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Industrial Technologies Program Stage-Gate Innovation Management Guidelines Managing risk through structured project decision-making February 2007 Version 1.3 Table of Contents Overview of ITP Stage-Gate Innovation Management……………………………………………….. 1 Background………………………………………..…………………………………………………..................................... 1 Process Overview………………………………………..…………………………………………………………………….. 1 Stages and Gates………………………………………..…………………………………………………………………….. 2 General Description………………………………………..…………………………………………………………….. 2 ITP Stage-Gate Model………………………………………..…………………………………………………………. 3 Benefits of Structured Project Decision-Making…………………………………………………………………………….. Alignment of Stage-Gate with ITP‘s Portfolio/Agreement Review Process……………………………………………… 4 5 Implementation of the Stage-Gate Process………………………………………..……………………… Project Team………………………………………..………………………………………………………………………….. 6 6 Roles and Responsibilities………………………………………..…………………………………………………………… Gate Reviews………………………………………..…………………………………………………………………………. 6 8 Gate Decisions………………………………………..………………………………………………………………………... 8 Stage Descriptions and Gate Review Criteria………………………………………..…………………... Stage 1: Preliminary Investigation and Analysis………………………………………..……………………………….. 9 10 Gate 1: Select Research Project ………………………………………..……………………………………………. Stage 2: Concept Definition………………………………………..……………………………………………………… 10 12 Gate 2: Research Approval………………………………………..……………………………………………………... 12 Stage 3: Concept Development………………………………………..………………………………………………….. 14 Gate 3: Proof of Technical Feasibility……………..…………..………………………………………………………… 14 Stage 4: Technology Development and Verification…………………………………………………………………… 16 Gate 4: Proof of Commercial Feasibility…………………………………………………..….….….….….….….….…. Stage 5: Information Dissemination and Commercialization…………………………………………………………… 16 18 Summary………………………………………..……………………………………………………………………………… 19 References…...……………………………………..………………………………………………………………………… 20 Glossary of Terms………………………………………..………………………………………………………………………………. 21 Appendix A: Gate Review Template………………………………………..…………………………………………….. 23 Stage Gate Innovation Management Guidelines Industrial Technologies Program Overview of ITP Stage-Gate Innovation Management Background The Industrial Technologies Program (ITP) manages a diverse research portfolio (Figure 1) with the overarching goal of accelerating the use of innovative, energy-efficient, industrial technologies. It is critical, therefore, that there is an effective pathway for innovative technology and new technical information to reach the end-user. The Stage-Gate Innovation Management Guidelines map out this pathway. Figure 1. ITP Core Research Industry Sector-Specific: Aluminum, Chemicals, Forest Products, Glass, Metal-casting, Mining, Steel Cross-cutting Technology: Combustion, sensors and controls, materials, energy systems Technology Delivery: Best energy management practices, Industrial Assessment Centers, emerging technologies Stage-Gate Guidelines are a tool for ITP Technology Managers, Field Office Project Managers, and ITP partners to evaluate the progress of projects in the research portfolio and to guide disciplined decision-making throughout the course of an R&D project. The Guidelines are intended to be applied to projects at the Agreement level (individual technology) in EERE‘s Corporate Planning System (CPS). To broadly accomplish its energy efficiency mission, ITP has designed the Stage-Gate process with flexibility to accommodate its various types of research projects. Whether the project is basic science or technology development, the Stage-Gate process contains the guidance that increases the probability of successfully bringing new energy technologies to U.S. industry. Process Overview ITP‘s Stage-Gate process is a multi-step approach of logical thought and decision making for use by ITP managers and their partners in conceptualizing and developing new processes and products. It is a project-based process that aids in the delivery of energy saving technologies to U.S. industrial energy users. Stage-Gate is an enabler of effective R&D and a guide to best practices, not a rigid set of rules to be followed without exception. ITP‘s process is built on a foundation of EERE RDD&D practices combined with best methods from general business. ITP Stage-Gate Innovation Management Guidelines are based on Stage Gate™ principles (a registered trademark of R.G. Cooper & Associates), a methodology which has been successfully applied throughout industry and government (Cooper 2002, Cooper 1998, GRI 1995). Stage-Gate is a phased project management approach that produces fact-based funding decisions based on a set of defined evaluation criteria. Specifically, the Stage-Gate approach will be used by ITP to: • Provide consistent program and project management guidelines • Characterize projects in terms of scope, quality, performance, and program integration • Evaluate and monitor project progress against milestones • Assess viability of technology commercialization • Guide decisions on project funding (e.g., Go Forward, Stop, Hold, Return) A key tenant of the Stage-Gate model is that R&D is inherently risky and only a small percentage of new ideas will find commercial use. Therefore, funding commitments for projects are initially low and typically focus on uncertain technical elements. Research to show the technical and economic potential for a technology in successive project stages provides important information for making judgments about the project and for committing funding in the longterm. The expectation is that projects with serious technical or other issues will be identified and resolved early-on, enabling greater investment in the projects with the greatest probability for success in later stages. Stage Gate Innovation Management Guidelines (V 1.3) Industrial Technologies Program 1 Stages and Gates General Description The Stage-Gate process is comprised of a series of stages and gates, as shown in Figure 2. Each stage is defined by a set of specific research activities; gates are checkpoints where decisions are made based on pre-determined criteria. Stage 1 Gate 1 Gate 2 Stage 2 Figure 2. Simplified Stage-Gate Flow Diagram Stages Stages are the elements of a project where analytical research and technology development are performed. The near term objective of each stage is to make technical progress and gather the information needed to move the project through the next gate. Information accumulated during each stage is used to reduce levels of technical uncertainty and economic risk. With this knowledge, researchers can make informed decisions that address both technical and business challenges and reduce the overall uncertainty of the project. Early stages of research and development typically encounter the highest technical risks; the resources in later stages are most often dedicated to overcoming economic barriers to project success. The Stage-Gate process provides flexibility to gather information, manage risks, and address end-user needs in the timeliest manner. ITP projects may be initiated at whatever stage is most appropriate. For example, projects may be well past preliminary analysis or idea generation, and ready for concept definition when funding is awarded by ITP. Wherever a project begins, however, it can only be in one stage at a time. Therefore, it is critical that a plan be in place to define the work to be accomplished in each subsequent stage. Project funding may also end at the most appropriate stage. For example, industry may want to undertake portions of the technology development stage on their own without Federal funding due to proprietary or intellectual property issues. In some cases, DOE funding on an individual project may be for one select stage in the R&D cycle, with the private sector funding the remaining stages. Gates Gates are decision points for initiating funding or moving forward with a project. At each gate the following occurs: • A set of criteria is used to judge the progress of the project • A decision is made as to whether the project should go ahead, be delayed, or stopped • Approval of funding is made for the next stage • A path forward for the next stage is presented and approved Each gate has a unique set of quantitative and/or qualitative criteria for determining whether ITP should initiate funding or approve the project into the next stage. Criteria are designed to answer salient questions such as: • Have critical technical milestones been met? • Is project on time and within budget? • Does the concept still have potential to provide benefits to the end-user? • Does the concept continue to fit with ITP goals and strategies? The current stage of the project is determined by whether it has met all the criteria for preceding gates. As stated earlier, a project may enter the process at whatever stage is most appropriate. However, all previous gate criteria must have been met. For example, a proposal may be submitted where the criteria for Gate 2 have already been met. In this case the project could enter the process at Stage 3. Progression through each gate is determined by gatekeepers who are identified at the time the project begins. The gatekeepers determine whether the project moves forward given the information developed in the preceding stage. Stage Gate Innovation Management Guidelines (V 1.3) Industrial Technologies Program 2 The ITP Stage-Gate Model ITP‘s model for the Stage-Gate process focuses project management activities on the delivery of energy saving technologies and information to U.S. industrial energy users. The Process directs ITP and its partners to consider the prospects for commercialization from the start of a project to its conclusion. Planning for commercialization cannot wait until the end of a project. Studies have repeatedly demonstrated that a major reason for R&D failing to produce a market impact is the neglect of market, business and financial factors early in the R&D process. Within ITP‘s research and development program, successfully completed projects result in one of two outputs that make an impact: Products or Information. Products, in general, are hardware, software, or process designs that are sold by equipment manufacturers, engineering design firms, or other commercial entities to energy users. Information is a knowledge-based result (e.g., database development, properties and behavior characterization, and modeling and simulations), which ITP disseminates to technology developers or the industrial sector; this new knowledge ultimately leads to reduced energy intensity. R&D activities designed to address a technical problem within an ITP product development effort should be integrated into a single Stage-Gate project. Whether the output is a technology product or information, a successful project always delivers benefits to the end-user. STAGE 1 STAGE 1 Gate Preliminary Preliminary 1 Investigation Investigation & Analysis & Analysis STAGE 2 STAGE 2 Concept Concept Definition Definition Gate 2 STAGE 3 STAGE 3 Concept Concept DevelopDevelopment ment Gate 3 STAGE 4 STAGE 4 Technology Technology Gate Develop4 Development & ment & Verification Verification STAGE 5 STAGE 5 Information Information DisseminDissemination & ation & Commercial Commercial -ization -ization EndEndUser User Figure 3. Stage-Gate Process Flow Figure 3 is intended as process outline only. ITP technology development projects are not required to enter the process at Stage 1 and exit at Stage 5; project funding may begin at any stage and end at any stage in the five stage process. Stages may not be skipped, however, and should be followed in sequence. A typical DOE R&D commercialization project may begin at Stage 2, Concept Definition, and end after Stage 3, Concept Development, with the intent that the private sector will continue with Stages 4 and 5, Technology Development and Commercialization. Stage Gate 1. Preliminary Investigation and Analysis: Scoping studies to identify research topics; technical and market assessments; idea generation. 1. Research Project Selection 2. Concept Definition: Early stage research to explore and define technical concept or to answer a specific technical question; laboratory scale research. 2. Research Approval 3. Concept Development: Development and testing of prototype technology or process; development of models and informational databases; predictive modeling or simulation of process or equipment performance; evaluation of system scalability and end-user acceptability; demonstration of concept feasibility at prototype or bench scale. 3. Proof of Technical Feasibility 4. Technology Development and Verification: Pilot scale development of technology or process; verification and documentation of technical performance and validation of economic potential in field test(s). 4. Proof of Commercial Feasibility 5. Information Dissemination and Commercialization: All activities necessary for information delivery and commercial launch (production scale technology manufacture and installation; development of market infrastructure; demonstrated commercial operation). Stage and gate criteria have been developed that are uniquely suited to the type of projects funded by ITP. The section on Stage Descriptions and Gate Review Criteria beginning on Page 9 provides more details on suggested activities and decision-points. Stage Gate Innovation Management Guidelines (V 1.3) Industrial Technologies Program 3 Benefits of Structured Project Decision-Making A consistent set of management guidelines, which can be followed throughout ITP, will improve accountability and pave the way for timely, fact-based decision-making. Stage-Gate Guidelines lead to a higher percentage of successful projects in the R&D portfolio by enabling effective communication among technology managers, project managers, contractors, equipment manufacturers, end-users and other project participants. Specifically, a structured innovation management process provides ITP with a tool for: • Risk management through enhanced project prioritization • Improved quality of execution • Fact-based decision-making • Parallel, multi-functional R&D • Effective end-user involvement • Idea generation Risk management through enhanced project prioritization Most of the projects funded by ITP are inherently high-risk ventures that industry is unable to undertake independently. The Stage-Gate process manages R&D risks by prioritizing the use of resources and ensuring they are properly allocated, based on the potential for successful research outcomes. For example, Stage-Gate identifies poorly performing projects and those that will not meet expected technical objectives. If appropriate, resources can then be diverted to entirely new projects or to projects with greater promise for success, expediting the path to commercialization. A well-implemented project decision process can shorten the time to market by 30% or more*. Improved quality of execution By anticipating and focusing on —road-blocks“ early in the process, project decision-makers can monitor research and technical development and assess commercial feasibility while minimizing the use of resources. Quality of results is also improved by defining goals, activities and outputs ahead of time; ensuring that all key issues have been addressed. Fact-based decision making When stages and gates are clearly defined with pre-specified goals and outputs, decision-makers are able to quickly and factually formulate judgments based on the performance of the project. Gate criteria are based on current technical, market, financial and operations information in order to make well-informed decisions. Parallel, multi-functional approach to R&D To address and resolve interdependent issues such as technical performance, energy savings, market potential, economics, safety and environmental impacts, each stage of the Stage-Gate process requires multiple kinds of functional expertise. When technical research is conducted in parallel with other important studies and information is shared frequently, impediments to overall project success are addressed as early as possible. Effective end user involvement Identifying the needs and concerns of end-users, equipment manufacturers, and other potential partners early in the process helps ensure that private industry will be interested in partnering once the project reaches the production and commercialization stage. The level of industry involvement will become greater and more focused as the project moves though the stages, but their input must never be absent in defining the concept, and in developing, testing, and validating the technology. Idea Generation Stage-Gate incorporates a —homework“ stage to gain insights on potential research and development areas. Preliminary, early-stage analysis is less expensive than laboratory or pilot-scale activities and provides insights on the future commercial potential of the technology. It is an effective way to prioritize various project options. * www.stage-gate.dk/product-development-process.html Stage Gate Innovation Management Guidelines (V 1.3) Industrial Technologies Program 4 Alignment of Stage-Gate with ITP‘s Portfolio/Agreement Review Process The Stage-Gate Innovation Management Guidelines have been developed to complement ITP‘s current decisionmaking processes and enhance its effectiveness. Stage-Gate Guidelines are not intended to replace existing project management and funding review approaches, rather to provide structure so that funding decisions are consistent and that the potential for success of the entire ITP portfolio is increased. EERE Level Program Level Vision Strategic goals/objectives Strategies Stra tegies Technical requirements Funding requirements Milestones Budgets Strategic StrategicPlanning Planning Multi-Year Multi-Year Program ProgramPlanning Planning Projects Spend plans Acquisition Plans Project Level Obligations Program guidance letters Work authorizations Contracts, Grants CRADAs Annual Annual Operations OperationsPlanning Planning Stage Stage Program ProgramImplementation Implementation Gate Gate Next Stage Figure 4. Stage-Gate aligns with AOP and Implementation steps of EERE‘s Program Management Cycle Contracting and budget allocation are two key management controls in ITP‘s program. Using Stage-Gate guidelines in combination with proven management practices within ITP help optimize the allocation of funds within of the R&D portfolio. A clear link between Gate decision criteria and overall project objectives œ in solicitations, proposals, and financial awards œ leads to focused, fact-based, and balanced project decision-making. Financial awards should follow Stage-Gate guidelines to the fullest extent possible, including appropriate references to stage activities and gate review criteria during the solicitation and proposal process. Some financial assistance awards, including the contractual agreements overseen by the DOE Field Offices, are currently structured according to budget periods to aid decision-making. Budget periods provide a convenient timeframe for the DOE Project Management Centers (PMC) to decide if a project is meeting its objectives and to discontinue if warranted. As a project approaches the end of a budget period, the PMC typically asks the project team to provide a continuation application that details the progress of the project to date. The continuation application process is one mechanism to integrate stage-gate principles into existing projects by aligning go/no-go decision points with StageGate decision criteria. New awards embody Stage-Gate management approaches when the guidelines are incorporated into solicitations and gate criteria are part of the merit review process. ITP regularly appraises program activities in merit reviews, project reviews and portfolio reviews in order to ensure that the program is focusing its scarce resources on the most important technical opportunities. ITP Technology Managers are currently responsible for arranging annual or biannual portfolio review meetings. While portfolio review meetings may not always coincide with Stage-Gate gate decision points because of the project timeline or the size of the project, Stage-Gate methods and terminology should be integral in planning and executing the reviews. Depending on project timing, gate review meetings may be conducted concurrently with other project/agreement review meetings. Gate review meetings may also be more informal, possibly in the form of a conference call. Stage Gate Innovation Management Guidelines (V 1.3) Industrial Technologies Program 5 Implementation of the Stage-Gate Process The basic Stage-Gate process (Figure 5) is comprised of a series of gates where individual projects are reviewed, and a series of stages to accomplish the Project Team selected • Project work necessary to move the project • Project Team selected criteria developed • Stage criteria Gate 1 forward. Essentially, the Stage-Gate • Stage criteria developed Gate 1 • Gatekeepers selected Project • Gatekeepers selected Project process restricts investment in the next Preliminary deve loped (Principal • Pre liminary R&D plan developed (Principal Selection •Invest Preliminary R&D plan developed (Principal Selection Investigator) igator) stage until management is comfortable Investigator) with the outcome of the current stage. Implementation of the process requires a project team with clearly delineated roles and responsibilities. These are outlined in the following sections. Stage 2 Stage 2 Concept Definition Concept Definition • Research is conducted • Research is conducted • Resu lts Documented Results • Results Documented • Gate review planned (Pr incipal Invest igator) (Principal Investigator) • Gate review planned (Principal Investigator) • R&D plan deve loped for next stage developed •((Principal R&D planInvestigator) developed incipal igator) for next stage Pr Invest (Principal Investigator) Project Team • Resu lts are presented (Principal (Principal Results Upon project award, the first step is to •Invest Results are igator ) presented (Principal Investigator) Gate 2 Investigator) establish a Project Team and to identify Gate 2 • Resu lts reviewed aga inst cr iteria Results against criteria Research •((Gatekeepers) Results reviewed against criteria gatekeepers. Gatekeepers, typically ITP Gatekeepers) Research (Gatekeepers) Approval Approval • Project Project decisions decisions are made (Gatekeepers) Technology Managers and DOE Field • Project decisions are made (Gatekeepers) • R&D plan for next stage presented and Office staff, are responsible for deciding •reviewed R&D plan for next stage ipresented and inci (Pr pal Investigator) Invest gator) (Principal reviewed (Principal Investigator) whether the project goes forward to the next stage. Project Teams vary in Next Stage composition depending on the nature, size and stage of the project. Outside Figure 5. Representative Stage-Gate Process Implementation experts may be called on at various gates to provide input in specific technical or business areas. Every project team has a Principal Investigator who is responsible for project execution and interaction with gatekeepers. The Principal Investigator should remain unchanged during the ITP Stage-Gate process. If a change in Principal Investigator is unavoidable, the DOE Field Office Project Manager, in consultation with the ITP Technology Manager, must approve the change. Roles and Responsibilities DOE Headquarters/ITP Technology Managers ITP Technology Managers are responsible for all funding decisions and ensuring that DOE Field Office Project Managers apply Stage-Gate guidelines appropriately. Technology Manager responsibilities include: • Strategic context for project selection and review ◊ Providing documentation of ITP program strategic planning and analysis ◊ Guidance on ITP program priorities and mission ◊ Guidance on solicitation objectives • Gate Decisions and Project Planning ◊ Providing input to Gate decision criteria development ◊ Participating in Gate reviews for large, high profile projects ◊ Providing clear decisions and recommendations during/after Gate reviews ◊ Allocating funding for approved projects ◊ Reviewing R&D stage plans for larger R&D efforts ◊ Verifying that gatekeeper comments have been documented and addressed • Project status and review ◊ Holding program/portfolio review meetings that cover project status reviews ◊ Interacting with Principal Investigator and Field Office Project Manager to resolve project issues Stage Gate Innovation Management Guidelines (V 1.3) Industrial Technologies Program 6 DOE Field Office Project Managers DOE Field Office Project Managers are responsible for applying the Stage-Gate guidelines to projects under their purview. Specific responsibilities include: • Gate reviews ◊ Providing input to criteria development ◊ Identifying external gatekeepers as necessary ◊ Setting target dates for review meetings ◊ Participating as a gatekeeper ◊ Reviewing and approving detailed R&D stage plans ◊ Reviewing results and making recommendations for funding decisions ◊ Verifying that gatekeeper comments have been documented and addressed • Project status and review ◊ Participating in program/portfolio review meetings where project status is reviewed ◊ Interacting with Principal Investigator to resolve project issues as appropriate • Stage management ◊ Contracting/arranging resources ◊ Tracking progress versus budgets, schedules and scope ◊ Facilitating task execution ◊ Communicating status, results and accomplishments Principal Investigator The Principal Investigator is a member of the team conducting the R&D and heads up the Project Team. He/she is generally responsible for planning and running the Gate review meetings and other tasks. Specific responsibilities of the Principal Investigator include: • Executing and controlling the project stages ◊ Gathering and analyzing information ◊ Researching and developing technology ◊ Documenting results and progress ◊ Monitoring budget and schedules ◊ Communicating with ITP managers and end-users • Distributing outputs and stage plans to the Project Team in advance of review meetings • Holding dry runs of prior to Gate review • Developing materials for the review meeting ◊ Presenting stage accomplishments ◊ Addressing review criteria ◊ Presenting the plan for next stage • Revising and distributing Stage plans • Documenting gatekeeper comments Gatekeepers Gatekeepers are individuals or groups of individuals that are responsible for deciding whether a project should continue and receive funding for the next stage. Gatekeepers are typically internal DOE managers and outside experts and may vary gate by gate. ITP project gatekeepers will typically be DOE Field Office Project Managers, and for large, complex projects, may include ITP Technology Managers. Final gate decisions and funding allocations are made by ITP Technology Managers. DOE Field Managers are responsible for making recommendations to the ITP Technology Managers regarding continuation of projects. Specific responsibilities for gatekeepers include: • Review of results against preset gate criteria • Gate decisions and funding allocations (ITP Technology Managers) • Recommendations for revisions to the R&D plan going forward Stage Gate Innovation Management Guidelines (V 1.3) Industrial Technologies Program 7 Gate Reviews Gate reviews are held to evaluate the progress of each project against a set of criteria that are defined at the outset of each stage. Work completed during a stage produces the information needed for decision-making regarding continued funding of a project. Other key outputs from the Gate review include pre-determined deliverables (e.g., R&D stage plan, testing results). Criteria are different for each gate and become more rigorous as the project progresses. The criteria are preset and a list of rules are agreed upon to keep the review process unbiased. The needs of a particular project determine when and how gate reviews take place. The Principal Investigator and DOE Field Office Project Manager usually collaborate in setting target dates for gate reviews. R&D Stage Plan A Stage-Gate management plan should be developed for each project upon award, with input from the entire project team. In addition, the R&D stage plan should be updated by the Principal Investigator prior to moving on to subsequent stages. At a minimum, this plan should include: • Research objectives for the individual stage • Major technical milestones • Commercialization or information dissemination objectives • Work breakdown structure and schedule • Resource requirements At each gate review, the R&D stage plan for the next stage must be presented in sufficient detail for the reviewers to comment on the goals, activities and outputs. This plan may also be revised by gatekeepers at the gate review to better reflect technical objectives and funding levels. Gate Decisions Gates must have clear, well-understood criteria so that gatekeepers can make objective and timely decisions. Criteria must be specific enough to engage management in the decision process and enable them to ascertain the risks and benefits of going forward. Gate scorecards may be used by gatekeepers to compare projects within a program area as appropriate. Gate decisions are made by ITP Technology Managers during or following each gate review. DOE Field Project Managers and other gatekeepers will provide input and recommendations for the decisionFigure 6. Possible Gate Review Decisions making process. GO FORWARD œ goals for the previous stage were met; technical, market, financial and operational information has met expectations; and funding is approved for the next stage (dependent on annual funding appropriation by Congress). STOP œ project is not progressing as it should because the market has shifted permanently, the technology is obsolete, or desired technical objectives cannot be met. HOLD œ project has been suspended for a specified period of time and the criteria will be re-evaluated at a future date. RETURN œ goals have not been accomplished or the criteria have not been met, but because the project is still a high priority, the team will return to the previous stage to complete the work. Stage Gate Innovation Management Guidelines (V 1.3) Industrial Technologies Program Possible gate decisions are shown in Figure 6. If a go forward decision has been reached the Project Team will be asked to present the R&D stage plan for the next stage. If the decision is made to return the project, the Gatekeepers will provide suggestions to the Principal Investigator on work that needs to be completed satisfactorily before the next gate review is held. If the decision is to hold or stop the project, an R&D stage plan is not needed. A project on hold may be re-evaluated and continue at a future date, depending upon the circumstances. However, a stop decision indicates that the project will not receive funding for the next stage. 8