gate Checkpoints to be held

o Gate 1

o Gate 3

o Gate 5

o Gate 6

• Note: Although there are fewer gates in the Simple Gate Model, all project management processes
and controls are still applicable.

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3.2.3. Substituting Full with Simple Gate Model

• There may be instances where projects which satisfy the criteria for Full Gate Model need to follow
the Simple Gate Model.

• In such instances written approval to use the Simple Gate Model must be obtained from

o The Project Sponsor and/or senior management of the Business Unit; and

o The Financial Controller of the Business Unit or Function.

3.3. Gate Checklists for projects following a Waterfall Approach – Full Gate Model

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3.3.1. Waterfall Full Gate Model: Gate 0 Checklist

Waterfall Full Gate Model: Gate 0 Checklist
End of: Start of: Gate Objective
Demand Management Scope Phase Confirm that a review of the idea has been done and
basic questions for the proposed objective of this pro-
ject are addressed

❑ All Gate meeting participants clearly iden- ❑ Preliminary business case is updated, and all
tified and informed about their roles stakeholders identified
❑ Sponsor is nominated with appropriate ❑ Buy-in and commitment from business manage-
authority for investments and governance ment/representatives established
of the project
❑ Project self-assessment done, using the standard
❑ Sponsor is trained on ABB Gate Model checklists
❑ Current situation analyzed (process, in- ❑ ICoFR Relevancy Preliminary Assessment com-
formation system and skills) and business pleted and sent for review and Final Decision
needs identified For ICoFR relevant projects: appointed Internal
❑ Sponsor is briefed on the project objec- Control Gate Assessor approves passing this
Gate
tives, timeline and budget (typically a pro-
ject charter)
❑ Risk factors identified and judged
❑ Business opportunity analyzed to deter- ❑ Organization can afford the investment in the next
mine its feasibility and business value phase and the expected investment for the whole
❑ Involvement of other organizations has project, including operational cost
been discussed and other potential users
identified
❑ Skilled resources required for the next phase iden-
tified and committed by all participating units
❑ Project costs measurement is in place ❑ Project time, cost and scope are updated in the
project register (e.g. iPPM globally)
❑ Sponsor approves passing this gate and proceed-
ing with the project?
Sign Off
Project Title: Project ID: Date:
Remarks:
Project Manager: Project Sponsor:

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3.3.2. Waterfall Full Gate Model: Gate 1 Checklist

Waterfall Full Gate Model: Gate 1 Checklist
End of: Start of: Gate Objective
Scope Phase Requirements Phase Confirm that basic questions to the scope of this
project are addressed and reviewed.

❑ All Gate meeting participants clearly ❑ IS Compliance and Disaster Recovery

identified and informed about their roles
• Infosec risk assessment initiated
❑ Steering Committee is nominated with • GDPR Record of Processing initiated
• MasterData assessment initiated
clearly defined roles and required com-
mitment
❑ Project manager is nominated. Project • Trade compliance assessment initiated
positions are described and search for •needs
Disaster Recovery has been considered and understood if it
to be in scope of the project (MANDATORY FOR ALL
resources started. MISSION CRITICAL APPS)

❑ Project reference team is nominated, if ❑ For ICoFR relevant projects: appointed Internal
needed for this project Control Gate Assessor approves passing this
❑ Scope analyzed and described regard- Gate
ing users, in terms of how many, and the
distribution across countries and busi-
❑ Existing solutions in ABB reviewed together with
correct IS experts
ness. If also external users are expected
consequences are considered. ❑ Project costs measurement is in place
❑ Scope analyzed and described regard- ❑ Business case is updated, and all stakeholders
ing information, if delivered service will identified, economic benefits and costs quantified
contain information or migrate infor- ❑ Buy-in and commitment from business manage-
mation from legacy systems. Conse- ment/representatives established
quences if delivered services will contain
any sensitive information considered. ❑ Project self-assessment done, using the standard
checklists
❑ Scope analyzed and described regard- ❑ Risk factors identified and formally recorded and
ing integration, if delivered services re-
stored
quire integration to global or local pro-
cesses and systems. ❑ Organization can afford the investment in the next
phase and the expected investment for the whole
❑ Scope analyzed and described regard- project, including operational cost
ing what devices the delivered service
will be available for. ❑ Skilled resources required for the next phase iden-
tified and committed by all participating units
❑ Scope analyzed and described if this
project or line organization will be re- ❑ Project time, cost and scope are updated in the
sponsible for decommissioning of legacy project register (e.g. iPPM globally)
applications and infrastructure. Conclu-
sion confirmed with relevant IS organi- ❑ Sponsor approves passing this gate and proceed-
ing with the project?
zation(s).
Sign Off
Project Title: Project ID: Date:
Remarks:
Project Manager: Project Sponsor:

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3.3.3. Waterfall Full Gate Model: Gate 2 Checklist

Waterfall Full Gate Model: Gate 2 Checklist
End of: Start of: Gate Objective
Requirements Phase Design Phase Confirm that the Business Case and requirements are
agreed upon and that the project is described in suffi-
cient detail to proceed

❑ Critical requirements collected from ❑(carry-over

IS Compliance and Disaster Recovery
items from Gate 1)
stakeholders
❑ User requirements specification defined, • Infosec Risk assessment initiated
prioritized and concluded with project • GDPR Record of Processing initiated
reference team
• MasterData assessment initiated
❑ Applicable ABB IS (e.g. architecture, • Trade compliance assessment initiated
•completed
standards, security, integration) require-
Review of any Disaster Recovery requirements has been
ments are identified and added to the
project
❑ For ICoFR relevant projects: appointed Internal
❑ Detailed business process including final Control Gate Assessor approves passing this
alignment with other processes is docu- Gate
mented
❑ Business Case assumptions and results refined
❑ Make or buy options analyzed and validated by stakeholders
❑ Critical design issues are considered ❑ Any new involvement of other organizations has
verified by a prototype been discussed and additional potential users
❑ Steering committee has been briefed, identified
and Sponsor agrees to the updated
scope, objectives, timeline and budget
❑ Business case is updated, and all stakeholders in-
formed, economic benefits and costs quantified
❑ Needs for vendor selection and contract ❑ Buy-in and commitment from business manage-
negotiation work have been addressed ment/representatives maintained
to sourcing manager
❑ Project self-assessment done, using the standard
checklists
❑ Risk factors identified and judged
❑ Interactions with other projects been identified, in-
tegrated in the work plan and related risks consid-
ered
❑ Organization can afford the investment in the next
phase and the expected investment for the whole
project, including operational cost
❑ Skilled resources required for the next phase iden-
tified and committed by all participating units
❑ Project time, cost and scope are updated in the
project register (e.g. iPPM globally)
❑ Sponsor approves passing this gate and proceed-
ing with the project?
Sign Off
Project Title: Project ID: Date:
Remarks:
Project Manager: Project Sponsor:

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3.3.4. Waterfall Full Gate Model: Gate 3 Checklist

Waterfall Full Gate Model: Gate 3 Checklist
End of: Start of: Objective
Design Phase Development Phase Confirm that there is agreement on system design and
IS architecture. Confirm the Business Case and that
activity planning is done and all consequences on
time, cost and quality can be committed for setting
project baseline.

❑ Design is in line with the requirements ❑ IS Compliance and Disaster Recovery

specification and agreed scope
• ICoFR relevancy assessment: Final Decision documented.
❑ Reusable solution components and best • Infosec risk assessment completed and approved
• GDPR Record of Processing completed and approved
practices identified and included in the
design
❑ IS Architecture assessment of the de- • MasterData assessment completed and approved
sign is done • Trade compliance assessment completed and approved
❑ Design is completed and reviewed with • Review of any Disaster Recovery requirements completed
relevant parties ❑ For ICoFR relevant projects: appointed Internal
Control Gate Assessor approves passing this
❑ Vendors and partners are selected Gate
❑ Sourcing manager has been involved ❑ Business case is updated, and all stakeholders in-
when negotiating with vendors, sourcing formed, economic benefits and costs quantified
process compliance ensured for all pro-
ject procurements ❑ Buy-in and commitment from business manage-
ment/representatives maintained
❑ Test plan drafted, describing the test ap-
proach and identifying the sequence of ❑ Project self-assessment done, using the standard
tests, test criteria and test responsible checklists

❑ Possible pilot (users, timing, scope) is ❑ Risk factors identified and judged
confirmed with line management of pilot
organization
❑ Interactions with other projects been re-assessed
and related risks considered
❑ Hosting locations for operations and ❑ Organization can afford the investment in the next
support are identified phase and the expected investment for the whole
❑ Design impact considered in the busi- project, including operational cost
ness case update
❑ Skilled resources required for the next phase iden-
❑ User costs for implementation and oper- tified and committed by all participating units
ations are understood and accepted by
stakeholders
❑ Project time, cost and scope are updated in the
project register (e.g. iPPM globally)
❑ Actions been defined to mitigate the ❑ Sponsor approves passing this gate and proceed-
risks/resolve the issues and the related ing with the project?
negative cash impacts have been con-
sidered in the Business Case
Sign Off
Project Title: Project ID: Date:
Remarks:
Project Manager: Project Sponsor:

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3.3.5. Waterfall Full Gate Model: Gate 4 Checklist

Waterfall Full Gate Model: Gate 4 Checklist
End of: Start of: Objective
Development Phase Validation Phase Confirm that the developed and tested solutions are
ready for validation tests.

❑ The tests are executed according to test ❑ IS Compliance and Disaster Recovery
(If not concluded in earlier Gates)
plan, and results are acceptable
❑ High level concepts for implementation • Infosec Risk assessment completed and approved
strategy, operations and support re- • GDPR Record of Processing completed and approved
quirements have been worked out • MasterData assessment completed and approved
❑ User manuals & user training material • Trade compliance assessment completed and approved
are ready
• Individual DR plan developed and in place
❑ Data sources are populated ❑ For ICoFR relevant projects: appointed Internal
❑ Implementation and support strategy de- Control Gate Assessor approves passing this
Gate
cided and reviewed with stakeholders
and with IS infrastructure
❑ User costs for implementation and operations are
❑ Operation & maintenance material is understood and accepted by stakeholders
ready
❑ Business case is updated, and all stakeholders in-
❑ Individual DR plan developed and in formed, economic benefits and costs quantified
place
❑ Buy-in and commitment from business manage-
❑ Validation test members are ready for ment/representatives maintained
participation in the Validation Phase
❑ Project self-assessment done, using the standard
❑ Infrastructure Service Level Agreements checklists
are defined, and costs estimated
❑ Risk factors identified and judged
❑ Roll-back plan in case Gate 5 is not ❑ Interactions with other projects been re-assessed
passed (e.g. if validation fails), is done and related risks considered
❑ Organization can afford the investment in the next
phase and the expected investment for the whole
project, including operational cost
❑ Skilled resources required for the next phase iden-
tified and committed by all participating units
❑ Project time, cost and scope are updated in the
project register (e.g. iPPM globally)
❑ Sponsor approves passing this gate and proceed-
ing with the project?
Sign Off
Project Title: Project ID: Date:
Remarks:
Project Manager: Project Sponsor:

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3.3.6. Waterfall Full Gate Model: Gate 5 Checklist

Waterfall Full Gate Model: Gate 5 Checklist
End of: Start of: Objective
Validation Phase Implementation Confirm that the solutions are verified by the validation
Phase tests and that the plan for implementation and the
business case are realistic.

❑ Validation tests (e.g. pilot or User Ac- ❑ (IfIS not

Compliance and Disaster Recovery
concluded in earlier Gates)
ceptance Test) are executed according
to test plan, against pre-approved ac- • Infosec Risk assessment completed and approved
ceptance criteria, and the results are ac-
ceptable
• GDPR Record of Processing completed and approved
• MasterData assessment completed and approved
❑ Implementation readiness assessed and • Trade compliance assessment completed and approved
approved
• Individual DR plan tested and signed off
❑ Implementation plan finalized, describ- ❑ For ICoFR relevant projects: appointed Internal
ing roll-in/roll-out sequence, monitoring,
communication, change management, Control Gate Assessor approves passing this
operations, support, user training, migra- Gate
tion of data from legacy data systems,
etc.
❑ Criteria for start, end and use of warranty from
vendors understood
❑ Implementation plan is realistic regard- ❑ Operations and support are in place
ing time for user training, migration from
old solutions and proper change man- ❑ Communication material prepared
agement activities ❑ User costs for implementation and operations are
updated from the validation experience and are
❑ Individual DR plan tested and signed off understood and accepted by stakeholders
❑ Participating organizations are commit- ❑ Business case is updated, and all stakeholders in-
ted to the implementation plan, both
formed, economic benefits and costs quantified
from cost and resource aspects
❑ Service owner (or process manager or ❑ Buy-in and commitment from business manage-
ment/representatives maintained
product manager) is nominated and
ready to participate in implementation ❑ Project self-assessment done, using the standard
checklists
❑ Site implementation material published,
and relevant communication material ❑ Risk factors identified and judged
published
❑ Interactions with other projects been re-assessed
and related risks considered
❑ Organization can afford the investment in the next
phase and the expected investment for the whole
project, including operational cost
❑ Skilled resources required for the next phase iden-
tified and committed by all participating units
❑ Project time, cost and scope are updated in the
project register (e.g. iPPM globally)
❑ Sponsor approves passing this gate and proceed-
ing with the project?
Sign Off
Project Title: Project ID: Date:
Remarks:
Project Manager: Project Sponsor:

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3.3.7. Waterfall Full Gate Model: Gate 6 Checklist

Waterfall Full Gate Model: Gate 6 Checklist
End of: Start of: Objective
Implementation Benefits Delivery Confirm that the planned implementation targets are
Phase Phase met and project is ready for formal hand-over to oper-
ations.

❑ Implementation is executed according to ❑ For ICoFR relevant projects: appointed Internal

implementation plan and expected tar- Control Gate Assessor approves passing this
gets are met Gate
❑ DR communication plan and onboarding ❑ Lessons learned, collected and discussed with the
activities delivered to relevant opera- project team, and respective actions defined for
tional teams and stakeholders future projects has been shared with the rest of
the organization
❑ Risk to the business associated with dis-
aster has been mitigated through the im- ❑ Operational performance/cost, has been reviewed
plementation and testing of DR solution and potential improvements identified
(RTO and RPO met)
❑ Actual level of usage and benefits have been com-
❑ Plan to monitor usage, benefits and pared to the usage forecast in the business case
stakeholder satisfaction is ready
❑ Actions been defined/queries been raised to im-
❑ Plan to monitor operations and support prove the stakeholders’ acceptance/satisfaction
performance is ready
❑ Global application register is updated, if relevant.
❑ Project documentation is properly ar- ❑ Business case updated and all stakeholders in-
chived
formed; economic benefits and costs quantified
❑ Handover to service owner (or process ❑ Benefits in business case and project targets are
manager or product manager) is ready
measured and compared to agreed baseline
according to agreed criteria of the re-
ceiving service organization ❑ Buy-in and commitment from business manage-
ment/representatives maintained
❑ Remaining action points from projects
have been handed over to service ❑ Project self-assessment done, using the standard
owner checklists

❑ Experiences collected and actions de- ❑ Risk factors identified and judged
fined for continuous improvement
❑ Organization can afford the investment in the next
❑ Feedback from users regarding ideas for phase and the expected investment for the whole
project, including operational cost
improvements and higher benefit are
captured
❑ Project Manager is committed as responsible until
❑ IS Compliance and Disaster Recovery project is closed at Gate 7
• No outstanding IS Compliance topics ❑ Project time, cost and scope are updated in the
•tiesDRdelivered
communication plan and onboarding activi- project register (e.g. iPPM globally)
to relevant operational teams and
stakeholders ❑ Sponsor approves passing this gate and hand-
over this project to operations?
•been
Risk to the business associated with disaster has
mitigated through the implementation and
testing of DR solution (RTO and RPO met)

Sign Off
Project Title: Project ID: Date:
Remarks:
Project Manager: Project Sponsor:

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3.3.8. Waterfall Full Gate Model: Gate 7 Checklist

Waterfall Full Gate Model: Gate 7 Checklist
End of: Objective
Benefits Delivery Phase Confirm that the project is ready for closure.

❑ Experiences collected, incl. actual ben- ❑ For ICoFR relevant projects: appointed Internal
efits and compared to the business Control Gate Assessor approves passing this
case Gate
❑ Operations and support processes are ❑ Project self-assessment done, using the standard
working well checklists
❑ All stakeholders, including the steering ❑ Project time, cost and scope are updated in the
committee, are fully briefed on project project register (e.g. iPPM globally)
closure
❑ Sponsor approves passing this gate and closing
the project?
Sign Off
Project Title: Project ID: Date:
Remarks:
Project Manager: Project Sponsor:

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3.4. Gate Checklists for projects following a Waterfall Approach – Simple Gate Model

3.4.1. Waterfall Simple Gate Model: Gate 1 Checklist

Waterfall Simple Gate Model: Gate 1 Checklist
End of: Start of: Gate Objective
Scope Phase Requirements and De- Confirm that basic questions to the scope of this pro-
sign Phases ject are addressed and reviewed.

❑ Sponsor is nominated with appropriate ❑ IS Compliance and Disaster Recovery

authority for investments and govern-
ance of the project • Infosec Risk assessment initiated
• GDPR Record of Processing initiated
❑ Project Manager has been appointed to • MasterData assessment initiated
start project execution with project re-
sources locked in • Trade compliance assessment initiated
❑ Scope analyzed and described in collab- •needs
Disaster Recovery has been considered and understood if it
to be in scope of the project (MANDATORY FOR ALL
oration with Subject Matter Experts (e.g. MISSION CRITICAL APPS)
ERP Competency Center), Architect,
Security Expert, to formulate the high- ❑ ICoFR Relevancy Preliminary Assessment com-
level designs pleted and sent for review and Final Decision
For ICoFR relevant projects: appointed Internal
Control Gate Assessor approves passing this
Gate
❑ Project objectives, impacts, and risks defined with
priority
❑ Project time, cost and scope are updated in the
project register (e.g. iPPM globally)
❑ Sponsor approves passing this gate and proceed-
ing with the project?
Sign Off
Project Title: Project ID: Date:
Remarks:
Project Manager: Project Sponsor:

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3.4.2. Waterfall Simple Gate Model: Gate 3 Checklist

Waterfall Simple Gate Model: Gate 3 Checklist
End of: Start of: Objective
Requirements Development and Confirm that there is agreement on requirements, sys-
and Design Validation Phases tem design and IS architecture. Confirm the Business
Phases Case and that activity planning is done, and all conse-
quences on time, cost and quality can be committed
for setting project baseline.

❑ Design is in line with the agreed scope, ❑ IS Compliance and Disaster Recovery
costs, risk tolerances, and requirements • Infosec Risk assessment completed and approved
specifications. Solution accepted by
sponsor and stakeholders • GDPR Record of Processing completed and approved
• MasterData assessment completed and approved
❑ IS Architecture assessment of the de- • Trade compliance assessment completed and approved
sign is done, if required
❑ Interactions with other projects has been • Review of any Disaster Recovery requirements completed
assessed and related risks considered ❑ For ICoFR relevant projects: appointed Internal
Control Gate Assessor approves passing this
❑ Test plan drafted, describing the test ap- Gate
proach and identifying the sequence of
tests, test criteria and test responsible ❑ Risk factors identified and judged
❑ Hosting locations for operations and ❑ Project time, cost and scope are updated in the
support are identified project register (e.g. iPPM globally)

❑ Vendors and partners are selected, if re- ❑ Sponsor approves passing this gate and proceed-
ing with the project?
quired. Sourcing process compliance
ensured for all project procurements
Sign Off
Project Title: Project ID: Date:
Remarks:
Project Manager: Project Sponsor:

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3.4.3. Waterfall Simple Gate Model: Gate 5 Checklist

Waterfall Simple Gate Model: Gate 5 Checklist
End of: Start of: Objective
Development Implementation Confirm that the solutions are verified by the validation
and Validation Phase tests and that the plan for implementation and the
Phases business case are realistic.

❑ Validation tests (e.g. pilot or User Ac- ❑ IS Compliance and Disaster Recovery
(If not concluded in earlier Gates)
ceptance Test) are executed according
to test plan, against pre-approved ac- • Infosec Risk assessment completed and approved
ceptance criteria, and the results are ac-
ceptable
• GDPR Record of Processing completed and approved
• MasterData assessment completed and approved
❑ Implementation readiness assessed and • Trade compliance assessment completed and approved
approved
• Individual DR plan tested and signed off
❑ Implementation plan is realistic regard- ❑ For ICoFR relevant projects: appointed Internal
ing time for user training, communication
materials readiness, migration from old Control Gate Assessor approves passing this
solutions, proper change management Gate
activities and implementation resources
reservation
❑ Operations and support are in place
❑ Project time, cost and scope are updated in the
❑ Risk factors identified and judged project register (e.g. iPPM globally)
❑ Sponsor approves passing this gate and proceed-
ing with the project?
Sign Off
Project Title: Project ID: Date:
Remarks:
Project Manager: Project Sponsor:

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3.4.4. Waterfall Simple Gate Model: Gate 6 Checklist

Waterfall Simple Gate Model: Gate 6 Checklist
End of: Objective
Implementation Phase Confirm that the planned implementation targets are
met and formally project is ready for hand-over to op-
erations and closing.

❑ Implementation is executed according to ❑ Experiences and Lessons Learnt collected; respec-

tive actions defined for continuous improvement
implementation plan and expected tar-
gets are met and future projects, and shared with the rest of the
organization
❑ Plan to monitor operations and support
performance is in place ❑ Global application register is updated, if relevant
❑ Handover to service owner (or process ❑ Project documentation is properly archived
manager or product manager) has been
completed according to agreed criteria
❑ Project time, cost and scope are updated in the
project register (e.g. iPPM globally)
❑ IS Compliance and Disaster Recovery ❑ Sponsor approves passing this gate, hand-over
• No outstanding IS Compliance topics this project to operations and to close the project?
• DR communication plan and onboarding activi-
ties delivered to relevant operational teams and
stakeholders

• Risk to the business associated with disaster has

been mitigated through the implementation and
testing of DR solution (RTO and RPO met)

❑ For ICoFR relevant projects: appointed

Internal Control Gate Assessor ap-
proves passing this Gate
Sign Off
Project Title: Project ID: Date:
Remarks:
Project Manager: Project Sponsor:

4. Gate Model for projects following an Agile approach

Projects following an Agile approach follow the Gate Model as described in section 2. The project phases
and Gate Checkpoints are depicted in diagram 3.

Figure 3: Project phases and gates for following an Agile approach

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4.1. Gate Checklists for projects following an Agile Approach

4.1.1. Agile Gate 0 Checklist

Agile Gate 0 Checklist
End of: Start of: Objective
Agile Governance 0 Agile Governance Foundation
Confirm that there is agreement on the Business Case and that ac-
tivity planning is done along with cost measurement, approach for
incremental development and time. Risks identified and Teams &
Roles are defined and understood

Business Case Team & Roles

❑ Business opportunity analyzed to determine its fea-

sibility and business value
❑ Involvement of other organizations has been discussed
and other potential users identified

❑ Preliminary business case is updated, and all stake-

holders identified
❑ Buy-in and commitment from business manage-
ment/representatives established for the project and
Cost the Agile approach of Foundations (fit-for-purpose so-
lution, no Big-Design-Upfront).
❑ Project costs measurement is in place ❑ Skilled resources required for the next phase (Founda-
❑ Organization is clear in the approach to decide in-
vestment after increments and continue base in
tions) identified and committed by all participation
units. For Agile, this means the Agile Project Manager
value added. Management and Representatives are and that the Product Owner responsibilities are clear.
prepared to stop the project early, when it makes
sense. ❑ Sponsor approves passing this gate and proceeding
with the project?
❑ Project time, cost and scope are updated in the pro-
ject register (e.g. iPPM globally) ❑ Project Manager is selected.
Risk ❑ Project
project
reference team is nominated, if needed for this

❑ Risk factors identified and judged ❑ Project Manager is committed as responsible until pro-
ject is closed after final Benefits Assessment
IS Compliance and Disaster Recovery
❑ AppRUN engaged and checklist for AppRUN com-
❑ ICoFR Relevancy Preliminary Assessment com- pleted?
pleted and sent for review and Final Decision
For ICoFR relevant projects: appointed Internal Control
❑ Sponsor is nominated with appropriate authority for
investments and governance of the project
Gate Assessor approves passing this Gate
❑ Sponsor is trained on ABB Agile Governance Model
❑ Infosec Risk assessment initiated ❑ Current Situation analyzed (process, information sys-
❑ GDPR Record of Processing created and initiated tem and skills) and business needs identified
❑ MasterData assessment initiated ❑ Sponsor is briefed on the project objectives, timeline
❑ Trade compliance assessment initiated and budget (typically a project charter).

❑ Disaster Recovery has been considered and under-

stood if it needs to be in scope of the project
(MANDATORY FOR ALL MISSION CRITICAL APPS)

Sign Off
Project Title: Project ID: Date:

Remarks:
Project Manager: Project Sponsor:

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4.1.2. Agile Foundation Gate Checklist

Agile Foundation Gate Checklist
End of: Start of: Objective
Agile Governance Foun- Agile Governance
Confirm that the Business Case is validated with stakeholders for its
dation Increment economic benefits. Project time cost and scope updated in iPPM.
Risks captured in the Risk Register; project backlog is in place with
high level design to start with. Teams are identified and solution re-
view with ABB IS expert. Infrastructure and deployment strategy in
place.

Business Case Team & Roles

❑ Business case validated with stakeholders, economic

benefits and costs quantified and informed to stake-
❑ Scrum Team identified
holders. ❑ Sponsor approves passing this governance and pro-
ceeding with the project?
Cost
❑ All Governance meeting participants clearly identified
❑ Project time, cost and scope are updated in the pro-
ject register (e.g. iPPM globally)
and informed about their roles

❑ Steering Committee is nominated with clearly defined

❑ Project costs measurement is in place roles and required commitment"

❑ User costs for implementation and operations are un-

derstood and accepted by stakeholders
❑ Vendor Evaluation process completed
Risk
❑ Sourcing manager has been involved when negotiating
with vendors, sourcing process compliance ensured for
❑ Risk identified and captured/Updated in Risk Regis- all project procurements
ter
❑ Project Governance Committee Understand the Agile
ways of work and has been briefed on the project
IS Compliance and Disaster Recovery
schedule (no. of increments) & intended Benefits
❑ For ICoFR relevant projects: appointed Internal Con-
trol Gate Assessor approves passing this Gate Review

❑ Infosec Risk assessment completed and approved ❑ Existing solutions in ABB reviewed together with cor-
rect IS experts
❑ GDPR Record of Processing completed and approved ❑ Buy-in and commitment from business manage-
❑ MasterData assessment completed and approved ment/representatives established for the project and
❑ Trade
proved
compliance assessment completed and ap- the Agile approach of Increments (Incremental delivery,
Iterative delivery in Sprints).
❑ Review of any Disaster Recovery requirements has
been completed
❑ Needs for vendor selection and contract negotiation
work have been addressed to sourcing manager
Project Requirements/Scope
❑ Any new involvement of other organizations has been
❑ Product Backlog (Artifact to hold Requirements) up-
dated with High-Level, Detailed Functional and Non-
discussed and additional potential users identified"
Infrastructure & Deployment Strategy
Functional requirements and Prioritized.
❑ Hosting locations for operations and support are iden-
❑ High level Release plan available tified
Design
❑ Infrastructure Service Level Agreements are defined,
❑ High level design in place considering critical design and costs estimated
issues and agreed scope
❑ High level concepts for implementation strategy, oper-
❑ IS Architecture assessment of the design is done ations and support requirements have been worked
out
❑ Definition of Done (DoD) defined at the project level
(i.e. ABB IS - architecture, standards, security, infor- ❑ Implementation and support strategy decided and re-
viewed with stakeholders and with IS infrastructure?
mation security and integration)
❑ AppRUN
pleted?
engaged and checklist for AppRUN com-

Sign Off
Project Title: Project ID: Date:
Remarks:
Project Manager: Project Sponsor:

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4.1.3. Agile Increment Gate Checklist

Agile Increment Gate Checklist
End of: Start of: Objective
Agile Governance In- Agile Governance Deployment
Confirm that the increment created in in-line with Business case and
crement
cost and the same is reviewed and updated in iPPM. Quality is key
in this phase, feedback from stakeholders/customers is updated in
project backlog.

Business Case Review

❑ Business case reviewed (if required) and validated

with stakeholders, economic benefits and costs
❑ Sprint/increment retrospectives recorded
quantified and informed to stakeholders. ❑ Sprint
holders
Increment Review with Scrum Team and Stake-

Cost Quality
❑ Project time, cost and scope are reviewed and up-
dated in the project register (e.g. iPPM globally) ❑ Technical Debt
❑ Project costs measurement updated (if required) ❑ Defect Count
❑ Updated User costs (if required) for implementation ❑ Maintainability Index
and operations are understood and accepted by ❑ Test Coverage
stakeholders ❑ Unit Test
❑ Functional Test
Risk

❑ Risk identified, reviewed and captured/updated in

Risk Register
Infrastructure

IS Compliance and Disaster Recovery

❑ Hosting
viewed
locations for operations and support are re-

❑ For ICoFR relevant projects: appointed Internal Con-

trol Gate Assessor approves passing this Gate
❑ Infrastructure Service Level Agreements are reviewed,
and costs updated

❑ Infosec Risk assessment reverified and approved ❑ High level concepts for implementation strategy, oper-

❑ GDPR Record of Processing reverified and approved ations and support requirements have been reviewed
and updated"
❑ MasterData assessment reverified and approved ❑ Implementation and support strategy reviewed with
❑ Trade
proved
compliance assessment reverified and ap-
stakeholders and with IS infrastructure

❑ Individual DR plan developed and in place ❑ AppRUN engaged and checklist for AppRUN completed
Team & Roles

Design
❑ Scrum Team intact for the Increment
❑ Definition of Done (DoD) refined at the project level
❑ Sponsor approves passing the increment and proceed-
ing with next increment?
(i.e. ABB IS - architecture, standards, security, infor-
mation security and integration) with the learnings ❑ Sourcing manager has been involved when negotiating
with vendors, sourcing process compliance ensured for
from Sprint/Increment retrospective.
all project procurements

❑ Project Governance Committee Understand the Agile

ways of work and has been briefed on the project
schedule (no. of increments) & intended Benefits

Sign Off
Project Title: Project ID: Date:
Remarks:
Project Manager: Project Sponsor:

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4.1.4. Agile Deployment Gate Checklist

Agile Deployment Gate Checklist
End of: Start of: Objective
Agile Governance De- Agile Governance Benefit Assessment
Review the Business Case and update cost measurements. Ensur-
ployment
ing risks ate identified and updated and validate the deployment
plan to be handed over to service owner.

Business Case Deployment Plan

❑ Business case reviewed & updated with stakeholders,

economic benefits and costs quantified and informed
❑ Validation tests (e.g. pilot or User Acceptance Test) are
executed according to test plan, against pre-approved
to stakeholders. acceptance criteria, and the results are acceptable"

❑ Implementation readiness assessed and approved

Cost
❑ Deployment plan along with rollback plan finalized, de-
❑ Project time, cost and scope are reviewed and up-
dated in the project register (e.g. iPPM globally)
scribing roll-in/roll-out sequence, monitoring, commu-
nication, change management, operations, support,
user training, migration of data from legacy data sys-
❑ Project costs measurement is in place considering in-
cremental cost, expected investment for the whole
tem etc."

project including operational cost ❑ Participating organizations are committed to the De-
ployment plan, both from cost and resource aspect
❑ User costs for implementation and operations are un-
derstood and accepted by stakeholders ❑ Service owner (or process manager or product man-
ager) is nominated and ready to participate in imple-
mentation
Risk

❑ Risk identified and reviewed and updated in Risk Reg-

❑ Criteria for start, end and use of warranty from ven-
dors understood
ister
❑ Operations and Support in place
Project Requirements ❑ User costs for implementation and operations are up-
dated and are understood and accepted by stakehold-
❑ Product
ment)
Backlog updated (Any defect or new require- ers

❑ Plan to monitor usage, benefits and stakeholder satis-

faction is ready
Team & Roles
❑ Plan to monitor operations and support performance
❑ Sponsor approves passing this governance and is ready
proceeding with the project?
❑ Handover to service owner (or process manager or
product manager) is ready according to agreed criteria
IS Compliance and Disaster Recovery of the receiving service organization"

❑ All IS Compliance signoffs are in place ❑ Communication

users
made to the all Stakeholders including

❑ Individual DR plan tested and signed off

❑ For ICoFR relevant projects: appointed Internal Con- ❑ Handover to service owner (or process manager or
product manager) completed
trol Gate Assessor approves passing this Gate
❑ Remaining action points from projects have been
handed over to service owner

❑ Sponsor approves passing deployment and hand-over

this project to operations?

❑ Showstopper and Critical Defects are resolved as soon

as they are found.

❑ Has the AppRUN checklist been completed?

❑ Experiences, lessons learnt collected and actions de-
fined for continuous improvement

Sign Off

Project Title: Project ID: Date:

Remarks:

Project Manager: Project Sponsor:

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4.1.5. Agile Benefits Assessment Gate Checklist

Agile Benefits Assessment Gate Checklist
End of: Start of: Objective
Agile Governance Ben- Agile Governance Increment
Continuous improvement from the lessons learned. Review Opera-
efit Assessment
tions performance/cost and usage index. Approval from Sponsors
for next increment.

❑ Experiences, lessons learned collected and actions ❑ Global application register is updated, if relevant.
defined for continuous improvement ❑ Operations and support processes are working well
❑ Operational performance/cost, has been reviewed
and potential improvements identified
❑ All stakeholders, including the Project Governance
Committee, are fully briefed on the benefits of incre-

❑ Actual level of usage and benefits have been com- mental deployment
pared to the usage forecast in the business case ❑ Sponsor approves passing this governance and pro-
ceeding with the next increment

Sign Off
Project Title: Project ID: Date:

Remarks:
Project Manager: Project Sponsor:

4.1.6. Agile Last Benefits Assessment Gate Checklist

Agile Last Benefits Assessment Gate Checklist
End of: Objective
Last Agile Governance Increment
Continuous improvement from the lessons learned. Review Opera-
tions performance/cost and usage index. Sponsor approves passing
this governance and closing the project after Final Benefit Assess-
ment.

❑ Experiences, lessons learned collected and actions ❑ All stakeholders, including the Project Governance
Committee, are fully briefed on the benefits of incre-
defined for continuous improvement
mental deployment
❑ Operational performance/cost, has been reviewed
and potential improvements identified ❑ All stakeholders, including the Project Governance
Committee, are fully briefed on Project Closure after Fi-
❑ Actual level of usage and benefits have been com-
pared to the usage forecast in the business case
nal Benefit Assessments

❑ Global application register is updated, if relevant. ❑ Sponsor approves passing this governance,
suspending further increments and closing the project
❑ Operations and support processes are working well after Final Benefits Assessment

Sign Off
Project Title: Project ID: Date:

Remarks:
Project Manager: Project Sponsor:

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5. Revision history
Revision Approved by Date Revision notes
E 17/10/2019 Don Pillay: Streamlined and updated of sections 1,2
(Version 5) & 3; New guidelines on Large and Simple Gate
Model for Waterfall projects; Checklists for Simple
gate Model and Agile projects; Added content on IS
Compliance topics and Disaster Recovery to check-
lists; Updated to version 5 due to major revision
(previous version 4); Updated the format and con-
tent to new corporate guidelines.
Version 5.1 04/02/2020 Don Pillay: Corrected amount in section 3.2.1 ($
100,000)
Version 5.2 06/02/2020 Reference update to CRIS-03 Gate Model for IS
Projects
Version 5.3 29/04/2020 Szymon Zemski: “Large Gate Model” renamed to
“Full Gate Model”. Updated the Gate checklists (Full,
Simple, Agile), aligning a content on ICoFR assess-
ment with ARIC methodology and checklists.
Par. 3.2.1 / 3.2.2: changed ‘capital expenditure’ to ‘IS
investments’. Par. 4.1.6.: corrected description of
this phase and simplified a set of checkboxes
(Sponsor’s checkboxes have been merged).
Version 5.4 26/04/2021 Don Pillay: Project Self-Assessment Checklist for
Full Gate Model has been updated. It has a new
hyperlink (URL). Previous version (called iPPM
Gate Advisor) is no longer valid and has been re-
moved.

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