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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 3: Engagement

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

Objective: Conduct detailed planning through a fit-gap analysis and finalize the implementation roadmap. An Agile approach should be adopted for this phase.

Phase 3 Playbook Phase 3 Guidance Phase 3 TollgateLegend - Customer, Provider, Shared
Phase 3 Provider Selection Program Management Workforce, Organization, and Stakeholders Technology Process and Service Delivery
3.1 Integrate PMO Structures
3.2 Integrate Governance Structures
3.3 Update and Maintain Procurement Plans
3.4 Monitor and Control Program Execution
3.5 Maintain and Execute Risk Processes
3.6 Finalize Migration Approach
3.7 Update Lifecycle Cost Estimate for Migration and O&M
3.8 Engage with Labor Relations
3.9 Execute Change Management Plan
3.10 Develop Training Plan
3.11 Finalize Requirements
3.12 Conduct Requirements Fit-Gap Analysis
3.13 Finalize Target State Systems Environment
3.14 Develop Integrated Technical Strategy
3.15 Prepare Data for Mock Conversions (Data Cleansing, Data Mapping)
3.16 Finalize Target State Concept of Operations
3.17 Define Integrated Contact Center Structure
3.18 Define Service Level Agreements


Phase 3 Documentation: The following documentation is developed during Phase 3 and is used to inform the Phase 3 Tollgate Review discussion. Agencies purchasing transaction processing services only will identify relevant activities and artifacts for their project using the USSM M3 Tailoring Guide.

Phase 3 Documentation:
• Updated Implementation Approach/Timeline
• Updated LCCE for Migration and O&M
• Gap Analysis Report
• Updated Data Cleansing Plan
• O&M SLAs
• Go/No-Go Criteria for Go-Live Assessment
• Intent to Exercise Migration Option (Commercial)
• Integrated Program Charter
Integrated HR/Staffing Plan
• Integrated Program Management Plan
• Integrated IV&V Plan
Integrated Governance Charter
• Migration Approach, Including Technical Strategies
Gap Analysis Register
• Updated Procurement Plan
Status Reports/Dashboard
• Change Request Log
Change Request Form
Lessons Learned Report
Integrated Risk Management Plan
Integrated RAID Log
Migration Phase IAA Terms and Conditions (Federal Only)
• Migration Approach, including Technical Strategies
• Updated Labor Relations Strategy
• Updated Change Management Plan
• Updated Communications Plan
• Updated Readiness Assessment
• Updated Workforce Assessment
Initial Training Plan
Updated Requirements Management Plan
Requirements Traceability Matrix
• Validated and Updated As-Is Systems Environment
• Target State Systems Environment
Test Plan
Configuration Management Plan
• CooP and Disaster Recovery Plan
• Interface Strategy
• Enhancement Strategy
• Updated Data Cleansing Scripts
• Documented Data Structure and Mapping
Data Conversion Plan
• Target State Concept of Operations
• Scope of Services
• Integrated Contact Center Strategy

Information Contained in Tollgate Discussion
  1. USSM Risk Assessment Tool
  2. Target State Solution Scope
  3. Fit-Gap Analysis
  4. Migration Plan, Schedule, and Release Approach
  5. Top Risks
  6. Updated Lifecycle Cost Estimate
  7. Updated HR/Staffing Plan (Customer)
  8. Updated HR/Staffing Plan (Provider)
  9. Procurement Approach (Customer)
  10. Procurement Approach (Provider, Federal)
  11. Updated Change Management and Communications Approach
12. Training Approach
13. Contact Center Approach
14. Data Management/Data Quality Approach
15. Integrated Program Governance Model
16. Lessons Learned

Exit Criteria (to Move to Phase 4)
✓Fit-Gap Analysis Completed
✓PMO and Governance Process Integrated
✓LCCE Updated for Migration and O&M
✓Migration Approach Finalized
✓Integrated Master Schedule Drafted
✓SLAs for Migration and O&M Defined
✓Go/No-Go Criteria Approved

Phase 3 Guidance: Guidance Items are used by agencies to help with the engagement process. Templates are provided for agencies to help in the development of program documentation.


Phase 3 Guidance:
Phase 3 Guidance
• USSM M3 Tailoring Guide
Integrated HR/Staffing Plan
• Integrated Governance Charter
• Updated Procurement Plan
• Status Reports/Dashboards
• Updated Implementation Approach/Timeline
• Lessons Learned Report
• Integrated Risk Management Plan
• Integrated RAID Log
• USSM Risk Assessment Tool
• Migration Phase IAA Terms and Conditions (Federal Only)
• Go/No-Go Criteria for Go-Live Assessment
• Updated LCCE for Migration and O&M
• Updated Labor Relations Strategy
• Updated Communications Plan
• Training Plan
• Updated Requirements Management Plan
• Gap Analysis Report
• Target State Systems Environment
• Configuration Management Plan
• Test Plan
• Data Conversion Plan
• Updated Data Cleansing Plan
• Integrated Contact Center Strategy
• O&M SLAs


Phase 3: Engagement FAQs

General FAQs are listed under the Resources tab.

3-1. What if there are requirements that cannot be met by the provider’s standard solution?

o The Fit-Gap Analysis will identify where functional and technical requirements can be met by the provider’s solution and where gaps may exist using the baselined Requirements Traceability Matrix. Customers and providers should conduct validation sessions to review the fit-gap analysis and identify gap solutions, such as configuration changes, enhancements, and/or process changes. If the requirement still cannot be met, the customer and provider should evaluate if the requirement supports a mission critical function needed at implementation or if the requirement can be deferred to a future release or is not required.

3-2. What if the Fit-Gap Analysis indicates a bad fit?

o The Business Needs Workbook is designed to help customers identify a strong provider and avoid Fit-Gap risks in Phase 3 (Engagement) through the definition of the Scope of Services and unique business requirements. If there is truly not a good fit, the customer and partner should work with USSM and the LOB-Managing Partner to review the details of the Fit-Gap Analysis and justification as part of the Phase 3 Tollgate Review.

3-3. Is there a standard template for service level agreements?

o There is no standard template for Service Level Agreements (SLAs). Agencies are encouraged to use existing artifacts where they exist. They may refer to samples of SLAs used by other federal agencies that are available on OMBMax. Agencies have the discretion to develop SLAs using agency-specific guidelines as long as the overall M3 objective is fulfilled.