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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
Phase 1: Readiness Image Map Phase 0: Assessment Phase 1: Readiness Phase 2: Selection Phase 3: Engagement Phase 4: Migration Phase 5: Operations


Objective: Prepare the migrating organization by defining initial scope of services and customer governance for the modernization effort.


   Phase 1 Playbook • Phase 1 Guidance • Phase 1 Tollgate ReviewLegend - Customer, Provider, Shared
Phase 1 Customer Readiness Program Management Workforce, Organization, and Stakeholders Technology Process and Service Delivery
1.1 Establish Initial Customer PMO Processes
1.2 Establish Customer Governance Structure and Processes
1.3 Establish Customer Risk Processes
1.4 Conduct Procurement Planning
1.5 Develop Lifecycle Cost in the Business Case
1.6 Define Benefits of the Program
1.7 Define Change Management Approach
1.8 Understand As-Is Workforce
1.9 Define As-Is and Initial Target State Systems Environments
1.10 Plan and Conduct Initial Data Quality Assessment

1.11 Understand As-Is Business Processes
1.12 Develop Initial Target State Concept of Operations
1.13 Define Scope of Services, Document Initial Business Capabilities & Define Mission Critical Needs


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 Documentation
HR/Staffing Plan
• IV&V Plan
Governance Charter
• LCCE
Initial Schedule
• 
Baseline and Target Performance Success Metrics
• Initial Scope of Services
• Initial Business Capabilities
M3 Risk Assessment Tool
• Program Charter
• Program Management Plan
• Status Reports/Dashboard
• Risk Management Plan
• RAID Log
• Procurement Plan
• QASP
Requirements Management Plan
Stakeholder Analysis
Communications Plan
• Migration and O&M training needs
• As-Is Workforce Documentation
• Change Readiness Assessment
As-Is Systems Environment
• Initial Target State Systems Environment
• Data Governance Model
• Data Cleansing Plan
• Initial Business Process Reengineering Strategy
• Validated As-Is Process Maps
Initial Target State Concept of Operations
Information Contained in Tollgate Review Discussion
Phase 1 Tollgate Review
1. M3 Risk Assessment Tool
2. Initial Schedule Overview
3. LCCE
4. HR/Staffing Plan
5. Procurement Approach
6. IV&V Plan
7. Program Governance Model
8. Scope of Services Overview
9. Initial Business Capabilities
10. Change Management and Communications Approach
11. Data Management/Data Quality Approach
12. Baseline and Target Performance Success Metrics
13. Top Risks
Exit Criteria (to Move to Phase 2)
✓PMO and Governance Structure Defined
✓Resources On Boarded
✓Mitigation Plans in Place for Major Risks/Issues
✓Initial Master Schedule Defined
✓LCCE Developed
✓Procurement Approach Defined
✓Change Management Strategies Defined
✓Data Quality Assessed
✓Risks and Issues Management Defined
✓Initial Business Capabilities Defined
✓Performance and Success Metrics Defined
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.