DOT Enterprise Program Management 

Review (EPMR) Framework 

June 2016
U.S. Department of Transportation 

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Table of Contents

1 Purpose......................................................................................................................................5

2 Goals..........................................................................................................................................5

3 Scope .........................................................................................................................................5

4 Applicability ...............................................................................................................................6

5 EPMR Methodology....................................................................................................................6

5.1 EPMR Standards............................................................................................................................6

5.2 EPMR Requirements.....................................................................................................................7

5.3 EPMR Alignment ...........................................................................................................................7

5.4 Approach.......................................................................................................................................8

5.4.1 Create....................................................................................................................................8

5.4.2 Review...................................................................................................................................9

5.4.3 Approve.................................................................................................................................9

6 EPMR Framework Overview........................................................................................................9

6.1 Major Components.......................................................................................................................9

6.1.1 Phase Overview.....................................................................................................................9

6.1.2 Stage Gate Reviews...............................................................................................................9

6.1.3 Agile Software Development Methodology .......................................................................11

7 EPMR Framework.....................................................................................................................12

7.1 Business Need Phase...................................................................................................................12

7.1.1 Business Need Activities .....................................................................................................13

7.1.2 Business Need Stage Gate Review......................................................................................13

7.2 Vision Phase ................................................................................................................................13

7.2.1 Vision Activities...................................................................................................................13

7.2.2 Vision Stage Gate Review....................................................................................................14

7.3 Sprint Cycle Phase.......................................................................................................................14

7.3.1 Sprint Cycle Activities..........................................................................................................14

7.3.2 Sprint Cycle Stage Gate Review ..........................................................................................15

7.4 Release Phase .............................................................................................................................15

7.4.1 Release Activities ................................................................................................................16

7.4.2 Release Stage Gate Review.................................................................................................16
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7.5 Operations and Maintenance Phase...........................................................................................16

7.5.1 Operations and Maintenance Activities..............................................................................16

7.5.2 Operations and Maintenance Stage Gate Review ..............................................................16

7.6 Disposition Phase........................................................................................................................16

7.6.1 Disposition Activities...........................................................................................................16

7.6.2 Disposition Stage Gate Review ...........................................................................................17

7.7 EPMR Operations........................................................................................................................17

7.7.1 Tailoring ..............................................................................................................................17

7.7.2 Reporting and Monitoring ..................................................................................................17

7.7.3 Periodic Reviews.................................................................................................................18

8 Responsibilities ........................................................................................................................18

8.1 DOT Chief Information Officer (CIO)...........................................................................................18

8.2 DOT Enterprise Program Management Board (EPMB)...............................................................18

8.3 DOT IT Investment Review Board (IRB).......................................................................................18

8.4 OA Chief Information Officers (CIOs)..........................................................................................18

8.5 Stage Gate Authority...................................................................................................................19

8.6 Business Owner...........................................................................................................................19

8.7 Program Manager (PM) ..............................................................................................................19

8.8 Integrated Project Team (IPT).....................................................................................................19

8.9 Critical Partners...........................................................................................................................20

9 Legislative Background and Related Guidance ...........................................................................20

Appendix A - Glossary ......................................................................................................................21

Appendix B: Phase/Stage Gate Matrix (Agile model).........................................................................25

Appendix C: Phase/Stage Gate Matrix (Waterfall model) ..................................................................29

Appendix D: Deliverables by Phase (Waterfall model).......................................................................33

Appendix E: Stage Gate Review Decision Memo................................................................................35

Table of Figures

Figure 1: EPMR Alignment with Departmental Functions............................................................................8

Figure 2: Stage Gate Review Process..........................................................................................................10

Figure 3: EPMR Alignment with Agile Methodology...................................................................................12
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Table of Tables

Table 1: Glossary.........................................................................................................................................24

Table 2: Phase/Stage Gate Matrix (Agile model)........................................................................................28

Table 3: Phase/Stage Gate Matrix (Waterfall model).................................................................................32

Table 4: Deliverables by Phase (Waterfall model)......................................................................................34
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Version Control 

This document is the culmination of a collaborative effort by the Department of Transportation (DOT)

Federal Information Technology Acquisition Reform Act (FITARA) Workgroup, consisting of 

representatives from the entire department. This document will go through a formal Chief Information 

Officer (CIO) review, approval process, and sign off for each new release prior to Agency-wide

distribution. This document is intended to be a living document with periodic review and updates that

are under the control of the Office of the CIO (OCIO) Information Technology (IT) Governance Office.

Versions and descriptions of change will be recorded in the table below.

Version Date Description

1.0 June 30, 2016 Initial document
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1 Purpose

The purpose of this document is to describe the Department of Transportation (DOT) Enterprise 

Program Management Review (EPMR) Framework, hereafter referred to as EPMR, as the Departmentwide standard Information Technology (IT) investment management methodology for ensuring that DOT 

investments achieve consistently successful outcomes that maximize alignment with business needs and 

meet approved cost, schedule, and performance milestones.

EPMR serves as the authoritative framework used to promote the integrated management oversight 

and life cycle review among the DOT stakeholder communities responsible for initiating, reviewing, 

approving, and monitoring DOT IT investments. EPMR provides users a common and executable 

understanding of program management processes and activities to navigate for the efficient and 

effective procurement and sustainment of information technologies. In addition, EPMR aids in the 

implementation of the Federal Information Technology Acquisition Reform Act’s (FITARA) new 

accountability and oversight responsibilities that have been designated for the Chief Information Officer 

(CIO) and Senior Agency Official (CXO) communities. 

EPMR supersedes DOT’s Integrated Program Planning and Management, commonly referred to as IPPM.

2 Goals 

DOT established the following goals for EPMR implementation:

 Provide a coherent and effective methodology to guide IT investment management and ensure 

that enterprise needs are met

 Promote the effective use of investment management principles and industry best practices to 

consistently deliver IT capabilities that provide maximum support to the Department’s business 

needs within approved cost and schedule baselines

 Enhance the IT governance process by effectively integrating IT investment planning, execution, 

management, and oversight

 Ensure Critical Partner and stakeholder reviews are performed throughout the life cycle 

 Ensure timely, effective, multi-disciplinary reviews of IT investments for assessment within the 

context of the enterprise-wide IT portfolio

3 Scope

EPMR applies to the management of all IT, including:

 Core utilities and/or cloud services, including: telephony, network, wireless contracts, server, 

laptop/desktop, remote access, storage, IT security, back-up, and email

 Hardware and/or software licensing or maintenance

 Embedded computing, industrial control systems, and “internet of things” technologies, 

including: monitoring and control systems for building automation and energy management, 

physical access control systems, physical security systems, and smart devices or sensors
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 Services which consume, produce, and/or publish conventional, web, or mobile applications, 

data, or information products

 Mission and non-mission IT contract services in support of the above

4 Applicability

EPMR applies to DOT and its Operating Administrations (OAs). Organizations conducting business for 

and on behalf of the Department through contractual relationships shall utilize EPMR or a similar 

methodology. For Federal Aviation Administration (FAA), this plan applies only to the extent that such 

requirements and recommendations are consistent with the language contained in the FAA 

authorization, FAA General Procurement Authority, and FAA Air Traffic Control Modernization Reviews1.

All organizations collecting or maintaining information or using or operating information systems on 

behalf of the Department are also subject to the stipulations of EPMR. EPMR will be implemented as 

appropriate in association with applicable Federal Acquisition Regulation (FAR), Transportation

Acquisition Regulation (TAR), and Transportation Acquisition Manual (TAM) rules that are promulgated 

on this subject.

EPMR applies to all DOT IT Investments throughout their life cycle, regardless of funding source, 

whether owned and operated by DOT or operated on behalf of DOT. EPMR shall be applied in 

conjunction with all DOT CIO policies, which include but are not limited to: Enterprise Architecture, 

Capital Planning and Investment Control (CPIC), Security, Privacy, Records Management, Electronic 

Information and Accessibility, and the DOT Earned Value Management.

OAs shall use EPMR or may create a more restrictive policy, but not one that is less restrictive or less 

compliant with all applicable requirements.

5 EPMR Methodology

EPMR is organized by the principles of program management as outlined below. 

5.1 EPMR Standards

EPMR instills investment management maturity by providing consistent and repeatable processes for 

managing DOT IT investments through the incorporation of the following standards:

 A standard approach for planning, managing, and governing each IT investment over its entire 

life cycle

 Six standard life cycle phases with associated deliverables

 

1

49 U.S.C. §§ 106, 40110, 40121
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 Stage Gate Reviews to formally compare investment progress against expected phase outcomes

prior to advancing to the next life cycle phase

 Incremental/modular development as a standard approach to development

5.2 EPMR Requirements

IT investments must be structured to meet the following requirements:

 Use a life cycle approach to investment management in order to establish accountability and 

transparency

 Use incremental development or justify a varied approach

o Incremental development must adhere to modular development principles.

o EPMR stage gate reviews must be performed for each increment. 

 Produce usable functionality at intervals of no more than six months regardless of whether the 

investment uses modular development principles

 Follow clearly established requirements to meet cost, schedule, and performance baselines

 Report on developmental and operational performance metrics throughout the EPMR life cycle

 Be responsive to variances from established baselines to reduce the risk of cost overruns, 

schedule delays, and scope creep

 Show value through the improvement of production timelines, operational support, and the 

ability to re-use processes and products across multiple investments

 Have an Acquisition Plan approved by the DOT CIO prior to contract award, and approved by the 

Acquisition Strategy Review Board (ASRB), if applicable

Business Owners are required to:

 Actively participate throughout the IT investment life cycle to ensure the investment remains 

focused on high-priority business needs

 Improve the competitiveness of IT investments in the budget process through improved 

performance management and alignment with the organization mission

5.3 EPMR Alignment

The EPMR is aligned with critical DOT business processes to effectively integrate IT investment 

planning, execution, management, and oversight. The intersection points are shown in Figure 1.
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Figure 1: EPMR Alignment with Departmental Functions

5.4 Approach

This subsection describes the basic approach used in the EPMR framework. All framework activities fall

into three categories: create, review, and approve.

5.4.1 Create

The Program Manager (PM) is responsible and accountable for planning and conducting phase activities 

within established investment cost, schedule, and performance baselines.

The primary means for planning, executing, and maintaining accountability for investment activities is 

the collection of managerial documents defined as the Project Management Plan. DOT uses the plan as 

the principal tool for organizing and managing IT investments throughout the EPMR framework. The plan

establishes the baselines and benchmark activities used to track and report investment performance. 

PMs must keep the plan current by updating, as required, its subordinate-level plans that reflect changes 

and refinements during the life cycle.
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5.4.2 Review

Critical Partners represent the Department’s key functional areas. They have the primary responsibility

to review progress of IT investments at specified Stage Gate Reviews to ensure that the investment

meets the Critical Partners’ respective requirements. Critical Partners are responsible for evaluating the

completeness, accuracy, and adequacy of phase deliverables before advancement to the next phase.

Critical Partners also provide recommendations and identify issues and risks during the Stage Gate 

Review process.

5.4.3 Approve

The DOT IT Investment Review Board (IRB) is ultimately responsible for selecting investments for the

DOT IT Investment Portfolio.

The DOT IT Enterprise Program Management Board (EPMB) is responsible for conducting Stage Gate 

Reviews and approving Stage Gate completions. The EPMB establishes a minimum set of core activities 

and deliverables for all IT investments, as well as tools and templates to assist with investment activities.

The EPMB can delegate Stage Gate Reviews to OA CIOs, in conjunction with Critical Partner reviews. OA 

CIOs shall use EPMR guidelines when conducting Stage Gate reviews. OA CIOs may create a more 

restrictive policy than EPMR, but not one that is less restrictive or less compliant with applicable 

requirements.

6 EPMR Framework Overview

6.1 Major Components

EPMR consists of phases that align with common program management touchpoints. Each phase has an 

associated Stage Gate Review. 

6.1.1 Phase Overview

EPMR consists of six life cycle phases. There are defined activities, responsibilities, reviews, and 

deliverables for each phase. Stage Gate reviews are conducted to ensure that the investment’s 

management quality, soundness, and technical feasibility remain adequate and that the investment is 

ready to move forward to the next phase. EPMR provides guidance to PMs, Business Owners, IT

Governance Executives, other stakeholders, and Critical Partners throughout the life of the investment.

6.1.2 Stage Gate Reviews

The Stage Gate Review ensures that defined activities, responsibilities, reviews, and deliverables have 

been met. No IT investment moves to the next EPMR phase without satisfactorily producing the 

deliverables in the current phase and passing the Stage Gate Review, except as tailored (Refer to Section

7.1.1 for additional information.) The process for conducting Stage Gate Reviews is shown in Figure 2.
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Figure 2: Stage Gate Review Process

The PM’s responsibilities in the process are to:

 Determine that all deliverables and requirements are completed in order to move to the next 

phase

 Notify the Stage Gate Authority that the investment is ready for the phase Stage Gate Review

The Critical Partners’ duties in the process are to:

 Review and assess documentation from the PM

 Identify issues and risks

 Make a recommendation for approval, approval with conditions, or disapproval to the Stage 

Gate Authority

The Stage Gate Review Authority will conduct Stage Gate Reviews that include formal reviews by the 

Business Owner, appropriate Critical Partners, and applicable stakeholders to determine if the 

investment should proceed to the next phase.

Based on these reviews and recommendations, the Stage Gate Authority will exercise its decision 

authority to:

 Approve moving the investment to the next phase;

 Conditionally approve moving to the next phase; or

 Recommend discontinuing the investment. 
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Approval with conditions requires that a process be established for maintaining oversight of the 

investment to ensure conditions are met. Issue resolution may include a TechStat before approving 

continuation. The Stage Gate Authority may recommend to the DOT IRB the discontinuation of any 

investment that fails to resolve serious issues.

6.1.3 Agile Software Development Methodology

The DOT is committed to establishing an incremental software development process that adheres to 

modular development principles. The Agile software development methodology, as a major component 

of EPMR, supports this effort. Agile is an iterative process that emphasizes flexibility and adaptation to 

change. The Agile methodology, in keeping with DOT policy and guidance, enables the delivery of useful 

functionality in increments of six months or less.

A key principle of Agile is its recognition that requirements may change and that unpredictable 

challenges cannot be easily resolved by traditional software development methodologies. Agile 

addresses these concerns through the use of cross-functional, collaborative teams. A typical, crossfunctional Agile team includes the Business Owner, the technical development team, and the Program

Manager. The Agile team collaboratively plans each iteration or sprint by determining the requirements 

to be developed during the sprint and the duration of the sprint. After a working product has been

developed, it is tested and a demo is provided to the Business Owner. Each sprint produces a working 

product that is capable of being released to the production environment. In typical Agile methodology, 

each release contains one or more sprint work products. The sprint concludes with a sprint

retrospective, which evaluates what went well and what can be improved. The cycle then begins again 

with the planning of the next sprint. 

An overview of each EPMR phase, the deliverables, and the associated Stage Gate Review can be found 

at Appendix B: Phase/Stage Gate Matrix (Agile model). For current projects that are using the Waterfall 

model, Appendix B and Appendix C provide an overview of each EPMR phase, the deliverables, and the 

associated Stage Gate Review. 
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Figure 3: EPMR Alignment with Agile Methodology

7 EPMR Framework

The EPMR Framework is an integrated management oversight and life cycle review process that includes 

the DOT stakeholder communities responsible for initiating, reviewing, approving, and monitoring DOT 

IT investments. The EPMR Framework consists of six life cycle phases, each with specific activities, 

deliverables, and Stage Gate Reviews. The Stage Gate Reviews evaluate the completed activities and 

deliverables and determine if the investment is ready to proceed to the next life cycle phase.

7.1 Business Need Phase

The purpose of the Business Need Phase is to analyze and understand the scope of an identified 

problem, need, or gap within the Department at a high level before fully committing the Department’s 

resources. The Business Needs Statement should clearly define the Business Owner’s problem, root 

causes, desired outcomes and scope. The Business Needs Statement will be reviewed by Critical 

Partners whose recommendations will be given to the Stage Gate Authority, in this case the DOT IRB,

which will decide whether it warrants further analysis and inclusion into the DOT IT Portfolio. 
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7.1.1 Business Need Activities

The Business Needs Phase consists of analysis activities that culminate in a Business Needs Statement.

During this phase, the Business Owner completes due diligence to adequately describe the desired 

business capability and explain how the proposed investment aligns with Department and OA strategic 

goals, as well as how it fits within the DOT Portfolio. Additionally, a rough order of magnitude estimate 

for cost and schedule is completed, and a planned acquisition approach. 

7.1.2 Business Need Stage Gate Review

The Business Need Stage Gate Review evaluates if the requested business capability is a valid need. The 

Business Needs Statement is created by the Business Owner and should be reviewed and approved 

before additional resources are committed. The Business Needs Statement is reviewed and evaluated by 

the Critical Partners, which include, but are not limited to, Enterprise Architecture, Security, Privacy, and 

Acquisition. The Critical Partners provide recommendations to the DOT IRB. The DOT IRB will make a 

final determination on whether the investment will be included in the DOT IT Portfolio and whether 

additional resources should be committed to the effort. Additionally, the IRB decides whether the Stage 

Gate Authority for future phases will be at the Departmental level or the OA level, based on the 

investment’s total life cycle cost, risk and criticality to DOT as outlined in the Investment Management 

Process Guidance. The Departmental Stage Gate Authority is the EPMB and the OA Stage Gate Authority 

is the OA CIO.

7.2 Vision Phase

The purpose of the Vision Phase is to comprehensively define the business solution to ensure the 

investment’s cost, schedule and performance are adequately documented and that the strategy is 

appropriate for moving the project forward.

7.2.1 Vision Activities

During this phase, rigorous analysis is conducted to establish the preferred business solution’s design, 

strategy and baseline. The Integrated Project Team (IPT) is formed, which acts as an Agile crossfunctional, collaborative team, comprised of the Business Owner, technical development team, and 

Program Manager. One of the primary goals of the IPT is ensuring the customer’s needs are identified 

and satisfied. The following major deliverables and activities are completed in the Vision Phase.

Business Case: The Business Case is created by the Program Manager, in conjunction with the Business 

Owner. The Business Case defines the goals and objectives of the investment and includes an alternative 

analysis and cost benefit analysis. 

Product Vision: The Product Vision describes the desired future state to be achieved by developing and 

deploying a product. A good vision should be simple to state and provide a coherent direction to 

developers.
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Product Backlog: Using the high-level functionality described in the Business Case, the IPT develops the 

Product Backlog. The Product Backlog identifies and documents the requirements of the product to be 

developed. The requirements are captured in user stories and provide enough detail to be clearly 

understood by all members of the IPT. The requirements also need to be prioritized and sized. The

Business Owner is responsible for determining the relative importance of each requirement, while the 

development team is responsible for determining the size or level of effort needed to develop each 

requirement. Once the Product Backlog has been defined and documented, the release planning can 

begin. 

Release Plan: The IPT works collaboratively to determine the number of releases that will be required to 

provide the finished product, the number of sprints in each release, and the release timeline or 

schedule. The Release Plan captures and documents the information that serves to baseline the 

project’s cost, schedule, and performance. 

Project Process Agreement: The Project Process Agreement is used to request and document tailoring 

of the EPMR activities and deliverables that will be included in the project.

7.2.2 Vision Stage Gate Review

The Vision Stage Gate Review includes an Investment Selection Review, Baseline Review, and Design 

Review. The Investment Selection Review evaluates the preferred solution to determine its adequacy 

and appropriateness with respect to the business need and DOT’s needs. The Baseline Review considers 

whether the scope, cost, and schedule have been adequately documented and if the investment

management strategy is appropriate. The Design Review determines if functional and non-functional 

requirements have been satisfied. Also, the Project Process Agreement is evaluated to determine if the 

EPMR activities and deliverables have been appropriately tailored based on the specific needs of the 

project. The Critical Partners provide recommendations to the Vision Stage Gate Review Authority.

7.3 Sprint Cycle Phase

The purpose of the Sprint Cycle Phase is development of the product. The goal of the Sprint Cycle Phase 

is a product that is ready to be released to the production environment. The Sprint Cycle Phase is 

composed of one or more sprints and one or more releases. Each sprint includes sprint planning, 

product development, testing, a Sprint Demo, and a Sprint Retrospective. A release is composed of one 

or more sprints and may be deployed to a production or non-production environment, e.g., a test or 

staging environment. The Sprint Cycle Phase also includes a Baseline Status Review, which evaluates the 

progress of the project against the baseline. 

7.3.1 Sprint Cycle Activities

A sprint is a dynamic, interactive activity that not only includes traditional development of the product, 

but also includes design, testing, and evaluation. The IPT works as a collaborative team in the Sprint 

Cycle Phase to complete these activities. As the product is developed, it is tested and evaluated. Test 

results that affect design and development are immediately addressed. In this way, the product is 
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developed incrementally with the collaboration of the entire IPT. The following deliverables and 

activities are completed in the Sprint Cycle Phase.

Sprint Backlog: The IPT plans each sprint, beginning with the development of the Sprint Backlog. The IPT 

determines the requirements from the Product Backlog that will be included in the Sprint Backlog. The

Sprint Backlog captures and documents the requirements to be included in the sprint and defines the 

specific tasks that will be performed by the development team to satisfy the requirements. Once the 

Sprint Backlog has been determined, product development can begin. 

Sprint Demo: At the end of each sprint, the product is demonstrated to the Business Owner. The 

Business Owner evaluates the product to determine if it meets requirements and fulfills the customer’s 

need. If the Business Owner approves the product, it can be included in the next release. 

Sprint Retrospective: The goal of the Sprint Retrospective is to improve the sprint process. All members 

of the IPT participate in the Sprint Retrospective and evaluate the performance of the sprint. The IPT’s 

recommendations are then incorporated into future sprints.

Baseline Status Review: The Baseline Status Review evaluates the cost, schedule, and performance of 

the project with respect to the project’s baseline. The current status of the project is documented to 

show its progress in relation to the baseline. The documentation must include the following, as 

applicable:

 Schedule changes that may cause a delay of six months or more in the project schedule

 Project cost overruns of 15 percent or more

 Significant changes to functional or non-functional requirements

 Performance issues that may affect the delivery of the product or its ability to satisfy customer 

needs and expectations

Significant issues identified in the Baseline Status Review may require the development of Corrective 

Action Plans and/or a TechStat.

7.3.2 Sprint Cycle Stage Gate Review

The Sprint Cycle Stage Gate Review determines if the product is ready to be released to the production 

environment. The Critical Partners participate in an Operational Readiness Review (ORR) and provide 

recommendations to the Sprint Cycle Stage Gate Review Authority. The Stage Gate Authority decides 

whether the product can be released to the production environment.

7.4 Release Phase

The purpose of the Release Phase is to deploy the product to the production environment and ensure it 

can be properly supported in an operations and maintenance environment.
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7.4.1 Release Activities

The product is deployed to the production environment in the Release Phase. Additional activities of the 

Release phase include the creation of training materials and user manuals, if necessary, and the 

development of the Operations and Maintenance manual. Service level agreements are established, if 

necessary.

7.4.2 Release Stage Gate Review

The Release Stage Gate Review evaluates the documentation created to determine if the product can be 

properly supported by the operational support team. The Critical Partners provide their 

recommendations and issues. The Stage Gate Authority approves entering into the Operations and 

Maintenance Phase.

7.5 Operations and Maintenance Phase

The purpose of the Operations and Maintenance Phase is to ensure the continued operation of the 

product in the production environment.

7.5.1 Operations and Maintenance Activities

The Post Implementation Review (PIR) is conducted during the Operations and Maintenance phase. The 

PIR is usually performed three to six months after the product’s release and evaluates if the product met 

the Business Owner’s objectives and the project’s cost, schedule, and performance baselines. The PIR is 

intended to produce lessons learned that can be applied to future projects.

During the Operations and Maintenance Phase, planned activities are conducted to ensure performance

goals are met, the product is maintained, and risk mitigation is completed. If performance goals are not 

being met, activities are completed to determine whether the product remains viable or should be 

disposed.

7.5.2 Operations and Maintenance Stage Gate Review

The Operations and Maintenance Stage Gate Review verifies that the product is managed and supported 

in a robust production environment and determines whether it is still cost-effective to operate, or if it 

should be retired. The Critical Partners provide recommendations to the Operations and Maintenance 

Stage Gate Review Authority.

7.6 Disposition Phase

The purpose of the Disposition phase is to ensure the proper disposal of the investment.

7.6.1 Disposition Activities

The business product is retired and the life cycle of the investment is completed. The Critical Partners 

should be consulted during the Disposition phase in order to identify potential concerns and issues.
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7.6.2 Disposition Stage Gate Review

The Disposition Stage Gate Review evaluates if the investment has been properly disposed. This review 

is completed as part of CPIC activities in conjunction with Critical Partners.

7.7 EPMR Operations

7.7.1 Tailoring

Tailoring of the EPMR may be approved based on the specific needs of the project, such as investment

size, risk, scope of influence, or development methodology. 

The PM shall submit a request for tailoring that includes the justification and identifies the specific 

elements of the framework to be consolidated or supplemented, including the following:

 Consider options including waiving particular life cycle phases, activities, deliverables or reviews

 Consider cost, risk, schedule, acquisition strategy, and development methodology in 

determining the tailoring strategy

 Recognize that some investments require less documentation to maintain appropriate oversight 

and control

PMs may propose a tailoring plan that excludes any of the EPMR requirements, with the exception of 

the following fundamental elements:

 Identifying the business need

 Documenting correct, clear, and adequate functional and non-functional requirements

 Following processes that ensure the product operates within the as-is and/or target enterprise 

architecture

 Adequate testing of the IT solution

 Appropriate operations and maintenance documentation

7.7.2 Reporting and Monitoring

All PMs shall:

 Report developmental and operational performance metrics throughout the EPMR life cycle

 Report proposed changes to capabilities, scope, and/or requirements to the EPMB before 

enacting changes

 Report to the EPMB if any significant changes to the project have occurred, to include the 

following:

o The product failed to achieve implementation.

o There is a schedule change or a projected schedule change that will cause a delay of six 

months to one year or more in any investment milestone or significant event from the 

original schedule.

o The estimated total acquisition cost or total life cycle cost for the investment has 

increased by 15 percent or more over the original estimate.
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o There has been a change in the expected performance of the product that will affect its 

ability to deliver the functional or non-functional requirements. 

 Report to the EPMB missed milestones and/or variances in percentage of investment cost, 

schedule, or performance outside DOT policy for Earned Value Management

 Develop Corrective Action Plans and/or Baseline Change Requests as appropriate

7.7.3 Periodic Reviews

The EPMB and OA CIOs, when delegated oversight responsibility, shall conduct periodic reviews of 

investments managed under the EPMR framework to ensure investments are managed according to the 

EPMR methodology.

8 Responsibilities

8.1 DOT Chief Information Officer (CIO)

The DOT CIO is responsible for EPMR implementation across the Department.

8.2 DOT Enterprise Program Management Board (EPMB)

The EPMB, chaired by the DOT CIO or delegate, is responsible for execution of the EPMR. The EPMB

ensures that the EPMR is integrated and implemented effectively throughout the Department. 

The EPMB conducts Stage Gate Reviews to ensure investments are technically sound, follow established 

IT investment management practices, and align with Departmental strategy. The EPMB responds to

Critical Partner reviews and facilitates resolution of issues that arise during the investment life cycle.

The EPMB can delegate Stage Gate Reviews to OA CIOs, in conjunction with Critical Partner reviews. OA 

CIOs must use EPMR guidelines when conducting Stage Gate reviews.

8.3 DOT IT Investment Review Board (IRB)

The DOT IRB is a cross-functional executive review committee responsible for overseeing the 

management of the DOT IT portfolio, approving and prioritizing IT investments to best achieve DOT 

strategic goals and objectives, and leveraging opportunities for collaboration across DOT OAs on IT 

investments that support common lines of business. The DOT IRB shall ensure that the DOT IT 

investment portfolio is of the highest quality and meets the business needs of the Department in the 

most effective and efficient manner.

The DOT IRB is the only governance body that can approve an investment’s entry into the DOT IT 

portfolio. Therefore, the DOT IRB is the Stage Gate Authority for phases that approve entry of 

investments into DOT’s portfolio or remove investments from DOT’s portfolio, including the decision to 

discontinue an investment. 

8.4 OA Chief Information Officers (CIOs)

The OA CIOs ensure that the EPMR is implemented within the OAs in accordance with DOT policies and 

guidance. When delegated by the EPMB, the OA CIO is responsible for ensuring that Stage Gate Reviews 
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are completed in their entirety per EPMR guidelines. Additionally, OA CIOs use the EPMR guidance as 

defined herein or may create a more restrictive policy, but not one that is less restrictive or less 

compliant with Federal and/or Departmental requirements.

8.5 Stage Gate Authority

The Stage Gate Authority gives the approval for the investment to proceed to the next EPMR phase. The 

Stage Gate Authority is responsible for conducting Stage Gate Reviews, which includes evaluating 

recommendations by Critical Partners and applicable stakeholders to determine if the investment 

should proceed to the next phase.

8.6 Business Owner

The Business Owner is responsible for the following:

 Identifying the business needs and performance measures to be satisfied by the investment

 Validating and endorsing the business process models and requirements documentation for 

their investments

 Securing funding for the IT investment

 Establishing and approving changes to cost, schedule, and performance goals

 Participating in Stage Gate Reviews

 Validating that the IT investment initially meets business requirements and continues to meet 

business requirements

 Validating that users completed User Acceptance Testing

8.7 Program Manager (PM)

The PM is responsible and accountable for the following:

 Ensuring that staff and contractors comply with the requirements of this policy for day-to-day 

management of the investment

 Ensuring that all appropriate business stakeholders and technical experts are involved 

throughout the life cycle of an IT investment

 Completing all reporting and monitoring as outlined in the Reporting and Monitoring Section

 Maintaining information on investment status, control, performance, risk, corrective action, and 

outlook

 Planning and conducting phase activities and verifying that the set of deliverables for each

phase is complete

 Conducting formal reviews at specified points in the life cycle

 Requesting tailoring

8.8 Integrated Project Team (IPT)

The IPT functions as an Agile cross-functional, collaborative team, comprised of the Business Owner, 

technical development team, and Program Manager. The IPT works collaboratively to determine the 
U.S. Department of Transportation 

20

number of releases that will be required to provide the finished product, the number of sprints in each 

release, and the release timeline or schedule. The IPT also plans each sprint by determining the 

requirements to be developed during the sprint and the duration of the sprint. During a sprint, the IPT 

functions as a collaborative team to manage sprint activities and ensure the product meets the needs of 

the Business Owner.

8.9 Critical Partners

Critical Partners are functional managers at the Departmental level, unless delegated, in the areas of

Enterprise Architecture, Privacy, Security, Acquisition, Finance, Budget, Human Resources, Electronic 

Information and Accessibility, IT Shared Services, CPIC, and Performance. The Critical Partners review 

progress of IT investments at specified Stage Gate Reviews to ensure that the investments meet their 

respective requirements and provide recommendations on any issues and risks identified.

9 Legislative Background and Related Guidance

There are a variety of legislative and regulatory drivers for implementing the EPMR throughout the 

Department. These legislative and regulatory drivers establish a foundation for building and maturing 

the EPMR process.

These directives include, but are not limited to, the following:

 The Clinger-Cohen Act of 1996 (CCA)

 The Federal Information Technology Acquisition Reform Act (FITARA) Act of 2014

 The Chief Financial Officers Act of 1990 (CFO)

 The Government Performance and Results Act of 1993 (GPRA)

 The Federal Acquisition Streamlining Act of 1994 (FASA)

 The Paperwork Reduction Act of 1995 (PRA)

 The Government Paperwork Elimination Act of 1998 (GPEA)

 The Federal Information Security Management Act (FISMA)

 The E-Government Act of 2002 

 OMB M-03-22, OMB Guidance for Implementing the Privacy Provisions of the E-Government Act 

of 2002

 Office of Management and Budget (OMB) Circular A-11

 Federal Acquisition Regulation (FAR)

 DOT Earned Value Management Policy (Order 1351.22.1)
U.S. Department of Transportation 

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Appendix A - Glossary

Term Definition

Baseline Baselines are the standard against which actual work is measured. Baseline cost

and schedule goals should be realistic projections of total cost, total time to

complete the project, and interim cost and schedule goals. Performance (scope)

goals should be realistic assessments of what the investment or project is

intended to accomplish, expressed in quantitative terms, if possible.

Business Owner The executive in charge of the organization, who serves as the primary customer 

and advocate for an IT project. The Business Owner is responsible for identifying 

the business needs and performance measures to be satisfied by an IT project; 

providing funding for the IT project; establishing and approving changes to cost, 

schedule and performance goals; and validating that the IT project initially 

meets business requirements and continues to meet business requirements.

Capital Planning and 

Investment Control 

(CPIC)

The CPIC process is an integrated, structured methodology for managing IT 

investments. It ensures that IT investments align with DOT’s mission and 

supports business needs, while minimizing risks and maximizing returns.

CIO Council The DOT CIO Council, a review committee comprised of the OA CIOs and chaired 

by the DOT CIO, is responsible for reviewing the technical and managerial 

soundness of IT investments and providing technical recommendations to the 

Department.

Critical Partner The Critical Partners are functional managers in Enterprise Architecture, 

Security, Acquisition, Finance, Budget, Human Resources, Electronic Information 

and Accessibility, IT Shared Services, CPIC, Performance, and Records 

Management that participate in IT project reviews and governance decisions to 

ensure compliance with policies in their respective areas and to make timely 

tradeoff decisions where conflicts arise during the planning and execution of a 

project.

CXO Senior Agency Official such as Chief Acquisition Officer (CAO), Chief Financial 

Officer (CFO), Chief Human Capital Officer (CHCO), Chief Information Officer 

(CIO), Chief Operating Officer (COO)

DOT Chief Information

Officer (CIO)

The Office of the Chief Information Officer advises the Secretary on matters 

pertaining to the use of information and related technologies to accomplish 

Departmental goals and program objectives. The mission of the Office is to 

establish and provide: assistance and guidance on the use of technologysupported business process reengineering; investment analysis; performance 

measurement; strategic development and application of information systems 

and infrastructure; policies to provide improved management of information 

resources and technology; and better, more efficient service to our clients and 

employees.
U.S. Department of Transportation 

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Term Definition

Enterprise Architecture 

(EA)

Enterprise Architecture is a strategic information asset base which defines 

business mission needs, the information content necessary to operate the 

business, the information technologies necessary to support business 

operations, and the transitional processes necessary for implementing new 

technologies in response to changing business mission needs. Enterprise 

architecture includes baseline architecture, target architecture and a 

sequencing plan.

Enterprise Program 

Management Board 

(EPMB) 

The EPMB is ultimately responsible for approving baselines and controlling 

changes to those baselines, monitoring performance against baselines, requiring 

corrective actions where necessary, conducting Stage Gate Reviews through 

Critical Partners, and approving Stage Gate completion.

Enterprise Program

Management Review 

(EPMR)

The EPMR is a framework to enhance IT Governance through rigorous 

application of sound investment and project management principles and 

industry best practices. The EPMR provides the context for the DOT IT 

Governance process and describes interdependencies between its project 

management, investment management, and capital planning components. The 

EPMR is comprised of six phases – from business need through disposition – and 

identifies the activities, roles and responsibilities, and Stage Gate Reviews for 

each phase. The EPMR complies with federal regulations and policies, industry 

best practices, and DOT policies and standards.

Functional

Requirements

Functional requirements specify what the product must do. They are directly 

derived from the objectives defined in the Project Management Plan. A 

functional requirement is a tangible service, or function, that the product must 

provide and is a non-technical requirement. See also Non-functional 

Requirements.

Investment Review 

Board (IRB)

The DOT IRB is a cross-functional executive review committee responsible for 

overseeing the management of the DOT IT portfolio, approving and prioritizing 

IT investments to best achieve DOT strategic goals and objectives, and 

leveraging opportunities for collaboration across OAs on IT investments that 

support common lines of business. The DOT IRB shall ensure that the IT 

investment portfolio is of the highest quality and meets the business needs of 

the Department in the most effective and efficient manner.

IT Governance 

Organization

The IT Governance organization at DOT and at each OA is responsible for 

ensuring that projects are technically sound, follow established IT project 

management practices, and meets the Business Owner’s needs. Components of 

the IT Governance organization are the DOT IRB, the CIO Council, the DOT and 

OA Chief Information Officers, and CPIC Managers.

IT Investment An organizational investment employing or producing IT or IT-related assets. 

Each investment has or will incur costs for the investment, has expected or 

realized benefits arising from the investment, has a schedule of project activities 

and deadlines, and has or will incur risks associated with engaging in the 

investment.
U.S. Department of Transportation 

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Term Definition

IT Portfolio The combination of all IT assets, resources, and investments owned or planned 

by an organization in order to achieve its strategic goals, objectives, and 

mission.

IT Project A project is a temporary planned endeavor funded by an approved information 

technology investment; thus achieving a specific goal and creating a unique 

product, service, or result. A project has a defined start and end point with 

specific objectives that, when attained, signify completion.

Non-functional 

Requirements

Non-functional requirements specify the criteria that are used to judge the 

operation of a Business Product, rather than specific behaviors (in contrast to 

functional requirements, which describe behavior or functions). Typical nonfunctional requirements are reliability, scalability, accessibility, performance, 

availability, and cost. Other terms for non-functional requirements are 

“constraints”, “quality attributes”, and “quality of service requirements". Nonfunctional requirements also specify the laws, regulations, and standards with 

which the Business Product must comply.

Project A project is a temporary planned endeavor funded by an approved investment; 

thus achieving a specific goal and creating a unique product, service, or result. A 

project has a defined start and end point with specific objectives that, when 

attained, signify completion.

Program Manager The Program Manager is responsible for project performance in relation to 

approved cost, schedule and performance baselines. The Program Manager 

maintains information project status, control, performance, risk, corrective 

action and outlook. This person is accountable to the Business Owner for 

meeting business requirements and to IT Governance for meeting IT project 

management requirements. The Program Manager shall develop the business 

case in conjunction with the Business Owner to clearly define and capture 

business need requirements, conduct project planning to adequately define and 

execute the tasks required to meet approved cost, schedule and performance 

baselines and conform to DOT policies that apply to IT projects. Program 

Managers shall be responsible for timely reporting of significant variances from 

approved baselines and providing corrective action plans or rebaselining 

proposals as appropriate.

Requirements Requirements specify what should be produced. They are descriptions of either 

how the Business Product should behave (functional requirements), or of how 

the Business Product must comply with laws, regulations, and standards (nonfunctional requirements).

Stage Gate Phase-driven go/no-go decision points where EPMR activities are reviewed to 

ensure that appropriate OMB and DOT requirements are observed. A project

cannot proceed without a “go” decision or a conditional approval granted by the 

Stage Gate Authority for the specific control gate.
U.S. Department of Transportation 

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Term Definition

TechStat TechStat is a face-to-face, evidence-based accountability review of an IT 

program with agency leadership. TechStat sessions are a tool for getting ahead 

of critical problems in an investment, turning around underperforming 

investments, or terminating investments if appropriate.

Unique Investment 

Identifier (UII) 

Upon DOT IRB approval of new investments, the OCIO issues the requisite 

Unique Investment Identifier (UII) to track the investment through the capital 

planning process.

Table 1: Glossary
U.S. Department of Transportation 

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Appendix B: Phase/Stage Gate Matrix (Agile model)

Phase Phase Description and Activities Deliverables Stage Gate Review Description and 

Outcome

Stage Gate 

Authority

1. Business Need The business need is identified 

and documented in a Business 

Needs Statement. This includes a 

description of the business need, 

the goals and objectives, a Rough 

Order of Magnitude (ROM) of cost 

and schedule, and a planned 

acquisition approach.

Business Needs 

Statement

The Business Need Stage Gate Review 

considers whether the Business Needs 

Statement justifies the investment being 

added to the DOT IT portfolio. The Business 

Statement is reviewed and evaluated by 

Critical Partners, including Enterprise 

Architecture, Security, Privacy, and 

Acquisition. The DOT IRB is the only 

governance body that can approve an 

investment and its addition to the DOT IT 

portfolio.

DOT IRB

2. Vision The Business Case and the Project 

Charter, if required, are defined 

and documented. The product 

requirements are captured in the 

Product Backlog and product 

releases are planned in the Project 

Management Plan. The Design 

document and Acquisition Plan 

are developed. Project activities

and deliverables are tailored to 

meet the specific needs of the 

project using the Project Process 

Agreement.

 Project Charter

 Business Case

 Requirements 

Definition

 Design Document

 Project Process 

Agreement

 Acquisition Plan

 Project 

Management Plan

 Privacy Threshold 

Assessment

The Vision Stage Gate Review includes an 

Investment Selection Review, Baseline 

Review and Design Review and requires the 

Critical Partners’ assessments. The 

Investment Selection Review evaluates the 

preferred solution for the business need. 

The Baseline Review considers whether the 

cost, schedule and performance baselines 

have been adequately documented and if

the investment management strategy is 

appropriate. The Design Review determines 

if functional and non-functional 

requirements have been satisfied and 

Critical Partners’ concerns have been 

addressed. The Project Process Agreement 

is evaluated to determine if the project 

activities and deliverables have been 

appropriately tailored based on the specific

EPMB or OA 

CIO
U.S. Department of Transportation 

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Phase Phase Description and Activities Deliverables Stage Gate Review Description and 

Outcome

Stage Gate 

Authority

needs of the project. 

3. Sprint Cycle The Sprint Cycle is the 

development phase of the project 

and is coordinated and conducted 

by the Integrated Project Team 

(IPT). At a minimum, the IPT 

includes the Business Owner, 

Program Manager, and IT 

development team. The Sprint 

Cycle includes the individual 

sprints for the next release. Each 

sprint includes the following 

activities: planning, coding, 

testing, demo, and retrospective. 

The result of a sprint is a working 

product; a release usually includes 

multiple sprints. At the time of

release a Baseline Status Review is 

completed, which evaluates the 

cost, schedule, and performance 

of the project with respect to the 

project’s baseline.

 Privacy Impact 

Assessment

 SORN

 Test Plan

 Computer Match 

Agreement

 System 

Categorization

 System Inventory

 e-Authentication 

Determination

 Information 

System Security 

Plan

 Interconnection 

Security 

Agreements / 

MOUs

 Security 

Assessment Plan

 Security 

Assessment Report

 Risk Assessment

 Authorization 

Recommendation

 Authorization 

Decision Letter

 Information 

System 

The Sprint Cycle Stage Gate Review 

determines if the product is ready to be 

released to the production environment. 

The Critical Partners participate in the 

Operational Readiness Review (ORR) and 

provide their recommendations to the 

Stage Gate Authority. 

EPMB or OA 

CIO
U.S. Department of Transportation 

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Phase Phase Description and Activities Deliverables Stage Gate Review Description and 

Outcome

Stage Gate 

Authority

Contingency Plan

 Information 

System 

Contingency Plan 

Test Report

 Incident Response 

Plan

 Continuous 

Monitoring Plan

 Test Reports

 Implementation 

Plan

4. Release The product is deployed to the 

production environment. The 

Operations and Maintenance 

(O&M) Manual and all training 

and users manuals are also 

developed in this phase.

 Contingency / 

Disaster Recovery 

Plan

 O&M Manual

 Training Plan

 User Manual

 Project Completion 

Report

The Release Stage Gate Review evaluates 

the O&M Manual and user manuals to 

determine if the product can be properly 

supported by the operational support team. 

This includes determining if adequate 

service level agreements are in place.

EPMB or OA 

CIO

5. O&M The Post Implementation Review 

(PIR) is conducted. Operations and 

Maintenance Phase planned 

activities are conducted to ensure 

performance goals are met, the 

product is maintained and risk 

mitigation is completed

 Plan of Action and 

Milestones

 Disposition Plan

The O&M Stage Gate Review verifies that 

the product is adequately managed and 

supported in the production environment 

and determines whether it is still costeffective to operate or if it should be 

retired.

EPMB or OA 

CIO
U.S. Department of Transportation 

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Phase Phase Description and Activities Deliverables Stage Gate Review Description and 

Outcome

Stage Gate 

Authority

6. Disposition 

Phase

The business product is retired 

and the life cycle of the 

investment is completed. Security, 

privacy and records management 

issues should be considered 

during this phase.

 Project Archives

 System Disposal 

Assessment

The Disposition Stage Gate Review 

evaluates if the system has been completely 

and appropriately disposed, thereby ending 

the life cycle of the IT investment.

This review 

is completed 

as part of 

CPIC 

activities in 

conjunction 

with Critical 

Partners

Table 2: Phase/Stage Gate Matrix (Agile model)
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Appendix C: Phase/Stage Gate Matrix (Waterfall model)

Phase Phase Definition and Outcome Stage Gate Review Definition and Outcomes Stage Gate Authority

1. Initiation Identify the business need, Rough Order of 

Magnitude (ROM) cost and schedule, and 

basic business and technical risks. The 

outcome of the Initiation Phase is the 

decision to invest in a full business case 

analysis and preliminary Project 

Management Plan.

The Initiation Stage Gate Review considers whether 

the Business Needs Statement justifies proceeding to 

the Concept Phase for development of a full Business 

Case and preliminary Project Management Plan. It is 

important to note that an IT solution is not generally 

approved / developed at this stage, but rather, the 

business need, which enables the OA to proceed with 

activities outlined in the Concept Phase. The outcome 

of the Initiation Phase is selection to the DOT IT 

Investment Portfolio.

DOT IT Investment 

Review Board (IRB) 

2. Concept Identify the high-level business and 

functional requirements required to 

develop the full business case analysis and 

preliminary Project Management Plan for 

the proposed investment to include initial 

investment cost, schedule and 

performance baselines; and a Project 

Charter. With DOT IRB approval of the 

Initiation Phase, a UII can be disseminated 

and the investment estimates developed in 

the Concept Phase and be put in the CPIC 

tool.

The outcomes of the Concept Phase approval of initial 

investment cost, schedule and performance baselines; 

and issuance of a Project Charter.

OA CIO in conjunction 

with Critical Partners
U.S. Department of Transportation 

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Phase Phase Definition and Outcome Stage Gate Review Definition and Outcomes Stage Gate Authority

3. Planning Phase Complete development of the full Project 

Management Plan – and refinement of 

cost, schedule and performance baselines 

as necessary. The outcomes of the Planning 

Phase are complete and adequate planning 

and sufficient requirements determination 

to validate the planning and baselines.

Develop the Acquisition Plan

The Project Baseline Review (PBR) is a formal 

inspection of the entire project and performance 

measurement baseline initially developed for the IT 

investment. This review is one of the Stage Gate 

Reviews that cannot be delegated by the IT 

governance organization. The PBR is conducted to 

obtain management approval that the scope, cost and 

schedule that have been established for the 

investment are adequately documented and that the 

investment management strategy is appropriate for 

moving the investment forward in the life cycle. Upon 

successful completion of this review, the Project 

Management Plan is officially baselined.

The PBR includes review of the budget, risk, and user 

requirements for the investment. Emphasis should be 

on the total cost of ownership and not just 

development or acquisition costs. Support and training 

issues may become very important from this 

perspective

Enterprise Program 

Management Board 

(EPMB) 

4. Requirements 

Analysis

Develop detailed functional and nonfunctional requirements, create the Work 

Breakdown Structure (WBS), 

identify/address issues including (but not 

limited to) intellectual and data rights 

issues, Electronic Information and 

Accessibility compliance. Compete and 

award contracts. The outcomes of the 

Requirements Analysis Phase are Business 

Owner approval of the requirements and 

award of required contracts.

The Requirements Analysis Stage Gate Review 

considers whether the investment should proceed to 

the Design Phase.

EPMB 
U.S. Department of Transportation 

31

Phase Phase Definition and Outcome Stage Gate Review Definition and Outcomes Stage Gate Authority

5. Design Develop the Design Document. The 

outcomes of the Design Phase are 

completion of Business Product design and 

successful completion of Preliminary and 

Detailed Design Reviews.

The Preliminary Design Review (PDR) is a formal 

inspection of the high-level architectural design of an 

automated system, its software and external 

interfaces, which is conducted to achieve agreement 

and confidence that the design satisfies the functional 

and non-functional requirements and is in 

conformance with the enterprise architecture. Overall 

investment status, proposed technical solutions, 

evolving software products, associated 

documentation, and capacity estimates are reviewed 

to determine completeness and consistency with 

design standards, to raise and resolve any technical 

and/or investment-related issues, and to identify and 

mitigate project, technical, security, and/or business 

risks affecting continued detailed design and 

subsequent development, testing, implementation, 

and operations & maintenance activities.

OA CIO in conjunction 

with Critical Partners

6. Development Develop code and other deliverables 

required to build the Business Product and 

conduct an Independent Verification & 

Validation (IV&V) Assessment. The 

outcomes of the Development Phase are 

completion of all coding and associated 

documentation; user, operator and 

maintenance documentation, and test 

planning.

The Development Stage Gate Review evaluates 

whether the investment should proceed to the Test 

Phase. 

OA CIO in conjunction 

with Critical Partners

7. Test Phase Thorough testing and audit of the Business 

Product’s design, coding and 

documentation. The outcomes of the Test 

Phase are completed acceptance testing,

IV&V, Test Results, development of the 

Implementation Plan (migration strategy)

The Test Stage Gate Review evaluates whether the 

investment should proceed to the Implementation 

Phase.

EPMB
U.S. Department of Transportation 

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Phase Phase Definition and Outcome Stage Gate Review Definition and Outcomes Stage Gate Authority

and readiness for training and 

implementation.

8. Implementation Conduct user and operator training, 

determine readiness to implement, and 

execute the Implementation Plan, including 

any phased implementation. The outcomes 

of the Implementation Phase are successful 

establishment of full production capability 

and completion of the PostImplementation Review.

The Operational Readiness Review (ORR) is a formal 

inspection conducted to determine if the final IT 

solution or automated system/application that has 

been developed or acquired, tested, and implemented 

is ready for release into the production environment 

for sustained operations and maintenance support.

The IT governance organization cannot delegate this 

review.

EPMB

9. O&M Operate and maintain the production 

system and conduct annual operational 

analyses. The outcome of the Operation 

and Maintenance Phase is the successful 

operation of the asset against current cost, 

schedule and performance benchmarks.

The Operations & Maintenance Stage Gate Review 

evaluates whether the investment should be released 

into the full-scale production environment for 

sustained use and operations/maintenance support. 

(occurs for all investments at least annually)

EPMB

10. Disposition Phase Retires the asset when operational analysis 

indicates that it is no longer cost-effective 

to operate the asset. The outcomes of the 

Disposition Phase are the deliberate and 

systematic decommissioning of the 

Business Product with appropriate 

consideration of data archiving and 

security, migration of data or functionality 

to new assets, and incorporation of lessons 

learned over the investment life cycle.

Contract(s) closeout if not already closed

Disposition Phase Review

A Disposition Review is conducted to ensure that a 

system/application or other IT situation has been 

completely and appropriately disposed, thereby 

ending the life cycle of the IT investment.

This phase-end review shall be conducted again within 

six months after retirement of the system. The 

Disposition Review Report also documents the lessons 

learned from the shutdown and archiving of the 

terminated system.

This review is completed 

as part of CPIC activities 

(in conjunction with 

Critical Partners)

Table 3: Phase/Stage Gate Matrix (Waterfall model)
U.S. Department of Transportation 

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Appendix D: Deliverables by Phase (Waterfall model)

EPMR Deliverables by Phase

Legend

P - Preliminary

FD - Final Draft

F - Final

Initiation

Concept

Planning

Requirements 

Analysis

Design

Development

Test

Implementation

Operations & 

Maintenance

Disposition

Business Needs Statement F

Business Case F

Project Charter F

Acquisition Plan P F

Project Management Plan P F

Privacy Threshold Assessment P FD F

Privacy Impact Assessment P F

Project Process Agreement F

Requirements Definition F

Design Document F

Computer Match Agreement F

Test Plan FD F

Contingency / Disaster Recovery Plan FD F

Systems of Records Notice P F

Operations and Maintenance Manual FD F

System Inventory P F

System Categorization P F

Information System Security Plan P FD F

e-Authentication Determination P F

Interconnection Security Agreements / 

MOUs P FD F

Security Assessment Plan P F

Security Assessment Report P F

Risk Assessment P FD F

Plan of Action and Milestones FD F

Authorization Recommendation F

Authorization Decision Letter F

Information System Contingency Plan P F

Information System Contingency Plan Test 

Report F

Incident Response Plan P FD F
U.S. Department of Transportation 

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EPMR Deliverables by Phase

Legend

P - Preliminary

FD - Final Draft

F - Final

Initiation

Concept

Planning

Requirements 

Analysis

Design

Development

Test

Implementation

Operations & 

Maintenance

Disposition

Continuous Monitoring Plan P FD F

Training Plan FD F

User Manual FD F

Business Product FD F

Test Reports F

Implementation Plan F

Project Completion Report F

Annual Operational Analysis F

Disposition Plan F

Project Archives F

System Disposal Assessment F

Table 4: Deliverables by Phase (Waterfall model)
U.S. Department of Transportation 

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Appendix E: Stage Gate Review Decision Memo

_________________________________________________________EPMR Stage Gate Review Decision

Stage Gate Review: <Vision, Sprint Cycle, Release, O&M, or Disposition>

Investment Name: <from CIMS>

Investment Description: <from CIMS>

Project Name: <from CIMS>

Project ID: <from CIMS>

Purpose: This <Vision, Sprint Cycle, Release, O&M, or Disposition> Stage Gate Review was 

conducted on <month, day, yyyy> to determine if the investment is approved to proceed to the 

next phase of the EPMR Framework.

Discussion: <Provide a brief description of the findings of the Stage Gate Review, including 

issues, risks and key discussion points.>

Decision: <Place an “X” in the appropriate box in the table below. Provide the rationale for the 

decision, and if approved with conditions, list and describe the conditions.> 

Stage Gate Review Decision

Approved

Approved with conditions

Recommend to discontinue

Tasking / Action Items: <List and describe any tasks or action items resulting from the Stage 

Gate Review.>
U.S. Department of Transportation 

36

Point of Contact: <List a point of contact for this Stage Gate Review.>

____________________________ _______________

Signed Date

<Name>

<Title>