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M3 Framework Introduction M3 Framework Overview M3 Phase 0 - Assessment M3 Phase 1 - Readiness M3 Phase 2 - Selection M3 Phase 3 - Engagement M3 Phase 4 - Migration M3 Phase 5 - Operations M3 Resources Image Map Phase 0: Assessment Phase 1: Readiness Phase 0: Selection Phase 3: Engagement Phase 4: Migration Phase 5: Operations
Phase 0: Assessment

Objective: Fulfill requirement to submit capital planning investments though Capital Planning and Investment Control (CPIC) process with required additional information.

   Phase 0 PlaybookLegend - Customer, Provider, Shared
Phase 0 Assessment Program Management Workforce, Organization, and Stakeholders Technology Process and Service Delivery
0.1 Define Vision and Operational End State
0.2 Develop Major IT Business Case

 Phase 0 Documentation:  The following documentation is developed during Phase 0, follows Federal CPIC requirements, and is used to inform a review, if necessary. Agencies should follow CPIC guidance to develop these outputs.

Vision and Operational End State
• Major IT Business Case

Navigate to Updated CPIC guidance by clicking here.
Examples of CPIC requirements that USSM may review during Phase 0 are:
• Unique Identifier for Each Investment
• Purpose, Goals, and Current or Anticipated Benefits (Quantitative and/or Qualitative)
• Preliminary Costs/Savings Table:
  • • Implementation Costs
  • • Annual Operations Cost
  • • Operations Savings
  • • IT Savings
  • • Other Cost Avoidance
  • • Value
  • • Return on Investment (ROI)
  • • Aggregated Customer Savings

  • • Breakeven Year
    • Barriers to Implementation
    • Mitigation Plans
    • Plan for Legacy System Retirement
    • Acquisition/Contract Strategy
    • Program Plan
    Information Contained in Review Discussion (if necessary)
    1. Alternatives Analysis
    2. Operational End State Vision
    Requirements to Complete Phase 0
    ✓Purpose, Goals, and Current or Anticipated Benefits
    ✓Preliminary Cost/Savings Table
    ✓Barriers to Implementation
    ✓Mitigation Plan
    ✓Program Plan

    Phase 0: Assessment FAQs
    0-1. Who is responsible for the Major IT Business Case (Form 300)?
    o For Phases 0, 1, and 2, the customer agency is responsible for completing and submitting the Major IT Business Case. When a customer agency selects a designated Federal Shared Service Provider for migration, the Major IT Business Case will switch from the customer to the provider. The provider is responsible for coordinating with the customer to provide the total cost of migration. The customer agency will still include this investment in their Agency IT Portfolio Summary (Form 53) and reference the UII of the provider agency in the “Investment Description” field. In the event a commercial provider is chosen, the customer should maintain responsibility over the IT business case.
    0-2. Are providers required to maintain multiple business cases per each customer?
    o No, each customer should be listed as a separate project in the provider’s Major IT Business Case (Form 300).
    0-3. How should customers account for investments once the Major IT Business Case is handed over to the provider?
    o The customer agency should include investments in their Agency IT Portfolio Summary (Form 53) to support the provider’s Major IT Business Case (Form 300).
    0-4. How should the customer calculate cost savings in the business case?
    o Agencies should reference current year budget guidance (e.g. A-11, Major IT Business Case) to estimate qualitative and quantities cost savings.
    0-5. My agency is already complying with A-11 and CPIC requirements. Does M3 require my agency to complete anything else?
    o M3 requires that all agencies follow CPIC guidance for Phase 0 (Assessment) in addition to defining a vision and operational end-state. USSM is looking for function over form. Agencies may use their own templates.