Capability is proven not in comfort, but in vigilance.
The minimum, non-negotiable evidence that must exist before a capability can be considered present at any level above “Absent.”
It is the threshold test — the “entry ticket” to scoring.
1. Why it’s called “gateway”
It acts like a gate:
- ❌ If the gateway evidence is missing → the rating cannot exceed N (Absent).
- ✅ If the gateway evidence exists → the capability may be rated P, L, or F depending on additional evidence.
It prevents inflation of ratings based on:
- Anecdotes
- Good intentions
- Isolated examples
- Verbal claims without documentation
2. How it fits N / P / L / F logic
👉 In this model, E1 is typically the gateway evidence.
3. Examples of Gateway Evidence
Example 1 – Leadership Direction
Capability Criterion
Leadership sets direction for risk management.
Gateway Evidence (E1 – Direction):
- A documented risk policy
- A defined risk appetite
- Formal mandate or statement of intent
If this does not exist → N (Absent)
Even if leaders “talk about risk” informally.
Example 2 – Monitoring & Review
Capability Criterion
Risk performance is actively monitored.
Gateway Evidence (E1 – Measures):
- Defined indicators or metrics
- Named owner for monitoring
- Evidence of measurement framework
If there are no indicators → cannot score above N.
Example 3 – Continual Improvement
Capability Criterion
Organisation learns from experience.
Gateway Evidence (E1 – Feedback):
- Incident log
- Near miss reporting system
- Formal review process
If lessons are “discussed informally” but not captured → N.
4. What Gateway Evidence Is NOT
It is NOT:
- Proof of effectiveness
- Proof of maturity
- Proof of cultural adoption
- Proof of performance improvement
It only proves:
“The capability formally exists.”
Everything above that (E2, E3) tests depth, application, and performance.
5. Why Gateway Evidence Matters
Without it:
- Ratings become subjective
- Assessments drift toward optimism bias
- Organisations score “Defined” based on belief
- Framework credibility weakens
Gateway evidence anchors scoring to verifiable structure.
6. A Useful Rule of Thumb
Ask:
“If this single piece of evidence disappeared tomorrow, could we still credibly claim the capability exists?”
If the answer is no — that’s gateway evidence.
7. In One Sentence
Gateway evidence is the necessary and sufficient minimum proof that a capability is real, not aspirational.
John Salter Consulting Services 