|Objective:||Prepare the migrating organization by defining initial scope of services and customer governance for the modernization effort.|
|Phase 1 Documentation||The following documentation is developed during Phase 1 and is used to inform the Phase 1 Tollgate Review discussion. Agencies purchasing transaction processing services only will identify relevant activities and artifacts for their project using the M3 Tailoring Guide.|
|Phase 1 Guidance:||Guidance Items are used by agencies to help with the readiness process. Templates are provided for agencies to help in the development of program documentation.|
Phase 1 Guidance
Phase 1 Guidance •M3 Tailoring Guide
• HR/Staffing Plan
• Initial Master Schedule
• IV&V Plan
• Status Reports/Dashboards
• Governance Charter
• Risk Management Plan
• RAID Log
• Baseline and Target Performance and Success Metrics
• M3 Risk Assessment Tool
• Procurement Plan
• Lifecycle Cost Estimate
• Stakeholder Analysis
• Communications Plan
• As-Is Systems Environment
• Requirements Management Plan
• Initial Business Capabilities
• Data Governance Model
• Data Cleansing Plan
• Validated As-Is Process Maps
• Initial Scope of Services
Phase 1: Selection FAQs
General M3 FAQs are listed under the Resources tab.
1-1. What types of activities should the customer’s initial procurement plan cover?o The initial procurement plan should cover the types of procurement needs required to support the full lifecycle of the modernization or migration, including provider services either through an IAA or contract. Additionally, the plan should cover any additional support needs for those activities to be performed by the customer agencies such as program management, change management, business process reengineering, data management, interface development, and integration. The customer is responsible for defining these procurement needs and collaborating with the Line of Business Managing Partner and category manager to identify an acquisition strategy.
1-2. What level of detail should be provided in the Concept of Operations to effectively develop a full cost estimate for the customers need?o The Target State Concept of Operations should clearly outline an ideal future state systems environment (including what service layers and systems the customers wishes to retain, which the customer hopes to obtain from a provider, and which the customer hopes to share), major processes that will be performed in the system and how users would interact with the system in the future, where processes are desired to be performed in the future between the customer and provider, how the system would be supported in the future, and operational scenarios.
1-3. What is the role of the Line of Business Managing Partner?o The Line of Business Managing partner will be involved throughout the lifecycle to provide function-specific guidance and best practices to support agencies through modernization or migration. The Managing Partners are an integral partner in the IRP and provide specific subject matter expertise to the investment review process. In addition, Managing Partners are developing the standards for their respective Line of Business as part of the Federal Integrated Business Framework (FIBF); including the business capabilities and use cases.
1-4. Where should agencies reference as a starting point for basic requirements development?o Customers and providers will not jointly discuss detailed technical and functional requirements until Phase 3. In Phase 1, customers should focus on documenting must-have capabilities. Examples of capabilities that should be documented include must-have mandatory system interfaces, hours of operation or availability of services, or other criteria that a provider must be able to meet in order to provide services to the customer. When defining capabilities, customer agencies should consult the Federal Integrated Business Framework Line of Business (FIBF LOB), which standardizes functions for Human Capital Management (HCM), Financial Management (FM), Grants Management (GRM), Acquisitions (ACQ), Travel (TRT) and Information Technology (IT) across the federal government. The FIBF service list is an important first step for agencies documenting their target capabilities, and a helpful tool in aligning the target state with Providers' capabilities.
1-5. Why are requirements developed in Phase 3 (Engagement) with the provider rather than in Phase 1 (Readiness)?o Customers should develop an initial set of business capabilities upfront so that stakeholders within the customer organization are in agreement and have a well-defined understanding of their needs. The formal documentation of requirements, the Requirements Traceability Matrix, will be completed in Phase 3 with the provider.
1-6. Why are providers not involved earlier in the process?o The customer needs to have a clear understanding of their Target Concept of Operations in order to have meaningful conversations with the provider organization and make an informed selection. Failure to do this in Phase 1 may result in realized gaps in Phase 3 (Engagement) or program cancellation mid-way through migration.
1-7. Why can’t USSM match customers and providers?o Given differences in mission, customer organizations must drive the provider selection process based on who in the marketplace can best meet the requirements and migration timeline.