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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

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 Program Management Office (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 Develop Initial Target State Concept of Operations and Scope of Services
1.12 Review Standard Business Capabilities & Document Initial Business Capabilities

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
• Independent Verification and Validation (IV&V) Plan
Governance Charter
• Life Cycle Cost Estimate (LCCE)
Initial Master Schedule
• Baseline and Target Performance Success Metrics
• Initial Business Capabilities
M3 Risk Assessment Tool
• Program Charter
• Program Management Plan
• M3 Services Tailoring Guide
• Status Reports/Dashboard
• Risk Management Plan
• Risk, Action, Issues, Decision (RAID) Log
• Procurement Plan
• Quality Assurance Surveillance 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
• Business Needs Workbook
• Initial Business Process Reengineering Strategy
Initial Target State Concept of Operations
Information Contained in Tollgate Review Discussion
Phase 1 Tollgate Review
1. M3 Risk Assessment Tool
2. Initial Master Schedule Overview
3. Life Cycle Cost Estimate (LCCE)
4. HR/Staffing Plan
5. Procurement Approach
6. Independent Verification and Validation (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
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
✓Life Cycle Cost Estimate (LCCE) Developed
✓Procurement Approach
✓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
• M3 Tailoring Guide
• HR/Staffing Plan
• Initial Master Schedule
• IV&V Plan
• Status Reports/Dashboards
• Governance Charter
• Risk Management Plan
• Risk, Action, Issues, Decision (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