2021_M3_Playbook_FINAL.pptx.txt

Modernization and Migration Management (M3) Playbook
GSA, Unified Shared Services Management
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Introduction 
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Modernization and Migration Management (M3) Framework
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The Modernization and Migration (M3) Framework is the roadmap for agencies “buying a service” - delivering projects on time, on budget, and on value. The M3 framework is designed to help Chief Financial Officers (CFO) Act agencies achieve successful outcomes and reduce risk during administrative system and/or service modernizations and migrations.

The M3 Framework is a six-phased approach to system and service modernizations and migrations including objectives, key activities and outcomes for each phase. Within each phase, there are associated activities grouped across four workstreams: (1) Program Management,	(2) Workforce, Organization and Stakeholders, (3) Technology, (4) Process and Service Delivery 

The M3 Framework is aligned with the Investment Planning Process – CFO Act agencies may be required to conduct mandatory formal reviews. These reviews are designed to: 1) Evaluate migration risk and make recommendations to customer and provider organizations to mitigate potential hurdles to success, and 2) Assess outcomes at each phase and make recommendations to Office of Management and Budget (OMB) on budgeting for modernization and migration investments.
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What is the M3 Playbook? The M3 Playbook was developed to help customer and provider organizations apply the M3 Framework. The M3 Playbook is not prescriptive, but provides guidance, tools, and templates, based on best practices, to help CFO Act agency customers and providers improve the likelihood of successful outcomes of their modernization and migration projects. Customers and providers are encouraged to leverage their own tools and templates to satisfy the expected outcomes.The Playbook consists of guidance and tools to help agencies plan for and navigate transitions. It was developed based on feedback from over 100 Government and industry experts, reflects best practices and lessons learned from prior migrations and is updated annually.60+ Activities: Descriptions for how to apply the M3 framework, including detailed activity steps, inputs, outputs, lessons learned, and stakeholders involved.25+ Templates: Template documents that include comprehensive guidance that aid customers and providers in the completion of activities and provide key considerations.Examples: An OMB Max page that includes sample documentation from previous modernization and migration projects.M3 Document and Example Tracker: Outlines the initial creation and updates of M3 Documents as outlined throughout all Phases for easy-to-follow tracking and maintenance. It also includes a list of current M3 Examples as stored on Max.gov.
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Who are the Responsible Parties? Customers are agency program/project managers or representatives that will use the M3 Playbook to develop an understanding of how to approach shared services modernization.

QSMOs (Quality Service Management Offices) are OMB designated federal agencies serving as governmentwide storefronts and brokers, offering multiple solutions for technology and services in their functional area. They offer modern technology and transaction processing solutions to drive scale, standardization, and efficiency. Housed in federal agencies with the mission and expertise to deliver standard capabilities for other agencies, QSMOs are trusted advisors that:

Offer and manage a marketplace of solutions for common technology, services, or fully managed services to respond to agency needs;
Guide and govern the long-term sustainability of the services and solutions marketplace;
Institute a customer engagement and feedback model that allows for continuous improvement and performance management of solutions; and
Drive the implementation to standards established through the collaborative governance process that produce efficiencies in process and scale.

Providers offer customers with access to technology and services within their designated functional area, and use the M3 Playbook to assist customer agencies in their shared services modernization journeys. There are two types of Shared Services Providers (SSP’s), Federal Shared Services Providers (FSSPs) and Commercial Shared Services Providers (CSSPs). 

Shared indicates a shared responsibility between customers and providers.

Who is OSSPI?
The Office of Shared Solutions and Performance Improvement (OSSPI) coordinates government-wide shared services governance, executes program management, and develops processes to support development and implementation of OMB policy as it relates to mission support services. For the M3 Playbook, OSSPI coordinates and organizes between customers, QSMOs, and providers potentially escalating questions, concerns, and useful information as needed.

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Who are the Stakeholders?
Below are a list of potential stakeholders with representation from customers, QSMOs, providers, and Shared parties:

Budget or Financial Analyst
Business Owner
Change Management Lead
Communications Lead
Configuration Lead
Contracting or Procurement Officer
Data Conversion Lead
Data Subject Matter Expert (SME)
Development Team
Executive Sponsor
Functional Lead
Functional SME
Information Systems Security Officer (ISSO)
Interface Lead
Independent Verification & Validation (IV&V) Team
Labor Relations Leader
Network SME
Operations & Maintenance (O&M) Team
Organization Executives (CXOs)
OSSPI


Project Management Office (PMO) Lead
PMO Team
Program Manager
QMSO
Requirements Lead
Risk Lead
Risk Manager
Security Lead
Security SME
Service Area Lead/Service Area Sponsor
Technical Lead/Solution Architect
Technical SME
Test Lead
Test Team
Training Lead
Workforce Lead
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Overview 
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Modernization and Migration Management (M3) Playbook Overview
Key Activities*
Exit Outcomes
Objective
Assess different providers to understand which can best meet the scope of services requirements
Select provider for Engagement 
Begin preparing the organization for change
Conduct initial data cleansing
Provider Selected
Provider Agreements Established
Mitigation Plans in Place for Major Risks/Issues
Initial Master Schedule Updated
Data Cleansing Commenced
Life Cycle Cost Estimate Updated
Communications to Stakeholders Delivered
2. Selection
Conduct due diligence to select the provider based on capabilities, requirements, and desired target end state
Conduct a Requirements Fit-Gap Analysis to understand how the requirements will be met and where tailored solutions will be required
Define Migration Approach and roadmap
Integrate PMO processes between the customer and provider
Requirements Fit-Gap Analysis Completed
PMO and Governance Processes Integrated
Migration Approach Finalized
Master Schedule Drafted
Service Level Agreements (SLAs) defined    
Go/No-Go Criteria Approved
3. Engagement
Conduct detailed planning through a Fit-Gap Analysis and finalize the migration and Operations and Maintenance (O&M) approach and costs
Configure, test, and deploy the new solution and concept of operations
Migrate in-scope processes and design the transformed organization for the future state environment 
Go/No-Go Criteria Met to Deploy Solution
4. Migration
Configure, test, and deploy the new system, concept of operations, and workforce design
Monitor the success of the migration and move into operations
Continue training and communications
Conduct process improvement and customer care activities
Post-migration Performance Metrics Reported
Lessons Learned Report Developed
5. Operations
Deliver services and conduct continuous process improvement
PMO and Governance Structure Defined
Resources On Boarded
Mitigation Plans in Place 
       for Major Risks/Issues
Initial Master Schedule Defined 
Life Cycle Cost Estimate Developed
Change Management Strategies Defined
Data Quality Assessed
Acquisition Strategy Developed
Business Capabilities Defined
1. Readiness
Establish Program Management Office (PMO)
Define migration scope of services and program management processes
Establish customer risk processes
Assess data quality
Conduct Market Research
Conduct Acquisition Planning
Prepare the customer organization for the modernization effort and define capabilities
Vision Statement, Expected Benefits, and High Level Timelines
Project Business Case
0. Assessment
Define Vision
Develop Project Business Case
Build a vision and Project Business Case for the migration or modernization
Investment Review Process
Progress Review
* Agencies purchasing transaction processing services only will customize the M3 Playbook using the M3 Services Tailoring Guide to identify relevant activities and outputs within each Phase of the M3 Framework. **An agile approach should be adopted for Phase 4.

The M3 Playbook is not prescriptive – it is guidance for customer and provider organizations to help improve the successful outcomes of modernizations and migrations. Customers and providers are encouraged to tailor the M3 Playbook to leverage their own tools and templates to satisfy the expected outcomes.
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M3 Playbook Outline
Investment Review Process
Phase 0: Assessment
Phase 2: Selection
Phase 3: Engagement
Phase 4: Migration 
Phase 5: Operations
0.1 Define Vision 
0.2 Develop Project Business Case
1.1 Conduct a Business Readiness Assessment
1.2 Establish Customer Program Management Office (PMO) Processes
1.3 Establish Customer Governance Structure and Processes
1.4 Establish Customer Risk Processes
1.5 Develop Life Cycle Cost in the Business Case
1.6 Define Target Performance Metrics
2.1 Select Provider for Engagement
2.2 Update Life Cycle Cost Estimate 2.3 Monitor and Control Program Execution
2.4 Maintain and Execute Risk Processes
3.1 Integrate Program Management Office (PMO) Structures
3.2 Integrate Governance Structures
3.3 Monitor and Control Program Execution
3.4 Maintain and Execute Risk Processes
3.5 Finalize Migration Approach

4.1 Monitor and Control Program Execution 
4.2 Maintain and Execute Risk Processes
4.3 Develop Operations and Maintenance (O&M) Governance 
4.16 Assess Readiness for Go-Live

5.1 Review Performance Against Expected Benefits
5.2 Collect Lessons Learned
5.3 Implement Operations & Maintenance (O&M) Governance

1.7 Define Change Management Approach 
1.8 Define Stakeholders and Develop Communications Plan
2.5 Design Labor Relations Outreach
2.6 Solidify Change Management Plan
3.6 Engage with Labor Relations
3.7 Execute Change Management Plan
3.8 Develop Training Plan 
4.5 Design Target State Organization
4.13 Execute Workforce Transition and Prepare for Go-Live
4.14 Execute Training for Go-Live
4.15 Execute Labor Relations Strategy
5.4 Support Stabilization and Perform Change Management
1.9 Define As-Is and Initial Target State Systems Environments
1.10 Plan and Conduct Initial Data Quality Assessment

2.7 Conduct Initial Data Cleansing Activities
2.8 Develop a Decommission Plan

3.9 Finalize Requirements
3.10 Conduct Requirements Fit-Gap Analysis
3.11 Finalize Target State Systems Environment
3.12 Develop Technical Strategy
3.13 Prepare Data for Mock Conversions (Data Cleansing, Data Mapping)
4.6 Conduct Security and Privacy Reviews
4.7 Define Roles and User Access
4.8 Configure Systems 
4.9 Design and Develop Interfaces 
4.10 Design and Develop Reports
4.11 Conduct Mock Conversions
4.12 Test Systems and Processes
4.17 Develop and Execute Cutover Plan for Go-Live
5.5 Maintain Applications Post Go-Live
5.6 Decommission Legacy Systems
1.11 Develop Initial Target State Concept of Operations and Scope of Services 1.12 Review Standard Business Capabilities & Document Initial Business Capabilities1.13 Conduct Market Research and Analysis
1.14 Develop Acquisition Strategy 
2.9 Understand As-Is Business Processes
3.14 Finalize Target State Concept of Operations
3.15 Define Contact Center Structure
3.16 Define Service Level Agreements (SLAs)
4.4 Design Target State Processes
5.7 Conduct Continuous Process Improvement
5.8 Manage Integrated Contact Center
5.9 Monitor and Update Service Level Agreements (SLAs)
Progress Review
Phase 1: Readiness



Program Management



Workforce, Organization, & Stakeholders





Technology



Process & Service Delivery
*An agile approach should be adopted for Phase 4.
Responsible Party:            Customer             QSMO             Provider             Shared
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How to Read an Activity Description
Objective:
Provides the overall objective of the activity

Activities:
Describes the step-by-step activities that the program team should conduct in order to achieve the intended objective
Inputs:
Lists inputs that will be needed to conduct the activities

Outputs:
Lists the required outputs at the end of the activities
Responsible Party: Indicates the party/parties responsible for the activity as denoted by the letter at the end of each activity
Stakeholders:
Describes who is typically involved in the activities
Best Practice:
Provides best practice from previous migrations for consideration as activities are conducted
Workstreams:
Indicates the workstream in which the activity occurs: PMO (dark green), Change Management (light blue), Technology (light green), or Process & Service Delivery (dark blue)
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Frequently Used Terms
Input
A document (usually created in a prior activity), or an event required by that process before a process proceeds
Output 
A document, or event that is produced by an activity to facilitate robust planning and migration activities
Exit Outcome
An outcome that should be achieved by the time a phase is complete
Template
A document that contains required fields and details for an output
Progress Review Discussions
A summary presentation that must be submitted at the end of a phase progress review with key components to inform risk review and budget/funding decisions for the migration 
Best Practice
Recommended actions for specific activities derived from successful migrations and lessons learned. Includes guidance on the content development of specific documentation when not using a template
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Phase 0: Assessment
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Program 
Management
Workforce, Organization, & Stakeholders
Technology
Process & Service 
Delivery
0.1 Define Vision 
0.2 Develop Project Business Case



Phase 0 Summary and Documentation
Exit Criteria (to Move to Phase 1) 
In-Scope Service Area(s) and Function(s)
Steering Committee Review of Project Business Case
Vision Statement, Expected Benefits, and High Level Timelines
Phase 0 Documentation
Investment Readiness Checklist
Project Business Case
Vision Statement

Navigate to OMB CPIC Guidance to complete the Project Business Case by clicking here.
Information Contained in Review Discussion (if necessary)
In-Scope Service Area(s) and Function(s)
Vision Statement
Objective: 
Fulfill requirement to submit capital planning investments though Capital Planning and Investment Control (CPIC) process with required additional information.
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. Agencies purchasing transaction processing services only will identify relevant activities and examples for their project using the M3 Services Tailoring Guide.
Phase 0: Assessment
Activities
Examples:
For sample documentation from previous modernizations and migrations, please go to M3 Examples MAX Page. 
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Responsible Party:            Customer             QSMO             Provider             Shared
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Program Management0.1 Define Vision 
Objective: Define vision and objectives for the Modernization or Migration to Common Solution.
Activities
Conduct an organizational review assessing current state analysis to identify potential areas for a modernization or migration effort (C)
Determine optimal path for modernization or migration effort; keeping services in-house or moving to an external shared service solution (look to the Embarking On Shared Services Strategies Tool) (C)
Create Vision Statement and Objectives of modernization or migration (C)
Identify in-scope service area(s) provided through the Federal Integrated Business Framework (FIBF) website (e.g. financial management, human capital, acquisition, grants management, travel) (C)
Identify in-scope function(s) from service area list provided through FIBF website (C)
Begin to define Scope of Services (i.e. modernizing to shared system, migrating to shared transaction processing service(s), or both) (C)
Conduct initial market research with QSMOs to identify what currently exists in the QSMO Marketplace (C), (Q)
If no previous engagement has occurred, coordinate with QSMOs for costing information, additional detail, and Investment Action Planning (IAP) discussions (C) 
Define Expected Benefits from the Service and/or System being acquired (C)
Determine High Level Timelines for modernization or migration (C)
Outputs
Vision Statement
In-scope Service Area(s) and Function(s) 
Expected Benefits
High Level Timelines
Best Practice
Leverage an outside group for facilitation of visioning session with organization executives. Consider contacting ussm.m3@gsa.gov for facilitation services
Define the following if hosting a visioning session with key stakeholders: vision statement and objectives, identify which service areas will be migrated to a common solution, identify functions available through the FIBF, expected benefits from the Service and/or System being acquired, and high level timelines
To help prepare and facilitate a visioning session, the following documents can be utilized: search “Establish or Update your Vision Statement” on pic.gov to define vision, leverage the Goal Playbook to create goals or search “Set or Revise Goals” on pic.gov, and search “Outcomes Matrix” on pic.gov to help define the end state
For a cloud migration, consider contacting GSA’s Data Center Optimization Initiative (DCOI) at dcoi@gsa.gov and reviewing the following resources in MAX: “Cloud Readiness: Preparing Your Agency for Migration”, “Key Cost Considerations for Agencies Planning Cloud Migration”, “DCOI PMO IaaS Considerations for the Data Center Community”
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Stakeholders
Executive Sponsor (C)
Organization Executives (CXOs) (C)
Program Manager (C)
PMO Lead, if on-boarded (C)
QSMO (Q)
Inputs
Government-wide Standards defined through the FIBF website
Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared



Program Management0.2 Develop Project Business Case
Objective: Develop the Project Business Case for funding.
Activities
The M3 Playbook uses the overarching term “Project Business Case” to describe any business case (Major IT, Services, Minor IT, etc.). For a Major IT Investment, click here for guidance. For all other efforts, navigate to the M3 Examples MAX Page and select a business case that best resembles your agency's effort as a guide. Complete the following steps regardless of the investment type:
Conduct high-level Alternatives Analysis to gather preliminary information needed for the Project Business Case (C)
Populate the Project Business Case with Activity 0.1 Outputs: Vision Statement, Scope of Services, Expected Benefits, High Level Timelines, and regularly engage with QSMOs throughout Project Business Case development (C)
Identify preliminary investment information based on the migration or modernization effort with criteria listed in the Project Business Case (C)
Identify preliminary estimated life cycle cost for this investment (C)
Identify preliminary activities that are performed to achieve the outcome of each project (C)
Identify preliminary risks to each project’s success (C)
Identify preliminary performance targets and results for evaluating operations. (C)
Populate the Project Business Case with preliminary information (C)
Internal Steering Committee review of Project Business Case (C)
Populate the Investment Readiness Checklist (C)
Stakeholders
Executive Sponsor (C)
Organization Executives (CXOs) (C)
Program Manager (C)
PMO Lead, if on-boarded (C)
Functional SME (C)

Inputs
Vision Statement
In-scope Service Area(s) and Function(s) 
Expected Benefits
High Level Timelines
Government-wide Standards defined through the Federal Integrated Business Framework (FIBF) website
Capital Planning and Investment Control (CPIC) Guidance
Outputs
Project Business Case
Investment Readiness Checklist
Best Practice
Use existing performance metric data to assist in identifying performance targets (e.g. previous Federal Benchmarking results, Customer Satisfaction Surveys, Shared Service Survey, etc.). Consider contacting ussm.m3@gsa.gov for assistance researching agency specific and government-wide results
Operational performance metrics should seek to answer more subjective questions in the specific areas of: Customer Satisfaction, Strategic and Business Results, Financial Performance, and Innovation 
All projects should have a business case. However, the Major IT Business Case is not required where no major IT acquisition and no capital assets are being procured 
Use the Investment Readiness Checklist throughout Phase 1 to verify that the correct information is included in the Project Business Case and pinpoint any missing information
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Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared

Phase 1: Readiness
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Phase 1 Summary and Documentation
 Exit Criteria (to move into Phase 2)
Acquisition Strategy
Baseline and Target Performance Success Metrics Defined; Aligned with Performance Framework
Change Management Strategies Defined
Completed Business Readiness Assessment
Completed Project Business Case
Confirmed Alignment of Business Capabilities against FIBF
Data Quality Assessed
Initial Master Schedule Defined
Initial QSMO Marketplace Research Conducted
Investment Readiness Checklist
LCCE Developed
Mitigation Plans in Place for Major Risks/Issues
PMO and Governance Structure Defined
Resources On-Boarded
Risks and Issues Management Defined
Information Contained in Progress Review Discussion
Acquisition Strategy
Baseline and Target Performance Success Metrics Defined
Business Capabilities
Business Readiness Assessment
Change Management and Communications Approach
Data Management/Data Quality Approach
Initial Master Schedule Overview
Investment Readiness Checklist
IV&V Plan
LCCE
Market Research
M3 Risk Assessment Tool
Program Governance Model
Project Business Case
Resource Management Plan
Scope of Services Overview
Top Risks
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 throughout Phase 1 and is used to inform the Phase 1 Progress Review discussion: the M3 Services Tailoring Guide for transaction services, Investment Readiness Checklist, Business Readiness Assessment, and Project Business Case.
Phase 1 Documentation
Acquisition Strategy 
As-Is Systems Environment  
As-Is Workforce Documentation 
Baseline and Target Performance and Success Metrics
Business Capabilities
Business Needs Workbook 
Business Readiness Assessment
Change Management Plan 
Change Readiness Assessment
Communications Plan
Data Cleansing Plan 
Data Governance Model 
Governance Plan
Independent Verification & Validation (IV&V) Plan
Initial Master Schedule 
Investment Readiness Checklist
Life Cycle Cost Estimate (LCCE) 
M3 Risk Assessment Tool
Migration and O&M training needs
Program Charter
Program Management Plan
Project Business Case
Quality Assurance Surveillance Plan (QASP)
Requirements Management Plan
Resource Management Plan
Risk Management Plan
Risks, Actions, Issues, and Decisions (RAID) Log
Stakeholder Analysis
Status Reports/Dashboard
Target State Concept of Operations
Target State Systems Environment 
Workforce Assessment 
Examples:
For sample documentation from previous modernizations and migrations, please go to M3 Examples MAX Page.  
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Responsible Party:            Customer             QSMO             Provider             Shared
Program 
Management
Workforce, Organization, & Stakeholders
Technology
Process & Service 
Delivery
1.1 Conduct a Business Readiness Assessment 
1.2 Establish Initial Customer Program Management Office (PMO) Processes
1.3 Establish Customer Governance Structure and Processes
1.4 Establish Customer Risk Processes 
1.5 Develop Life Cycle Cost in the Business Case
1.6 Define Target Performance Metrics
1.7 Define Change Management Approach
1.8 Define Stakeholders and Develop Communications Plan
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 and Document Initial Business Capabilities
1.13 Conduct Market Research and Analysis 
1.14 Develop Acquisition Strategy
Phase 1: Readiness
Activities
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Program Management1.1 Conduct a Business Readiness Assessment
Activities
Review shared Vision Statement and Objectives of modernization or migration effort from Phase 0 (C)
Assess the agency's existing solution by documenting its high-level capabilities, offerings, challenges, and limitations (C)
Define the target operational end state and draft desired high-level business requirements (C)
Identify gaps in business needs between the existing solution and target end state (C)
Brainstorm methods to close identified business need gaps (C)
Update Business Readiness Assessment template (C)
Inform QSMOs of Business Readiness Assessment results (C)
Update the Project Business Case with Business Readiness Assessment results (C)
Populate the Investment Readiness Checklist (C)

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Inputs
Project Business Case
Vision Statement
Stakeholders
Executive Sponsor (C)
Program Manager (C)
PMO Lead (C)
PMO Team, if on-boarded (C)

Outputs
Business Readiness Assessment
Best Practice
Reference past Annual Readiness Assessment Reports, available on the Data to Decisions (D2D) website, to help perform the gap analyses
Clearly articulate the Vision, Objectives, and strategic intent of modernization or migration effort
Host a working session to ensure all major stakeholders understand the identified gaps in business needs
Establish how this effort aligns to current initiatives that are underway
Establish a shared vision with a sense of urgency based on data
Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
Objective: Conduct a Business Readiness Assessment to identify gaps between the agency’s existing solution and target end state and manage stakeholders in the process.



Program Management1.2 Establish Initial Customer Program Management Office (PMO) Processes
Activities
Onboard PMO lead and team to support Phase 1 activities (C)
Develop Program Charter (C)
Develop Resource Management Plan (including PMO roles and responsibilities) (C)
Develop Program Management Plan (including risk, acquisition, cost, communications/stakeholder, and quality) (C)
Develop Initial Master Schedule for Phases 1 and 2 activities  (C)
Develop Independent Verification & Validation (IV&V) Plan (C)
Execute onboarding/off boarding activities as defined within the Resource Management Plan (C)
Begin executing against Program Management Plan (C)
Manage schedule weekly by updating activities, dates, duration, and dependencies in conjunction with activity owners (C)
Develop Status Report/Dashboard and report on schedule, issues, and risks (C)
Update the Project Business Case (C)
Populate the Investment Readiness Checklist (C)
Inputs
Project Business Case
Vision Statement
Best Practice
Establish the necessary PMO structure, staff, and processes upfront as it will set the stage for the remainder of the migration
Maintain the same key personnel throughout the program 
Develop Program Charter with a defined scope upfront based on the agreed upon vision; the Initial Master Schedule should be flexible and closely monitored for necessary updates
Align program resources in the Initial Master Schedule to the Resource Management Plan and Acquisition Strategy. Develop work breakdown structure (WBS), critical path, schedule management process, and identify dependencies 
Agencies purchasing transaction processing services only should use the M3 Services Tailoring Guide to identify M3 activities and outputs relevant to their project
Develop IV&V Plan to independently and proactively identify risks, define reporting structure, integrate governance processes, and establish procedures to incorporate findings
Clearly articulate goals and objectives that capture the “why” of the change and a high level statement of future activities
Stakeholders
Executive Sponsor (C)
Program Manager (C)
PMO Lead (C)
PMO Team, if on-boarded (C)


Outputs
Program Charter
Resource Management Plan
Program Management Plan 
Initial Master Schedule 
IV&V Plan 
Status Reports/Dashboards 
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Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
Objective: Establish a customer PMO structure as well as supporting PMO processes to manage and oversee program activities.



Program Management1.3 Establish Customer Governance Structure and Processes
Activities
Identify or create customer governance bodies that will participate in the program and integrate with broader governance structures (C)
Assign a designated point of contact to serve as the QSMO Liaison (C)
Define governance authority, roles, and responsibilities for oversight, management decision-making, and risk/issue escalation procedures (C)
Establish regular meeting cadence and reporting timelines for Phases 1 and 2 (C)
Develop Governance Plan (C) 
Begin executing against Governance Plan (C)
Escalate decisions, risks, and issues to governance bodies for decision making and issue resolution (C)
Hold regular governance meetings to review progress and address escalated decisions, risks, and issues (C)
Update the Project Business Case (C)
Populate the Investment Readiness Checklist (C)

Stakeholders
Executive Sponsor (C)
Business Owner (C)
Program Manager (C)
PMO Lead (C)
PMO Team (C)
Functional Lead (C)
Technical Lead/Solution Architect (C)
Change Management Lead (C)

Outputs
Governance Plan
Inputs
Project Business Case
Program Management Plan
Existing Governance Bodies within Customer Organization
Best Practice
Develop internal governance model at the beginning of the migration to make decisions in alignment with the objectives and goals of the program
Obtain buy-in from internal organizations early on to establish collaboration throughout the migration; obtain buy-in from executives, managers, and line personnel as stakeholders and Subject Matter Experts (SMEs)
Encourage decisions to be made at the lowest possible level, while allowing elevation of important or contentious issues through the governance model
Incorporate a variety of stakeholders, including the governance and transition team, in the development of the agency vision
Ensure that leadership within the governance structure is able to make all necessary decisions with regard to financing and direction
Assign a QSMO Liaison as a designated point of contact to increase efficiency
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Objective: Develop a governance structure that establishes program activity ownership and decision making authority for the customer throughout the migration.

Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared

Program Management1.4 Establish Customer Risk Processes 
Objective: Establish a Risk Management Plan and supporting processes to identify risks and develop risk mitigation plans throughout the migration.

Activities
Develop risk management processes and associated roles and responsibilities for identifying and mitigating risks in the Risk Management Plan (C)
Develop and employ mitigation strategies continuously throughout Phase 1 (C)
Maintain and update Risks, Actions, Issues, and Decisions (RAID) Log with new risks, changes to existing risks, and status of risk management activities continuously at a minimum of every two weeks throughout Phase 1 (C)
Report on new risks/issues and ongoing risk/issue mitigation activities in governance meetings and Status Reports/Dashboards (C) 

Update Risk Management Plan as necessary (C)
Document Action Items and Decisions in the RAID log (C)
Perform Risk Assessment (C)
Update the Project Business Case (C)
Populate the Investment Readiness Checklist (C)

Inputs
Program Charter
Governance Plan
Program Management Plan 
Initial Master Schedule
Project Business Case

Stakeholders
Executive Sponsor (C)
Business Owner (C)
Program Manager (C)
Risk Manager (C)
PMO Lead (C)
PMO Team (C)
Outputs
Risk Management Plan
RAID Log
M3 Risk Assessment Tool
Status Reports/Dashboards 
Best Practice
Identify roles and responsibilities for risk management early on and establish a risk manager to coordinate all risk management activities throughout the program
Train migration team members on how to identify and document risk mitigation plans and how to escalate and communicate to leadership effectively
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Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared

Program Management1.5 Develop Life Cycle Cost in the Business Case
Activities
Develop Life Cycle Cost Estimate (LCCE) based on information gained in previous activities (e.g., requirements gathering, acquisition decisions, risk mitigation, scope of services) and reasonableness and affordability (C)
Develop LCCE for all future phases (C) 
Compare actual spending with budget and adjust LCCE as needed (C)

Report changes to program costs and actual spending in governance meetings and Status Reports/Dashboards (C) 
Update the Project Business Case (C)
Populate the Investment Readiness Checklist (C)

Inputs
Project Business Case 
Scope of Services  
Best Practice
Plan multi-year budget requests through life cycle cost analyses based on expected scope and operational impacts of releases 
Provide LCCE at the work breakdown structure (WBS) product or activity level, breakout costs as recurring/non-recurring (e.g., migration and Operations and Maintenance costs), align budget estimates and other required investment documentation (e.g., E300) to the LCCE, and receive final approval from the Executive Sponsor
LCCE examples are available on the M3 Example MAX Page
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Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
Objective: Develop the estimated costs of a migration based on the customer Scope of Services requirements to manage and plan budgetary needs.

Stakeholders
Executive Sponsor (C)
Program Manager (C)
PMO Lead (C)
PMO Team (C)
Budget or Financial Analyst (as needed) (C)

Outputs
LCCE 
Status Reports/Dashboards 

Program Management1.6 Define Target Performance Metrics
Activities
Understand government-wide shared services performance goals and strategic drivers based on the objectives of the program (C), (Q)
Understand strategic drivers based on the objectives of the program (C), (Q)
Identify and document metrics to measure outcomes of the program against government-wide shared services performance goals and strategic drivers (C), (Q)
Set baselines for current state performance metrics and define success targets expected to be achieved after completion of the program (C)
Develop reporting mechanism, in coordination with the guidance set forth in the QSMO Performance Management Framework, and timeline to report on metrics after migration Go-Live (C), (Q)
Update the Project Business Case (C)
Populate the Investment Readiness Checklist (C)

Inputs
Organization Strategic Goals and Objectives
Government-wide Shared Services Strategic Goals and Objectives 
Project Business Case
Best Practice
Set defined performance and success metrics (including a combination of compliance, process, and workload measures to define baselines and target metrics) at the beginning of the program to be able to measure and communicate the benefits intended, and ultimately achieved, by the program
Benchmark Key Performance Indicators (KPIs) against internal and external standards and use existing performance metric data to assist in identifying performance targets (e.g. previous Federal Benchmarking results, Shared Services Customer Satisfaction Surveys, etc.). Consider contacting ussm.m3@gsa.gov for assistance researching agency specific and government-wide results
In most cases greater efficiencies are achieved, but short-term cost reductions are not. With the introduction of greater amounts of IT support however, substantial savings are realized in the longer term
Stakeholders
Business Owner (C)
Executive Sponsor (C)
Program Manager (C)
PMO Lead (C)
PMO Team, if on-boarded (C)
QSMO (Q)
Outputs
Baseline and Target Performance Success Metrics
1-8
Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
Objective: Define the programs target performance metrics based on the strategic objectives of the organization.

Workforce, Organization & Stakeholders1.7 Define Change Management Approach
Objective: Assess the organization’s readiness for change to inform the change management approach and strategies. Determine the as-is workforce of the customer organization to understand how the migration will impact the organization. 


Inputs
Vision Statement
Project Business Case
Current Organization Structure
Position Descriptions 
Best Practice
Confirm the accuracy of the organization structures based on the records maintained by first level managers and the customer Human Capital office
A Change Readiness Assessment involves the periodic assessment of how stakeholders are responding or engaging with the change. Note this is not a one-time assessment. If an organization’s leadership and management are driving the change in a modeled way, then they should see changes in readiness scores as the change process approaches
Industry standards and change management best practices provide multiple change models that can be harnessed based on preference or organizational needs (e.g., Prosci, Prosci’s ADKAR Change Model, Kotter, Lewin’s Change Model) 
Change management’s end goal is shifting the organization from a state of resistance to acceptance. Utilize the Change Curve to better understand the stages of individual transition and organizational change. Top level leadership commitment and active support for the change effort drives the most impact when implementing any change
Stakeholders
Business Owner (C)
PMO Team (C)
Change Management Lead (C)
Workforce Lead (C)
Outputs
As-Is Workforce Documentation
Current Organization Structure
Initial Change Readiness Assessment
Change Management Plan
Workforce Assessment
Status Reports/Dashboards 

Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
Activities
Conduct a Workforce Assessment by documenting as-is organization structure, skills, capabilities, and workload (C)
Validate As-is Workforce and Workload Documentation with customer organization managers (C)
Conduct an initial Change Readiness Assessment (C) 
Based on initial Change Readiness Assessment, identify initial key Change Management initiatives, strategies, and approaches to guide the as-is organization through the change (C) 
Report updates in governance meetings, Status Reports/Dashboards, and to QSMOs (C) 
Update the Project Business Case (C)
Populate the Investment Readiness Checklist (C)
1-9

Workforce, Organization & Stakeholders1.8 Define Stakeholders and Develop Communications Plan
Objective: Conduct a thorough stakeholder analysis to understand all impacted organizational groups including the most appropriate ways to communicate with each group. Develop a detailed and comprehensive communications plan.
 
Activities
Conduct Stakeholder Analysis to identify all stakeholders that will potentially be affected (C)
Develop an initial Communications Plan including audience, purpose, delivery methods, and timeline considerations (C) 
Document migration and Operations and Maintenance (O&M) training needs to inform the Target State Concept of Operations and Initial Scope of Services (C) 
Create a feedback mechanism to collect input from stakeholders throughout the program (C)
Update the Project Business Case (C)
Populate the Investment Readiness Checklist (C)
Inputs
As-Is Workforce Documentation
Current Organization Structure
Change Readiness Assessment
Change Management Plan
Project Business Case

Best Practice
The Stakeholder Analysis is necessary to strategically and proactively communicate and involve stakeholders in change management activities, which will improve stakeholder engagement, reduce risk, and remove barriers to migration
Incorporate change management strategies and approaches, as applicable, directly into communications planning (e.g., targeted email campaigns, leadership brown bags)
Include Communications Lead early in the process and consider Communications Lead’s roles throughout the entire process
Provide frequent, early, and as close to real-time audience targeted communication updates throughout the process. Communications may need to account for a union presence, reach out internally within the agency to determine appropriate handlings
Communicate the value and benefits of migration and business process changes to the larger workforce after the business case and throughout the implementation
Stakeholders
PMO Team (C)
Change Management Lead (C)
Communications Lead (C)
Outputs
Stakeholder Analysis 
Communications Plan
Migration and O&M training needs
Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
1-10

Technology1.9 Define As-Is and Initial Target State Systems Environments
Objective: Understand and validate the As-is Systems Environment, including applications, interfaces, data management, and security needs, and draft the initial high-level Target State Systems Environment. 
 
Activities
Understand the As-is Systems Environment 
Validate as-is application landscape (C)
Validate as-is interface inventory (C)
Validate IT architecture (C)
Validate data flows (C)
Update the Project Business Case (C)
Populate the Investment Readiness Checklist (C)

Define Initial Target State Systems Environment as part of the Initial Scope of Services desired from the migration
Determine functionality and systems to migrate to the provider and those that will be retained (C)
Identify required business intelligence capabilities against the Federal Integrated Business Framework (FIBF) and legacy data management strategy to support reporting needs (C) 
Identify required interfaces based on mandatory organization activities (C)
Document the initial capabilities to be included in the Initial Target State Concept of Operations (C)
Update the Project Business Case and begin filling out the Business Needs Workbook (C)
Populate the Investment Readiness Checklist (C)

Inputs
Vision Statement 
Project Business Case
Existing Enterprise Architecture Documents & System Specifications
Best Practice
Begin with the current systems architecture and specification documents to understand as-is systems environment
Assess the data needs for business intelligence capabilities between mission and mission-support systems
Assess current capabilities to help determine whether the capability should be developed internally or migrated to the provider
Use the Business Needs Workbook to document and prioritize target systems/services including performance capabilities for implementation based on customer’s prioritization 

Stakeholders
Business Owner (C)
Program Manager (C)
Functional Lead (C)
Technical Lead/Solution Architect (C)
Interface Lead (C)
Functional SME (C)
Technical SME (C)
Outputs
As-Is Systems Environment  
Target State Systems Environment 
Target State Concept of Operations

Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
1-11

Technology1.10 Plan and Conduct Initial Data Quality Assessment
Activities
Develop Data Governance Model to include the approach, process, roles and responsibilities, criteria/metrics (C)
Determine criteria for assessing data quality (C)
Conduct Data Quality Assessment, including master and transactional data (C)
Identify data issues (e.g. duplication, missing data, incorrect data) based on the assessment and prioritize data cleansing needs (C)
Develop a Data Cleansing Plan based on the prioritization (C)
Report updates in governance meetings and Status Reports/Dashboards (C) 
Begin initial data cleansing (C)
Update the Project Business Case (C)
Populate the Investment Readiness Checklist (C)


Inputs
Existing System Data Dictionaries
Existing Data Quality Assessments
Functional Specifications
Project Business Case
Best Practice
It is critical to success to begin data cleansing activities well before migration activities begin and continuously throughout the implementation to assist with data readiness
Define and establish the framework for the overall management of the availability, usability, integrity, and security of data in the Data Governance Model
Assign dedicated resources for data cleansing activities to ensure successful migration
Gain agreement on data governance including metadata management and data quality management
Allocate a sufficient number of Subject Matter Experts (SMEs) with the appropriate skill sets to support data conversion activities throughout the implementation
Establish criteria and metrics through the Data Governance Model on what threshold constitutes “clean” data. Outline the course of actions to cleanse data in legacy systems or staging area to prepare it for migration to the provider system in the Data Cleansing Plan
Stakeholders
Business Owner (C)
Program Manager (C)
Functional Lead (C)
Technical Lead/Solution Architect (C)
Data Conversion Lead (C)
Data SME (C)
Outputs
Data Governance Model 
Data Cleansing Plan 
Status Reports/Dashboards 
Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
1-12
Objective: Develop initial data governance approach and conduct initial data quality assessment and cleansing plan.




Process and Service Delivery1.11 Develop Initial Target State Concept of Operations and Scope of Services 
Objective: Define which processes and service layers are desired to be migrated to the provider versus retained to understand the Target State Concept of Operations and identify initial performance requirements.

.
Activities
Review Vision Statement (C)
Understand the as-is operating model including people, process, organization, and systems (C) 
Validate and update as-is operating model with stakeholders (C) 
Validate the scope of service for Operations and Maintenance (O&M) and Migration (C):
O&M type of support (e.g. seeking transaction processing, system only, or full services)
Additional O&M support services (e.g. help desk, business intelligence, training, surge support) 
Migration support services (e.g. training, data conversion, data clean-up)

Identify major processes that will be performed in the new solution, how users will   interact with the solution, the future state operating model (which processes will be performed where in the future), and how the solution will be supported during 
O&M (C)
Define the Target State Concept of Operations for retained and modernized/migrated systems and processes, which includes the Target State Systems Environment (C)
Report updates in governance meetings and Status Reports/Dashboards (C)
Update the Project Business Case and Business Needs Workbook (C)
Populate the Investment Readiness Checklist (C)
Inputs
Vision Statement
Project Business Case
As-Is Business Process Documentation
As-Is Systems Environment 
Target State Systems Environment  
Migration and O&M Training needs
Business Needs Workbook
Best Practice
Understand which processes should be retained versus migrated
Understand which processes will have to change due to the migration to a shared environment
Document the process taxonomy to determine what will stay, what will go, and what will be migrated 
Define all target systems/services, including expected performance requirements (e.g., estimated services/transaction volumes), performance metrics (i.e. based on the Federal Integrated Business Framework), and prioritized target systems/services for implementation developing prioritization basis for the scope of services for O&M and Migration
Stakeholders
Executive Sponsor (C)
Business Owner  (C)
Program Manager (C)
Functional Lead (C)
Function SME (C)
PMO Lead (C)
PMO Team (C)
Outputs
Target State Concept of Operations
Scope of Services updated in Business Needs Workbook
Status Reports/Dashboards 
1-13
Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared



28

Process and Service Delivery1.12 Review Standard Business Capabilities and Document Initial Business Capabilities
Activities
Review Standard Business Capabilities previously defined by Government-wide Standards working group provided through the Federal Integrated Business Framework (FIBF) website (C)
As needed, document additional capabilities referencing the authoritative source and prioritize must-have versus nice-to-have capabilities against the FIBF capabilities (C)
Identify Business Standards Lead through the FIBF website and discuss additional capabilities identified in step 2 above with the Business Standards Lead (C)
Validate capabilities with Business Owners and perform initial baselining (C)
Report updates in governance meetings and Status Reports/Dashboards (C)
Define requirements and management processes and document in the Requirements Management Plan (C)
Update the Project Business Case and Business Needs Workbook (C)
Populate the Investment Readiness Checklist (C)
Consider steps 1.1 and 1.2 of the Investment Planning Guidance and engage with QSMOs as necessary (C)

Best Practice
Define capabilities within the customer organization before engaging a provider to communicate needs in a consistent manner 
Provide criteria to define mission critical versus nice-to-have capabilities to enable improved provider selection
Provide training to Subject Matter Experts (SMEs) on requirements processes and how to define, communicate, and document mission critical requirements
Obtain a robust requirements management tool or process to manage requirements throughout the migration, including a robust change control process
In Phase 1, customers should not create detailed business requirements for every service, but should instead focus on documenting must-have capabilities not in the FIBF Business 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. Customers and providers will not jointly discuss detailed technical and functional requirements until Phase 3
Stakeholders
Executive Sponsor (C)
Business Owner (C)
Business Standards Lead (C)
Program Manager (C)
PMO Lead (C)
Functional Lead (C)
Technical Lead/Solution Architect (C)
Requirements Lead (C)
Functional SME (C)
Technical SME  (C) 
Outputs
Requirements Management Plan 
Business Needs Workbook
Business Capabilities
Status Reports/Dashboards 
1-14
Objective: Document business capabilities, mission critical, and unique capabilities of the customer organization to support the Business Readiness Assessment.
.
Inputs
Vision Statement
Target State Concept of Operations
Target State Systems Environment
Government-wide Standards Defined through FIBF
Project Business Case
Business Needs Workbook
As-Is Systems Environment
Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared

Process and Service Delivery1.13 Conduct Market Research and Analysis 
Best Practice
Research QSMO Marketplace offerings and available resources/best practices first before exploring other providers
Stakeholders
Executive Sponsor (C)
Business Owner (C)
Program Manager (C)
PMO Lead (C)
Functional Lead (C)
Technical Lead/Solution Architect (C)
Requirements Lead (C)
QSMO (Q)
Outputs
1-15
Objective: Research and engage with QSMOs on available solution offerings within the marketplace and assess the solutions’ ability to meet business, capability, and requirement needs.
Activities
Review the Requirements Management Plan, Business Needs Workbook, Business Capabilities, and Business Readiness Assessment Template from previous activities (C), (Q)
Meet with QSMOs to review business needs and available marketplace solutions (C)
Evaluate whether a QSMO marketplace solution can meet business, capability, and requirements needs (C), (Q) 
If a QSMO solution does not satisfy the needs, work with the QSMO to understand the process and documentation required for developing an Investment Action Plan (IAP) (C), (Q)
Develop a recommendation with supporting rationale from QSMOs for a proposed path forward (C), (Q)
Update the Project Business Case (C)
Populate the Investment Readiness Checklist (C)
Inputs
Requirements Management Plan 
Business Needs Workbook
Business Capabilities
Business Readiness Assessment
Project Business Case

Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared

Process and Service Delivery1.14 Develop Acquisition Strategy 
Objective: Develop approach and plan to procure products and services for customer planning and to support activities for which customer is responsible throughout the migration.


Activities
Define acquisition needs and associated timelines for the program which may include support for program management, change management, business process reengineering, data management, interface development, and integration (C)
Collaborate with category manager to identify Acquisition Strategy (C)
Coordinate with QSMOs to obtain Acquisition Strategy templates (e.g. Statements of Work) and other relevant Acquisition Strategy documentation, if available (C)
Develop a plan that documents the approach for program acquisition for support services as well as provider migration and operations and maintenance (O&M) (C) 
Develop Quality Assurance Surveillance Plan (QASP) and approach to monitor metrics and performance of provider during the migration (C)
Begin developing Requests for Proposals (RFPs) utilizing the Federal Integrated Business Framework (FIBF) standards, Requests for Quotes (RFQs), and Performance Work Statements (PWSs) to procure support or other services for activities the customer will be performing (C)
Obtain contract support through Phases 1 and 2 (C)
Report changes to Acquisition Strategy in governance meetings and Status Reports/Dashboards (C) 
Update the Project Business Case and submit for funding (C)
Complete the Investment Readiness Checklist (C)
Inputs
Program Charter  
Governance Plan
Program Management Plan
Life Cycle Cost Estimate (LCCE) 
Project Business Case

Best Practice
Identify personnel with critical skill sets and align them with specific program activities; bring on Subject Matter Experts (SMEs) and information technology (IT) personnel early to ensure a successful migration in later phases
Define people, budget, and contracts before beginning implementation activities; align activities to specific resources in the Initial Master Schedule
Map the agency system development life cycle (SDLC), if existent, to the M3 framework to identify appropriate agency documentation and templates that can be adapted to the M3 framework in order  to minimize re-work
When developing an Acquisition Strategy, align all program acquisitions with the Resource Management Plan, define scope and period of performance for each contract, integrate Contracting Officer’s Representative (COR), and define types of contracts and acquisition methods for all planned program acquisitions
Follow FAR and any internal agency processes (e.g. FAR 7.105, Acquisition Strategy, written plans)
Stakeholders
Executive Sponsor (C)
Business Owner (C)
Program Manager (C)
PMO Lead (C)
PMO Team (C)
Contracting or Procurement Officer (as needed) (C)

Outputs
Acquisition Strategy 
QASP
Status Reports/Dashboards 
Investment Readiness Checklist
Completed Project Business Case

Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
1-16

Exit Criteria (to move into Phase 2)
Acquisition Strategy
Baseline and Target Performance Success Metrics Defined; Aligned with Performance Framework
Change Management Strategies Defined
Completed Business Readiness Assessment
Completed Project Business Case
Confirmed Alignment of Business Capabilities against FIBF
Data Quality Assessed
Initial Master Schedule Defined
Initial QSMO Marketplace Research Conducted
Investment Readiness Checklist
LCCE Developed
Mitigation Plans in Place for Major Risks/Issues
PMO and Governance Structure Defined
Resources on-boarded
Risks and Issues Management Defined
Documentation Required for Phase 1 Progress Review
The following documentation is developed throughout Phase 1 and is used to inform the Phase 1 Progress Review discussion. The M3 Services Tailoring Guide for transaction services, Investment Readiness Checklist, Business Readiness Assessment, and Project Business Case.
Information Contained in Progress Review Discussion
Acquisition Strategy
Baseline and Target Performance Success Metrics Defined
Business Capabilities
Business Readiness Assessment
Change Management and Communications Approach
Data Management/Data Quality Approach
Initial Master Schedule Overview
Investment Readiness Checklist
IV&V Plan
LCCE
Market Research 
M3 Risk Assessment Tool
Program Governance Model
Project Business Case
Resource Management Plan
Scope of Services Overview
Top Risks





Phase 1 Documentation
Acquisition Strategy 
As-Is Systems Environment  
As-Is Workforce Documentation 
Baseline and Target Performance and Success Metrics
Business Capabilities
Business Needs Workbook 
Business Readiness Assessment
Change Management Plan 
Change Readiness Assessment
Communications Plan
Data Cleansing Plan 
Data Governance Model 
Governance Plan
Independent Verification & Validation (IV&V) Plan
Initial Master Schedule 
Investment Readiness Checklist
Life Cycle Cost Estimate (LCCE) 
M3 Risk Assessment Tool
Migration and O&M training needs
Program Charter
Program Management Plan
Project Business Case
Quality Assurance Surveillance Plan (QASP)
Requirements Management Plan
Resource Management Plan
Risk Management Plan
Risks, Actions, Issues, and Decisions (RAID) Log
Stakeholder Analysis
Status Reports/Dashboard
Target State Concept of Operations
Target State Systems Environment 
Workforce Assessment 
1-17
32

Phase 2: Selection
2-1
33

Phase 2 Summary and Documentation
 Exit Criteria (to move into Phase 3)
Business Needs Workbook
Communications to Stakeholder Delivered
Data Cleansing Commenced
Initial Master Schedule Updated
LCCE
Mitigation Plans in Place for Major Risks/Issues
Provider Agreement
Provider Selected
Staffing Plan Ready for Execution
Information Contained in Progress Review Discussion
Acquisition Strategy
Business Needs Workbook
Change Management and Communication Approach
Data Management/Data Quality Approach
Decommission Plan
Initial Master Schedule Overview
Labor Relations Strategy
LCCE
M3 Risk Assessment Tool
Provider Agreement
Provider Selection Summary
Request for Proposal (RFP) (Commercial Only)
Resource Management Plan Overview (Provider)
Resource Management Plan Update (Customer)
Scope of Services Overview
Top Risks 
Objective:
Conduct due diligence to identify and select the provider based on requirements and initial target end state.
Phase 2 Documentation:
The following documentation is developed during Phase 2 and is used to inform the Phase 2 Progress Review discussion. Agencies purchasing transaction processing services only will identify relevant activities and examples for their project using the M3 Services Tailoring Guide.
Phase 2 Documentation
Acquisition Strategy
Business Needs Workbook 
Business Process Reengineering Strategy
Change Management Plan 
Change Readiness Assessment
Communications Plan 
Cost Estimates
Data Cleansing Plan
Data Cleansing Scripts
Decommission Plan
Governance Plan
Implementation Approach/Schedule
Independent Verification and Validation (IV&V) Plan 
Initial Master Schedule 
Labor Relations Strategy
Life Cycle Cost Estimate (LCCE) 
M3 Risk Assessment Tool
Program Management Plan
Provider Agreement
Provider Assessment Report (Federal Only)
Request for Proposal (RFP) (Commercial Only)
Resource Management Plan 
Risk Management Plan 
Risks, Actions, Issues, and Decisions  (RAID) Log 
Stakeholder Analysis
Status Reports/Dashboards 
Target State Concept of Operations
Validated As-Is Process Maps 
Examples:
For sample documentation from previous modernizations and migrations, please go to M3 Examples MAX Page.  
2-2
Responsible Party:            Customer             QSMO             Provider             Shared
Program 
Management
Workforce, Organization, & Stakeholders
Technology
Process & Service 
Delivery
2.1 Select Provider for Engagement
2.2 Update Life Cycle Cost Estimate (LCCE) 
2.3 Monitor and Control Program Execution
2.4 Maintain and Execute Risk Processes
2.5 Design Labor Relations Outreach
2.6 Solidify Change Management Plan
2.7 Conduct Initial Data Cleansing Activities
2.8 Develop a Decommission Plan
2.9 Understand As-Is Business Processes
Phase 2: Selection
Activities
34

Program Management2.1 Select Provider for Engagement 
Objective: Customers will select the appropriate path forward, evaluate the capabilities of potential providers, and providers will help determine the fit of a potential customer-provider engagement. 
Inputs
Scope of Services 
Business Capabilities
Target State Concept of Operations
Business Needs Workbook
Acquisition Strategy 
QASP

Outputs
Business Needs Workbook
Implementation Approach/Schedule
Cost Estimates
Investment Action Plan (if applicable)
Provider Assessment Report (Federal Only)
Provider Agreement (IAA, if Federal )
RFP (Commercial Only)
Stakeholders
Executive Sponsor (C)
Business Owner (C)
Program Manager (C, P)
Functional Lead (C, P)
Functional SME (C, P)
Technical Lead/Solution Architect (C, P)
Technical SME (C, P)
Managing Partner/Service Area Sponsor (Service Area)
QSMO (Q)
Activities
Select the proposed path forward within the QSMO Marketplace (C), (Q)
Exception: If no marketplace exists or marketplace solutions do not meet the need, proceed to Step 2: Investment Action Plan (IAP) in the Investment Planning Guidance (C), (Q)
Complete Business Needs Workbook on requested services (C)
Potential providers complete Business Needs Workbook on provided services if not already captured in the QSMO Marketplace (P)
Develop the Implementation Approach, proposed schedule, and cost estimate (C)
Commercial Shared Services Providers (CSSP)
For a CSSP, draft Request for Proposal (RFP) in accordance with QSMO task order review guidance for M3 Phase 3 with optional tasks for M3 Phases 4 and 5, and review with QSMO prior to releasing for commercial providers to respond (C), (Q)
Issue RFP, assess responses and select provider (C), (Q)
Select provider, negotiate, finalize, and sign Provider Agreement (C), (P), (Q)
Federal Shared Services Providers (FSSP) 
For a FSSP, develop a Provider Assessment Report (C)
Select provider and develop, negotiate, and finalize Provider Agreement (Interagency Agreement [IAA]) (C), (P), (Q)
Sign Provider Agreement (IAA) (C), (P), (Q)
Best Practice
Include use of M3 Playbook in the requirements for the contract with the provider and support contractors in managing project risks
Use previously developed understanding of the target state to populate the Business Needs Workbook 
Use the Business Needs Workbook to facilitate due diligence conversations on the provider’s ability to satisfy those the Federal Integrated Business Framework (FIBF) 
common requirements on which the customer’s environment is based
2-3
Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared

Program Management2.2 Update Life Cycle Cost Estimate (LCCE)
Objective: Update the LCCE of a migration based on Phase 1 and the cost estimates from providers to manage and plan budgetary needs.
Activities
Identify changes required to the Life Cycle Cost Estimate (LCCE) based on cost estimates prepared by providers during Phase 2 including reasonableness and affordability (C)
Compare actual spending with budget for Phase 2 and adjust LCCE as needed (C)
Update LCCE for all future phases (C)

Report changes to projected costs and results of actual spending in governance meetings and Status Reports/Dashboards, informing QSMOs as necessary  (C) 


Inputs
LCCE
Business Capabilities
Target State Concept of Operations
Target State Systems Environment
Cost Estimates from Provider
Scope of Services

Outputs
LCCE 
Status Reports/Dashboards 
Stakeholders
Executive Sponsor (C)
Business Owner (C)
Program Manager (C)
PMO Lead (C)
PMO Team (C)
Budget or Financial Analyst (as needed) (C)
Best Practice
Conduct life cycle cost analyses and incorporate initial migration cost estimates from the provider in order to plan out-year budget needs and requests
Be realistic about when cost savings will be realized by tracking cost and efficiencies achieved during the full implementation of the vision through to the decommissioning of the legacy system
Include direct and indirect costs in estimates
Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
2-4

Program Management2.3 Monitor and Control Program Execution 
Objective: Monitor and report on program progress.
Activities
Manage scope and program performance using Program Management Plan (C)
Manage Initial Master Schedule through weekly updates of activities, dates, duration, and dependencies (C)
Manage costs against the budget (C)
Manage acquisition lifecycle and contract performance against Acquisition Strategy for Phase 2 program support services (C) 
Manage and update Resource Management Plan as resources are on or off boarded or as needs change (C)
Update program management documentation as necessary (C)
Develop and distribute Status Reports/Dashboards (C)
Hold status meetings to monitor status against milestones, issues, risks, and make decisions needed for work-streams, informing QSMOs as necessary (C)
Escalate decisions and issues as needed through Governance bodies (C)
Conduct executive briefings with organization leadership and oversight entities as necessary (C)
Develop and manage Resource Management Plan, Scope of Services overview, and Mitigation Plans (P)
Draft initial program management documentation for Phase 3 Engagement (P)
Best Practice
Implement knowledge management tools that can be leveraged across the program team
Use the Status Reports/Dashboards to focus on metrics that will help the program team and executive sponsor identify whether or not the migration is successful
Inputs
Program Charter 
Program Management Plan
Initial Master Schedule
Independent Verification & Validation (IV&V)  Plan
Resource Management Plan
Governance Plan
Acquisition Strategy 
Outputs
Acquisition Strategy 
Initial Master Schedule 
Resource Management Plan
Program Management Plan
IV&V Plan 
Status Reports/Dashboards 
Stakeholders
Executive Sponsor (C)
Business Owner (C)
Program Manager (C)
PMO Lead (C)
PMO Team (C)
Managing Partner/Service Area Sponsor (Service Area)


Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
2-5

Program Management2.4 Maintain and Execute Risk Processes
Objective: Execute risk management processes to identify and mitigate risks and issues throughout the migration.
Activities
Maintain and update Risk Management Plan, as necessary (C)
Maintain and update Risks, Actions, Issues, and Decisions (RAID) Log with new risks, changes to existing risks, status of risk mitigation activities, and action item resolution and decisions continuously (at a minimum of every two weeks) throughout Phase 2 (C)
Develop and employ mitigation strategies continuously throughout Phase 2 (C)
Report on new risks/issues and ongoing risk/issue mitigation activities in governance meetings and Status Reports/Dashboards, informing QSMOs as necessary (C) 
Perform Risk Assessment (C)

Inputs
Governance Plan 
Risk Management Plan
RAID Log
Best Practice
Hold regular risk management meetings and include risk management in status reporting and escalation procedures
Document risks and issues in RAID Log in order to clearly communicate risks
Stakeholders
Executive Sponsor (C)
Business Owner (C)
Program Manager (C)
Risk Manager (C)
PMO Lead (C)
PMO Team (C)
IV&V Team (C)
Outputs
Risk Management Plan 
RAID Log 
M3 Risk Assessment Tool

Status Reports/Dashboards 
Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
2-6

Objective: Develop a strategy to engage with the unions and establish a relationship with the labor relations and/or unions to understand Collective Bargaining Agreements.
Workforce, Organization & Stakeholders2.5 Design Labor Relations Outreach
Activities
Identify Labor Relation/Union Liaisons within the customer agency (C)

Work with your Labor Relation/Union Liaisons to:
Review Target State Concept of Operations, capabilities, and previously completed Workforce Assessment to identify potential impacts on Collective Bargaining Agreements (C)
Identify what, if any, activities may be dependent on union approval (e.g., impact of implementation) (C)
Develop Labor Relations Strategy to achieve timely and effective negotiations with unions and begin documenting necessary information to communicate to Labor Relations (C)
Engage in communications with union leadership based on Labor Relations Strategy (C)
Report updates in governance meetings and Status Reports/Dashboards, informing QSMOs as necessary (C) 

Inputs
Collective Bargaining Agreements
Stakeholder Analysis
Workforce Assessment
Target State Concept of Operations
Scope of Services
Change Management Plan

Outputs
Labor Relations Strategy
Status Reports/Dashboards 
Stakeholders
Executive Sponsor (C)
Business Owner (C)
Change Management Lead (C)
Labor Relations Leader (C)



Best Practice
Notify unions of changes that may impact bargaining unit employees as well as potential changes of their work
Account for union-related activities in the Initial Master Schedule and building dependencies for change management activities (e.g., communications, training) 
Establish expectations with labor relations and union leadership
Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
2-7

Workforce, Organization & Stakeholders2.6 Solidify Change Management Plan
Activities
Update the Change Readiness Assessment (if necessary) and finalize the Change Management Plan; including the strategies and timeline (C)
Update Communications Plan based on labor relations meetings (C)
Develop and deliver messages based on the Communications Plan (C)
Monitor feedback from stakeholders and adjust Communications Plan (C)
Report updates in governance meetings and Status Reports/Dashboards, informing QSMOs as necessary (C)
Inputs
Labor Relations Strategy
Change Readiness Assessment
Change Management Plan
Communications Plan
Best Practice
Communicate the value/benefits of migrations and business process changes to the larger workforce throughout the program
Identify and describe the people, groups, departments, organizations, business processes, programs, and information technology (IT) systems/infrastructure that will serve as barriers to the change. Describe the ways in which these things will be a barrier to change
Include barriers and understand key stakeholders and how they will react to the migration in the key messages
Ensure all major stakeholders understand and buy in to the shared vision defined in Phase 0 and understand the role they play in the success of the initiative as outlined in the Project Business Case. The shared vision and roles stakeholders play should be reflected in the organization's Strategic Plan and personnel performance appraisals
Stakeholders
Business Owner (C)
Program Manager (C)
Change Management Lead (C)
Communications Lead (C)


Outputs
Change Readiness Assessment
Change Management Plan
Communications Plan
Status Reports/Dashboards 
Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
Objective: Update Change Management Plan based on selected provider and deliver communications to engage stakeholders prior to the migration.
2-8

Technology2.7 Conduct Initial Data Cleansing Activities
Activities
Assess data quality against defined criteria in the Data Cleansing Plan after cleansing activities from previous phase (C)
Update manual and automated cleansing methods as necessary for additional cleansing needs (C)
Conduct additional data cleansing and update Data Cleansing Scripts and batch cycles (C)
Report updates in governance meetings and Status Reports/Dashboards, informing QSMOs as necessary (C) 
Inputs
Data Cleansing Plan
Data Quality Assessment Results 
Best Practice
Begin data cleansing activities prior to migration activities and continuously throughout the implementation to assist with data readiness
Obtain agreement on data governance including metadata management and data quality management
Allocate a sufficient number of Subject Matter Experts (SMEs) with the appropriate skill sets to support data conversion activities throughout the implementation
Establish criteria and metrics to clearly convey what constitutes “clean” data as part of the broader data governance approach
Stakeholders
Business Owner (C)
Program Manager (C)
Functional Lead (C)
Technical Lead/Solution Architect (C)
Data Conversion Lead (C)
Data SME (C)


Outputs
Data Cleansing Plan 
Data Cleansing Scripts
Status Reports/Dashboards 
Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
Objective: Continue cleansing data based upon Data Quality Assessment Results and agreed upon quality metrics in data governance model.
2-9

Technology2.8 Develop a Decommission Plan
Activities
Review and understand contract language of legacy system to determine decommissioning activities, including licensing expirations, contract expirations, options to extend, etc. for both software and infrastructure contracts, and the O&M support contracts (S)
Identify application components  (i.e. classify components to be decommissioned such as testing or production environments, systems user IDs, and business app) (C)
Ascertain hardware components  - if applicable (i.e. ascertain where infrastructure is in its maintenance/resource life cycle) (C)
Pinpoint network devices (C)
Work with system owner, Agency Privacy Officer, and other key stakeholders of the legacy system to establish how far back to archive data, what data will be migrated, and timelines for migration (C)

Identify any records to be disposed of in accordance with the records retention schedule (C)
Identify network, software and hardware location/ownership (i.e. activities include but are not limited to population of assets, management of data stores and development and validation of assets) (C)
Prioritize decommission effort (i.e. which components are simple versus complex to offline) (C)
Identify failover/offline procedures (i.e. have components  backup/archive current state been verified) (C)
Coordinate with agency IT Security office to identify guidelines for managing/cleansing the data (C)
Draft Decommission Plan with timelines and key activities for retiring legacy system (based on activities noted above) (C)

Inputs
As-is Systems Environment
Outputs
Decommission Plan
Stakeholders
Business Owner (C)
Functional Lead (C)
Functional Team (C)
Technical Lead/Solution Architect (C)
Technical SME (C)
Functional SME (C)
PMO Lead (C)

Objective: Develop a plan to retire legacy system.

Best Practice
Conduct cost benefit analysis to determine cost of archiving, migrating legacy data, or maintaining legacy systems in place 
Leverage common standards and solutions defined by NARA for records management found at https://ussm.gsa.gov/fibf-ERM/ 
If system is accessed via website, coordinate domain name transition through Domain Name System (DNS) and with IT security POC
Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
2-10

Process and Service Delivery2.9 Understand As-Is Business Processes 
Objective: Validate as-is processes to understand current state environment, existing challenges, and opportunities for improvement/standardization.

Activities
Identify initial business process re-engineering strategy by understanding areas of change (C)
Validate as-is business processes with stakeholders to understand process flows, transaction volumes, workload, end user security roles, and enabling technology. If as-is business processes do not exist, develop a strategy to address training and change management gaps created by the lack of as-is business processes (C)
Determine if as-is business processes are in line with the Federal Integrated Business Framework (FIBF) use cases and make updates as applicable (C)
Report updates in governance meetings and Status Reports/Dashboards, informing QSMOs as necessary (C) 

Inputs
Existing As-Is Process Documentation
Outputs
Business Process Reengineering Strategy
Validated As-Is Process Maps 
Status Reports/Dashboards 
Stakeholders
Business Owner  (C)
Functional Lead (C)
Functional Team (C)
Technical Lead/Solution Architect (C)
Technical SME (C)
Functional SME (C)
Best Practice
Validate as-is processes and workloads to be able to understand the magnitude of change in the target state environment 
Perform business process realignment activities in addition to traditional business process reengineering
Identify key functional process leads and Subject Matter Experts (SMEs) to drive process ownership and decision making
Leverage business use cases through the FIBF website

Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
2-11




Documentation Required for Phase 2 Progress Review
The following documentation is required in guiding a discussion to demonstrate readiness and gain approval for Phase 2. Agencies purchasing transaction processing services only will identify relevant activities and examples for their project using the M3 Services Tailoring Guide.

Information Contained in Progress Review Discussion
Acquisition Strategy
Business Needs Workbook
Change Management and Communication Approach
Data Management/Data Quality Approach
Decommission Plan
Initial Master Schedule Overview
Labor Relations Strategy
LCCE
M3 Risk Assessment Tool
Provider Agreement
Provider Selection Summary
Request for Proposal (RFP) (Commercial Only)
Resource Management Plan Overview (Provider)
Resource Management Plan Update (Customer)
Scope of Services Overview
Top Risks 

Exit Criteria (to move into Phase 3)
Business Needs Workbook
Communications to Stakeholder Delivered
Data Cleansing Commenced
Initial Master Schedule Updated
LCCE
Mitigation Plans in Place for Major Risks/Issues
Provider Agreement
Provider Selected 
Staffing Plan Ready for Execution

Phase 2 Documentation
Acquisition Strategy
Business Needs Workbook 
Business Process Reengineering Strategy
Change Management Plan 
Change Readiness Assessment
Communications Plan 
Cost Estimates
Data Cleansing Plan
Data Cleansing Scripts
Decommission Plan
Governance Plan
Implementation Approach/Schedule
Independent Verification and Validation (IV&V) Plan 
Initial Master Schedule 
Labor Relations Strategy
Life Cycle Cost Estimate (LCCE) 
M3 Risk Assessment Tool
Program Management Plan
Provider Agreement
Provider Assessment Report (Federal Only)
Request for Proposal (RFP) (Commercial Only)
Resource Management Plan 
Risk Management Plan 
Risks, Actions, Issues, and Decisions  (RAID) Log 
Stakeholder Analysis
Status Reports/Dashboards 
Target State Concept of Operations
Validated As-Is Process Maps 
2-12
44

Phase 3: Engagement
3-1
45

Phase 3 Summary and Documentation
 Exit Criteria (to move into Phase 4)
Go/No-Go Criteria Approved
Integrated Master Schedule Drafted
Migration Approach Finalized 
PMO and Governance Process Integrated
Requirements Fit-Gap Analysis Completed
SLAs Defined
Information Contained in Progress Review Discussion
Acquisition Strategy (Customer)
Acquisition Strategy (Provider, Federal) 
Change Management and Communications Approach 
Contact Center Approach
Data Management/Data Quality Approach
Lessons Learned
M3 Risk Assessment Tool
Migration Plan, Schedule, and Release Approach
Program Governance Model
Requirements Fit-Gap Analysis
Resource Management Plan (Customer)
Resource Management Plan (Provider)
SLAs
Target State Solution Scope
Top Risks
Training Approach 
Objective:
Conduct detailed planning through a Requirements Fit-Gap Analysis and finalize the implementation roadmap. An Agile approach should be adopted for this phase. 
Phase 3 Documentation:
The following documentation is developed during Phase 3 and is used to inform the Phase 3 Progress Review discussion. Agencies purchasing transaction processing services only will identify relevant activities and examples for their project using the M3 Services Tailoring Guide.
Phase 3 Documentation
Acquisition Strategy
Business Readiness Assessment 
Business Needs Workbook
Change Management Plan 
Change Readiness Assessment
Change Request Form 
Change Request Log 
Communications Plan 
Configuration Management Plan 
Contact Center Strategy 
CooP and Disaster Recovery Plan 
Data Cleansing Plan 
Data Cleansing Scripts 
Data Conversion Plan
Decommission Plan 
Documented Data Structure and Mapping 
Enhancement Strategy 
Go/No-Go Criteria for Go-Live Assessment 
Governance Plan 
Implementation Approach/Schedule
Independent Verification & Validation (IV&V) Plan 
Integrated Master Schedule (IMS) 
Interface Strategy 
Labor Relations Strategy 
M3 Risk Assessment Tool 
Migration Approach, including Technical Strategies
Migration Plan 
Service Level Agreements (SLAs) 
Program Charter 
Program Management Plan
Quality Assurance Surveillance Plan (QASP)
Requirements Fit-Gap Analysis
Requirements Management Plan 
Requirements Traceability Matrix (RTM) 
Resource Management Plan 
Risk Management Plan 
Risks, Actions, Issues, and Decisions (RAID) Log 
Stakeholder Analysis
Status Reports/Dashboards 
Target State Concept of Operations 
Target State Systems Environment 
Technical Strategy
Test Plan 
Training Plan 
Validated and Updated As-Is Systems Environment 
Workforce Assessment 
Examples:
For sample documentation from previous modernizations and migrations, please go to M3 Examples MAX Page.  
3-2
Responsible Party:            Customer             QSMO             Provider             Shared
Program 
Management
Workforce, Organization, & Stakeholders
Technology
Process & Service 
Delivery
3.1 Integrate Program Management Office (PMO) Structures
3.2 Integrate Governance Structures
3.3 Monitor and Control Program Execution
3.4 Maintain and Execute Risk Processes
3.5 Finalize Migration Approach
3.6 Engage with Labor Relations
3.7 Execute Change Management Plan
3.8 Develop Training Plan
3.9 Finalize Requirements
3.10 Conduct Requirements Fit-Gap Analysis
3.11 Finalize Target State Systems Environment
3.12 Develop Technical Strategy
3.13 Prepare Data for Mock Conversions (Data Cleansing, Data Mapping)
3.14 Finalize Target State Concept of Operations
3.15 Define Contact Center Structure
3.16 Define Service Level Agreements (SLAs)
Phase 3: Engagement
Activities
46

Program Management3.1 Integrate Program Management Office (PMO) Structures
Objective: Establish an integrated Program Management Office team and process to manage and oversee the activities shared by the customer and provider throughout the migration.
Activities
Onboard provider PMO lead and team (P)
Review and update the Program Charter based on changes to the scope or timeline of the program (S)
Determine and agree on PMO roles and responsibilities between the customer and provider (S)
Document the roles and responsibilities in an integrated Resource Management Plan (S)
Review customer Independent Verification and Validation (IV&V) procedures and update IV&V Plan (S)
Develop integrated Program Management Plan, including; schedule, scope, risk, acquisition, cost, communications/stakeholder, and quality (S)
Develop integrated Quality Assurance Surveillance Plan (QASP) for acquisition activities to monitor metrics and performance of the program provider (C)
Create an Integrated Master Schedule (IMS), using the customer’s Initial Master Schedule and refine and continuously elaborate on the IMS for all activities during Phase 3 (S) 
Begin managing schedule through agreed upon procedures, informing QSMOs as necessary (S)
Stakeholders
Executive Sponsor (C, P)
Business Owner (C)
Program Manager (C, P)
PMO Lead (C, P)
PMO Team (C, P)


Inputs
Program Charter
Resource Management Plan
Initial Master Schedule
IV&V Plan
Program Management Plan
Status Report
QASP
Implementation Approach/Schedule
Outputs
Program Charter
Resource Management Plan 
Integrated Master Schedule
Program Management Plan 
IV&V Plan
QASP
Best Practice
To maximize program integration, including network access, and conferencing needs for large agencies and for complex implementations involving segregated business processes, teams should be co-located to ensure ease of communication, collaboration, and problem solving 
Hold detailed discussions on the customer’s and provider’s goals, processes that will be migrated, systems, and program close-out roles and responsibilities early on
Develop an integrated Program Management Plan that is a coordinated view of activities from the customer and provider and takes specific customer needs into consideration
Staff and engage both customer and provider PMO teams in the governance process to prevent governance gaps and disruptions to the flow of information
Establish and communicate customer and provider roles and responsibilities through written agreements
Establish and confirm common nomenclature between the provider and customer organizations to ensure clear and concise communication throughout Phases 3 and 4   
Use Memorandums of Understanding (MOUs) to document Subject Matter Experts (SMEs) commitment and maintain accountability for participating in Fit-Gap sessions
Ensure provider transparency with regular reporting on expenditure to date
3-3
Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared

Objective: Develop an integrated governance structure that establishes program activity ownership and decision making authority for the customer and provider agencies throughout a migration.

Program Management 3.2 Integrate Governance Structures
Activities
Identify provider governance bodies that will participate in the migration effort (P)
Define integrated governance authority, roles, and responsibilities for oversight, management decision-making and risk/issue escalation (S)
Establish integrated governance meeting cadence and status reporting timelines for the remainder of the program (S)
Create integrated Governance Plan (S) 
Begin executing against Governance Plan to guide Phase 3 activities (S)

Inputs
Existing Governance Bodies and Processes within Customer and Provider Agencies
Governance Plan
Provider Agreement 
Best Practice
Establish goals, timeframes, resources, and responsibilities clearly during the migration that has buy-in from senior management at the customer and provider agencies
Develop an integrated governance model to make decisions in alignment with the objectives and goals of the program
Obtain buy-in from internal customer and provider agencies early on to establish communication channels throughout the migration 
Encourage decisions to be made at the lowest possible level, while allowing elevation of important or contentious issues through the governance model
Develop an integrated recurring meeting and status reporting cadence to help align customer and provider leadership on the status of ongoing activities and priorities

Stakeholders
Executive Sponsor (C, P)
Business Owner (C, P)
Program Manager (C, P)
PMO Lead (C, P)
PMO Team (C, P)

Outputs
Governance Plan (integrated)

Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
3-4

Program Management 3.3 Monitor and Control Program Execution
Objective: Monitor, measure, and report on program migration progress. 
Activities
Manage scope and program performance using Program Management Plan (S)
Manage Integrated Master Schedule (IMS) through weekly updates of activities, dates, duration, and dependencies (S)
Manage costs against the budget (S)
Manage acquisition lifecycle and contract performance against Provider Agreement (S)
Manage and update Resource Management Plan as resources are on or off boarded or as needs change (S)
Manage and update the Independent Verification and Validation (IV&V) Plan (S)
Update program management documentation as necessary (S)
Initiate and perform change requests to address changes in schedule, scope, and requirements throughout the program through the Change Request Form, documenting changes through the Change Request Log (S)
Develop and distribute Status Reports/Dashboards (S)
Hold status meetings to monitor status against milestones, issues, risks, and make decisions needed for work streams, informing QSMOs as necessary (S)
Escalate decisions and issues as needed through governance bodies (S)
Conduct executive briefings with organization leadership and oversight entities as necessary (S)
Inputs
Program Charter
Program Management Plan
IMS 
IV&V Plan
Acquisition Strategy
Resource Management Plan
Governance Plan
Provider Agreement
Outputs
Program Management Plan
Status Reports/Dashboards 
IV&V Plan 
Change Request Log
Resource Management Plan
Change Request Form
IMS 
Stakeholders
Executive Sponsor (C, P)
Business Owner (C, P)
Program Manager (C, P)
PMO Lead (C, P)
PMO Team (C, P)
Functional Lead (C, P)
Technical Lead/Solution Architect (C, P)

Best Practice
Include all migration activities and responsible parties in the IMS 
Implement weekly change control process to manage changes to the IMS to understand downstream impacts and associated risks
Review and update the integrated program plan regularly and establish an integrated recurring meeting and status reporting cadence
Utilize collaboration tools to the fullest extent in order to facilitate information sharing across the migration program
Create a consolidated list of action items for the customer and provider
Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
3-5

Program Management 3.4 Maintain and Execute Risk Processes
Inputs
Governance Plan
Risk Management Plan
RAID Log
Best Practice
Develop an integrated Risk Management Plan between the customer and provider and establish a risk management function within the PMO to coordinate all risk management activities across the customer and provider before migration
Hold regular risk management meetings and include risk management into status reporting and escalation procedures. Ensure documentation of risks in RAID Log in order to facilitate communication of risks
Develop risk management roles and responsibilities for customer and provider team members and executives and train team members on identifying and mitigating risks
Train and empower risk liaisons and points of contact in risk management to improve accountability 
Stakeholders
Executive Sponsor (C, P) 
Business Owner (C, P)
Program Manager (C, P)
Risk Manager (C, P)
PMO Lead (C, P)
PMO Team (C, P)

Outputs
Risk Management Plan 
RAID Log 
M3 Risk Assessment Tool 
Status Reports/Dashboards

Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
Objective: Execute risk management processes to identify and mitigate risks and issues throughout the migration.




3-6
Activities
Integrate risk processes between the customer and provider and update the Risk Management Plan (S) 
Maintain and update Risks, Actions, Issues, and Decisions (RAID) Log, coordinating across all work streams, with new risks, changes to existing risks, and status of risk mitigation activities continuously (at a minimum of every two weeks) throughout Phase 3 (S)
Develop and employ mitigation strategies continuously throughout Phase 3 (S)
Report on new risks/issues and ongoing risk/issue mitigation activities in governance meetings and Status Reports/Dashboards (S) 
Perform M3 Risk Assessment (S)


Program Management3.5 Finalize Migration Approach
Activities
Develop an initial Migration Approach and Integrated Master Schedule (IMS) based on Requirements Traceability Matrix (RTM) and timeline requirements (S)
Finalize Migration Approach including a release approach based on Business Readiness Assessment and Scope of Services (P)
Update the Decommission Plan for system decommissioning post migration (C)
Develop detailed design of the retained organization (C)
Develop Go/No-Go Criteria to assess readiness for Go-Live. Criteria may include: program readiness, system readiness, workforce readiness, and operational readiness (S)
Report updates in governance meetings and Status Reports/Dashboards (S) 
Inputs
RTM 
Business Readiness Assessment
Decommission Plan

Best Practice
Define, agree on, and communicate customer and provider roles and responsibilities prior to the start of implementation through the Provider Agreement and implementation team organization charts and Responsible, Accountable, Consulted, Informed (RACI) Matrix
Understand the Provider Agreement services, Service Level Agreements (SLAs), and cost structures and develop relevant metrics to be able to monitor provider performance
Leverage an agile approach in the migration and consider phasing the implementation to provide for quick wins
Use Provider Agreement to define the roles and responsibilities of the customer, provider, and governance bodies during migration, including decision rights, key activities and reporting procedures
Use the IMS to develop the work breakdown structure (WBS) that includes full scope of work for both the customer and provider through the migration. Develop the critical path and align the schedule management process with identified program resources to the Resources Management Plan and Acquisition Strategy
Stakeholders
Executive Sponsor (C, P)
Business Owner (C, P)
Program Manager (C, P)
PMO Lead (C, P)
PMO Team (C, P)
Functional Lead (C, P)
Technical Lead/Solution Architect (C, P)
Contracting Officer (C, P)

Outputs
Migration Approach, including Technical Strategies
Go/No-Go Criteria for Go-Live Assessment 
IMS
Decommission Plan
Status Reports/Dashboards 
Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
Objective: Develop Migration Approach, schedule, and cost based on Business Readiness Assessment. 

3-7

Objective: Continue to engage and communicate with labor relations to obtain approval towards a shared services migration. 
Workforce, Organization & Stakeholders3.6 Engage with Labor Relations
Activities
Review potential impacts on staff in the Target State Concept of Operations and Workforce Assessment (C)
Engage in communications with union leadership based on Labor Relations Strategy (C)
Determine the methods to align to Collective Bargaining Agreements, resolve issues, and document outcomes and next steps (C)
Update the Labor Relations Strategy as needed (C)
Report updates in governance meetings and Status Reports/Dashboards (S) 
Inputs
Labor Relations Strategy
Target State Concept of Operations
Workforce Assessment  
Best Practice
Account for union-related activities in the Integrated Master Schedule and building dependencies for change management activities (e.g., communications, training)

Stakeholders
Program Manager (C)
Change Management Lead (C)
Communications Lead (C)
Labor Relations Leader (C)

Outputs
Labor Relations Strategy
Status Reports/Dashboards 
Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
3-8
52

Workforce, Organization & Stakeholders3.7 Execute Change Management Plan
Objective: Maintain and execute the Change Management and Communications Plans based on feedback from the previous phases; implement updates as appropriate.
Activities
Develop and deliver messages based on the Communications Plan (C)
Monitor feedback from stakeholders and adjust Communications Plan (C)
Update Communications Plan based on labor relations meetings (C) 
Update Workforce Assessment to identify any additional impacts to the workforce from the migration (C)
Conduct additional Change Readiness Assessment to further understand stakeholder ability to adapt to change; update the Change Management Plan as necessary (C)
Determine if provider needs to adjust staffing levels based on the requirements of the new customer and, if yes, develop staffing plan (P)
Report updates in governance meetings and Status Reports/Dashboards, informing QSMOs as necessary (S)



Inputs
Change Management Plan
Change Readiness Assessment
Communications Plan
Workforce Assessment
Best Practice
Institute frequent communication sessions with stakeholders
Align business process efforts to change management tasks to better communicate and coordinate process changes with the change management strategy components 
Create and deploy user surveys to monitor success of Organizational Change Management drives
Stakeholders
Program Manager (C)
Change Management Lead (C)
Communications Lead (C)
Workforce Lead (C)
Functional Lead (C, P)

Outputs
Change Management Plan
Communications Plan 
Change Readiness Assessment
Workforce Assessment 
Status Reports/Dashboards 
Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
3-9

Workforce, Organization & Stakeholders3.8 Develop Training Plan
Objective: Develop a plan and approach for training curriculum, design, development, delivery, and evaluation.
Activities
Review customer organization training Scope of Services (S)
Review provider Migration and O&M training capabilities and associated costs (S) 
Finalize training services for Phases 4 and 5 and define roles and responsibilities for development and delivery (S)
Develop initial Training Plan to include approach, audience, purpose, delivery methods, timeline, and evaluation (P)
Review and finalize Initial Training Plan (S)
Report updates in governance meetings and Status Reports/Dashboards (S) 

Inputs
Business Needs Workbook
Scope of Services
Stakeholder Analysis 
Workforce Assessment
Best Practice
Define the customer’s and provider’s training needs early on in the program life cycle
Define the roles and responsibilities of training planning, material development, delivery, and evaluation. Identify training audiences, stakeholder groups, and number of expected end users who require training. Develop training schedule and process to collect feedback on training delivery from participants
Stakeholders
Program Manager (C, P)
Change Management Lead (C, P)
Training Lead (C, P)
Communications Lead (C, P)
Functional Lead (C, P)

Outputs
Training Plan 
Status Reports/Dashboards 
Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
3-10

Objective: Perform knowledge transfer of requirements, validate requirements, and baseline all standard and unique requirements with approvals to inform the Requirements Fit-Gap Analysis.
Technology3.9 Finalize Requirements
Activities
Update Requirements Management Plan and processes based on provider’s approach (S)
Share updates to documentation of requirements, Target State Systems Environment, and Target State Concept of Operations with provider (C)
Create a joint Requirements Traceability Matrix (RTM) (S)
Prioritize mission critical and nice-to-have requirements against standard requirements and provider capability, and capacity in the RTM (S)
Finalize requirements with Business Owners and baseline the RTM (S)
Report updates in governance meetings and Status Reports/Dashboards (S) 

Best Practice
Conduct system demonstrations and Conference Room Pilots to validate the solution meets the intended scope of services requirements
Provide training to SMEs on requirements processes and how to define, communicate, and document requirements effectively (e.g., essential, verifiable requirements)
Provide criteria to define mission critical versus nice-to-have requirements to enable improved provider selection
Use requirements management tool and establish requirements management approach that follows leading practices to increase consistency and enhance traceability throughout the program’s life cycle
Validate requirements against the FIBF and ensure requirements are documented to allow for effective testing
Use the Requirements Traceability Matrix (RTM) to align, categorize, and prioritize outcome focused requirements with applicable Service Area standard requirements based on mission need and legislation/policy. Define and reference the specific source legislation/policy document(s) for each requirement and include requirement's status (i.e. awaiting approval, approved, rejected, or deferred)
Stakeholders
Executive Sponsor (C, P)
Business Owner (C, P)
Program Manager (C, P)
Requirements Lead (C, P)
Technical Lead/Solution Architect (C, P)
Functional SME  (C, P)
Technical SME  (C, P)
Managing Partner/Service Area Sponsor (Service Area)

Inputs 
Target State Systems Environment
Target State Concept of Operations
Business Capabilities
Business Needs Workbook
RTM
Requirements Management Plan
Government-wide Standards defined through the Federal Integrated Business Framework (FIBF) 
Outputs
Requirements Management Plan 
RTM
Status Reports/Dashboards 
Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
3-11

Technology3.10 Conduct Requirements Fit-Gap Analysis
Inputs
RTM
Provider’s Standard Solution and Requirements
Requirements Management Plan
Best Practice
Assess functional, technical, and operational requirements as part of the Requirements Fit-Gap Analysis
Technical requirements for the Requirements Fit Gap Analysis should align to the FIBF standards 
Develop a detailed approach for the fit-gap with a Business Process Reengineering (BPR) Statement document that includes an Overview, BPR Vision, fit-gap Purpose and Objectives, and defines exit/success criteria for the process. A sample requirements fit-gap process kick-off guide is available here
Use live demonstrations for requirements fit-gap review sessions 
Document gaps using formal gap ID forms and assess consensus with feedback surveys. A sample gap ID form is available here
Stakeholders
Executive Sponsor (C, P)
Business Owner (C, P)
Program Manager (C, P)
Requirements Lead (C, P)
Technical Lead/Solution Architect (C, P)
Functional SME (C, P)
Technical SME (C, P)
Managing Partner/Service Area Sponsor (Service Area)

Outputs
Requirements Fit-Gap Analysis
RTM
Status Reports/Dashboards 

Activities
Identify where functional and technical (e.g., security, interfaces) requirements can be met by the provider’s standard solution and where gaps may exist using the baselined Requirements Traceability Matrix (RTM) (P)
Conduct stakeholder validation sessions to review the Requirements Fit-Gap Analysis. A sample requirements fit-gap process kick-off is available here (S) Design gap solutions with options for configuration changes, enhancements, and processes changes and review with the customer (P)
Select the desired solution to resolve each gap (S)
Document gaps and proposed solutions in the Requirements Fit-Gap Analysis (C)
Use gap solutions to inform migration and release approach, schedule, and revised cost estimate (S)
Manage requirements through the RTM and PMO change control processes as agreed upon in the Requirements Management Plan and PMO governance (P)
Report updates in governance meetings, and Status Reports/Dashboards, informing QSMOs as necessary (S) 
Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
Objective: Understand gaps between the customer requirements, provider’s standard solution, and processes. Develop gap solutions to inform the migration approach, timeline, and revised cost estimates.
3-12

Technology3.11 Finalize Target State Systems Environment
Objective: Perform knowledge transfer of As-is Environment and finalize the Initial Target State Systems Environment that captures all required interfaces, application, security/privacy, and data layers.
Activities
Perform knowledge transfer to provider to gain an understanding of the customer’s As-Is Systems Environment including which interfaces to legacy systems will be required (C) 
Review initial Target State Systems Environment and compare against the provider’s standard solution to determine where gaps exist (S)
Develop solutions for technical gaps where enhancements are required to systems and infrastructure and where new interfaces will be required (P)
Assess gap solutions of technical environment based on cost and timeline implications and document impacts to release strategy (S)
Finalize Target State Systems Environment, through technical reviews if necessary, to define the scope of the migration and at each release, if applicable (S) 
Report updates in governance meetings and Status Reports/Dashboards (S) 
Inputs
Vision Statement and Business Case
Requirements Traceability Matrix (RTM)
Existing Enterprise Architecture Documents & System Specifications
Target State Systems Environment
Customer’s As-Is Systems Environment 
Best Practice
Leverage the current systems architecture and specification documents as a starting point
Document critical interfaces between legacy systems and new systems including detailed data requirements and network requirements
Stakeholders
Program Manager (C, P)
Business Owner (C, P)
Functional Lead (C, P)
Technical Lead/Solution Architect (C, P)
Interface Lead (C, P)
Functional SME (C, P)
Technical SME (C, P)

Outputs
Validated and Updated As-Is Systems Environment
Target State Systems Environment 
Status Reports/Dashboards 
Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
3-13
57

Technology3.12 Develop Technical Strategy
Objective: Develop the IT strategy to define the overall management and execution approach to system enhancements and implementation.

Activities
Based on the Requirements Fit-Gap Analysis and finalized Target State Systems Environment, develop the Migration Plan, including the approach for technical components: 
Develop the reporting and associated strategies including Business Intelligence development standards and tool analysis (S)
Develop Interface Strategy (S)
Develop Enhancement Strategy (S)
Update the Decommission Plan for system decommissioning post migration (C)
Document development controls (S)
Document configuration and workflow strategy (S)
Develop Configuration Management Plan and change request process (S)
Document Continuity of Operations (CooP) and Disaster Recovery Plan (S)
Develop Test Plan (S)
Report updates in governance meetings and Status Reports/Dashboards (S) 


Inputs
Requirements Traceability Matrix (RTM)
Target State Concept of Operations
Target State Systems Environment
Decommission Plan
Requirements Fit-Gap Analysis
Best Practice
Conduct a thorough analysis early to determine which existing reports are still in use and need to be included in requirements
Minimize enhancements, leverage bolt-ons where possible, to help ease patch/fix application and upgrade path
Use the Test Plan to identify the strategies, objectives, and approach of testing cycles, involved stakeholders, needed resources, and scope and schedule of planned test activities. Develop approach to train testers and define test items and data requirements, features to be tested, testing roles and responsibilities, and any risks requiring contingency planning
Stakeholders
Program Manager (C, P)
Business Owner (C, P)
Functional Lead (C, P)
Technical Lead/Solution Architect (C, P)
Interface Lead (C, P)
Data Conversion Lead (C, P)
Functional SME (C, P)
Technical SME (C, P)
Change Management Lead (C, P)
PMO Lead (C, P)
Outputs
Test Plan 
Configuration Management Plan 
CooP and Disaster Recovery Plan
Interface Strategy
Enhancement Strategy
Decommission Plan
Migration Plan
Technical Strategy
Status Reports/Dashboards 
Test Plan
Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
3-14
58

Technology3.13 Prepare Data for Mock Conversions (Data Cleansing, Data Mapping)
Objective: Jointly develop a Data Conversion Plan with input from the data cleansing process, and execute against plan to address potential data conversion issues.

Activities
Develop integrated data governance approach to include process, roles, responsibilities, and cleansing and mapping criteria (S)
Review customer data architecture (P) 
Discuss standard data management approach with customer (P)
Finalize an integrated approach and plan for data cleansing, mapping, extract/transfer/load, mock conversion, conversion, and data validation (S)
Assess data quality based on Data Cleansing Plan activities from previous phase against defined criteria (S)
Initiate legacy-to-target data mapping (S)
Identify data errors/anomalies and prioritize resolution activities (S)
Develop and execute Data Cleansing Scripts and perform manual correction, updating as needed (S)
Validate results of data cleansing and readiness for conversion based on data quality criteria and metrics (C)
Report updates in governance meetings and Status Reports/Dashboards (S) 
Inputs
Data Elements
Data Cleansing Plan  
Data Quality Assessment Results
Existing System Data Dictionaries 
Existing Data Governance Model
Data Cleansing Results 
Existing Data Quality Assessment
Best Practice
Begin data cleansing activities prior to migration activities and continuously throughout the implementation to assist with data readiness
Agree on data governance including metadata management and data quality management
Incorporate additional post Go-Live data cleansing and quality activities into the Data Conversion Plan strategy, schedule, and resource planning
Investigate provider service offerings around post Go-Live conversion support prior to finalizing cleansing metrics
Develop procedures, tools, and protocols to extract data and define system structure, major components, and type of conversion effort. Define system hardware and software conversion steps, identify necessary data and preparation requirements, and establish data quality assurance controls for conversion. Identify and address affected interfaces and security issues related to conversion efforts
Stakeholders
Program Manager (C, P)
Business Owner (C, P)
Functional Lead (C, P)
Technical Lead/Solution Architect (C, P)
Data Conversion Lead (C, P)
Data SME (C, P)
Outputs
Data Cleansing Scripts
Documented Data Structure and Mapping 
Data Conversion Plan 
Status Reports/Dashboards 

Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
3-15
59

Process and Service Delivery3.14 Finalize Target State Concept of Operations
Objective: Define which processes and services will be performed between the customer and provider to understand the Target State Concept of Operations.

Activities
Review Provider Agreement to determine in scope processes and target state requirements (S) 
Review and agree upon where the business processes and services should be performed in the future (e.g., internally versus with provider) based on the requirements and requirements fit-gap analysis (S)
Update the Initial Concept of Operations (CONOPS) (S)
Validate updated CONOPS with stakeholders (S)
Define roles and responsibilities for Operations and Maintenance (O&M) (e.g., systems maintenance, incident identification, change control and release management, service level agreement reviews, and governance) (S)
Finalize Target State CONOPS based on processes to be migrated to the provider and the designed retained organization (S)
Report updates in governance meetings and Status Reports/Dashboards, informing QSMOs as necessary (S) 
Inputs
Target State CONOPS
As-Is Workforce
As-Is Process Flows
Scope of Services
Requirements Traceability Matrix (RTM)
Requirements Fit-Gap Analysis
Initial Concept of Operations (CONOPS)
Provider Agreement
Stakeholders
Business Owners (C, P)
Program Manager (C, P)
Functional Lead (C, P)
Technical Lead/Solution Architect (C, P)
Technical SME (C, P)
Functional SME (C, P)
Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
Best Practice
Outputs
Target State Concept of Operations
Status Reports/Dashboards 

3-16

Process and Service Delivery3.15 Define Contact Center Structure
Objective: Understand provider contact center capabilities, finalize customer care procedures, and define customer and provider roles and responsibilities for issue resolution. 

Activities
Document requirements for the customer contact center function based on Target State Concept of Operations and Operations and Maintenance (O&M) requirements (C)
Review provider contact center capabilities, tier structure, and estimated cost of services (S)
Identify gaps between provider contact center capabilities and the customer requirements (S)
Develop gap solutions for contact center gaps and adjust estimated cost of services (S)
Document Integrated Contact Center Strategy to implement changes to contact center processes, roles, and capacity for customer and provider (S)
Report updates in governance meetings and Status Reports/Dashboards (S) 
Inputs
Business Needs Workbook
Target State Concept of Operations 
Scope of Services
Best Practice
Develop procedures to triage and escalate inquiries and incidents between the customer and provider
Establish integration points and handoffs between customer and provider including inquiry and issue routing. Define performance metrics (e.g., wait times, average call time, call volume) and identify technology to be used to track and record help desk inquires. Define plans to train help desk support and identify knowledge required for the contact center
Stakeholders
Business Owner (C, P)
Program Manager (C, P)
PMO Lead (C, P)
PMO Team (C, P)
Functional Lead (C, P)
Functional SME (C, P)
Change Management Lead (C, P)
Outputs
Contact Center Strategy
Status Reports/Dashboards  
Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
3-17

Process and Service Delivery3.16 Define Service Level Agreements (SLAs) 
Objective: Define the level of service standards provided to the customer during Operations and Maintenance (O&M).
Activities
Review Target State Concept of Operations and roles and responsibilities for O&M services (S)
Review and discuss existing provider service level metrics to determine if there need to be adjustments. All service level metrics must align, and not conflict with, the metrics included in the QSMO Performance Management Framework   (S) 
Identify additional service level metrics based on objective, clearly-defined, and measurable criteria, in alignment with the QSMO Performance Management Framework (S)
Gain stakeholder buy-in on metrics that will be used post-migration to measure O&M performance as part of the performance management strategy (S)
Define performance management capabilities, processes, and tools (S)
Finalize service level metrics, targets, and remediation or issue resolution policies, in alignment with the QSMO Performance Management Framework (S)
Report updates in governance meetings, and Status Reports/Dashboards, informing QSMOs as necessary (S) 
Inputs
Target State Concept of Operations 
Provider Agreement
Federal Integrated Business Framework (FIBF) Performance Measures 
Best Practice
Include services and systems with identified target metrics in your SLAs 
Review Provider Agreements, SLAs, and Life Cycle Cost Estimate (LCCEs) for any potential updates that may be required
Set up the SLA to foster a mutually beneficial relationship. Make sure that both the provider and customer are clear on expectations of success defined in Activity 1.6


Stakeholders
Executive Sponsor (C, P)
Business Owner  (C, P)
Program Manager (C, P)
PMO Lead (C, P)
PMO Team (C, P)
Functional Lead (C, P)
Technical Lead/Solution Architect (C, P)
Technical SME (C, P)
Functional SME  (C, P)
Outputs
SLAs
Status Reports/Dashboards 
Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
3-18

Phase 3 Documentation
Acquisition Strategy 
Business Readiness Assessment 
Business Needs Workbook
Change Management Plan 
Change Readiness Assessment
Change Request Form 
Change Request Log 
Communications Plan 
Configuration Management Plan 
Contact Center Strategy 
CooP and Disaster Recovery Plan 
Data Cleansing Plan 
Data Cleansing Scripts 
Data Conversion Plan
Decommission Plan 
Documented Data Structure and Mapping 
Enhancement Strategy 
Go/No-Go Criteria for Go-Live Assessment 
Governance Plan 
Implementation Approach/Schedule
Independent Verification & Validation (IV&V) Plan 
Integrated Master Schedule (IMS) 
Interface Strategy
Labor Relations Strategy
M3 Risk Assessment Tool 
Migration Approach, including Technical Strategies
Migration Plan 
Service Level Agreements (SLAs) 
Program Charter 
Program Management Plan
Quality Assurance Surveillance Plan (QASP)
Requirements Fit-Gap Analysis
Requirements Management Plan 
Requirements Traceability Matrix (RTM) 
Resource Management Plan 
Risk Management Plan 
Risks, Actions, Issues, and Decisions (RAID) Log 
Stakeholder Analysis
Status Reports/Dashboards 
Target State Concept of Operations 
Target State Systems Environment 
Technical Strategy
Test Plan 
Training Plan 
Validated and Updated As-Is Systems Environment 
Workforce Assessment 
Documentation Required for Phase 3 Progress Review
The following documentation is required in guiding a discussion to demonstrate readiness and gain approval for Phase 3. Agencies purchasing transaction processing services only will identify relevant activities and examples for their project using the M3 Services Tailoring Guide.
Information Contained in Progress Review Discussion
Acquisition Strategy (Customer)
Acquisition Strategy (Provider, Federal) 
Change Management and Communications Approach 
Contact Center Approach
Data Management/Data Quality Approach
Lessons Learned
M3 Risk Assessment Tool
Migration Plan, Schedule, and Release Approach
Program Governance Model
Requirements Fit-Gap Analysis
Resource Management Plan (Customer)
Resource Management Plan (Provider)
SLAs
Target State Solution Scope
Top Risks
Training Approach 

Exit Criteria (to move into Phase 4)
Fit-Gap Analysis Completed
Go/No-Go Criteria Approved
Integrated Master Schedule Drafted
Migration Approach Finalized 
PMO and Governance Process Integrated
SLAs 
3-19
63

Phase 4: Migration
4-1
64

Phase 4 Summary and Documentation
Objective:
Build, test, and deploy the new system, concept of operations, and workforce design. An Agile approach should be adopted for this Phase. Note: The activities in this Phase are organized by workstream and do not appear sequentially.
Phase 4 Documentation:
The following documentation is developed during Phase 4 and is used to inform the Phase 4 Progress Review discussion. Agencies purchasing transaction processing services only will identify relevant activities and examples for their project using the M3 Services Tailoring Guide.
Examples:
For sample documentation from previous modernizations and migrations, please go to M3 Examples MAX Page.  
4-2
Responsible Party:            Customer             QSMO             Provider             Shared
Program 
Management
Workforce, Organization, & Stakeholders
Technology
Process & Service 
Delivery
4.1 Monitor and Control Program Execution 
4.2 Maintain and Execute Risk Processes
4.3 Develop Operations and Maintenance (O&M) Governance
4.16 Assess Readiness for Go-Live
4.5 Design Target State Organization
4.13 Execute Workforce Transition and Prepare for Go-Live
4.14 Execute Training for Go-Live
4.15 Execute Labor Relations Strategy
4.6 Conduct Security and Privacy Reviews
4.7 Define Roles and User Access
4.8 Configure Systems
4.9 Design and Develop Interfaces 
4.10 Design and Develop Reports
4.11 Conduct Mock Conversions 
4.12 Test Systems and Processes
4.17 Develop and Execute Cutover Plan for Go-Live
4.4 Design Target State Processes
Phase 4: Migration
Activities
 Exit Criteria (to move into Phase 4)
Go/No-Go Criteria Met
Information Contained in Progress Review Discussion
Business Operations Readiness Criteria Tasks and Status
Contingency Plan
Data Conversion Results
M3 Risk Assessment Tool
Organizational Readiness Criteria Tasks and Status 
Program Management Readiness Criteria Tasks and Status 
Risk and Issues Summary
Technology Readiness Criteria Tasks and Status 
Test Results
Phase 4 Documentation
Baselined List of ID Credentials 
Business Process Reengineering Strategy 
Change Management Plan 
Change Readiness Assessment
Change Request Form 
Change Request Log 
Communications Plan 
Configuration Management Plan
Configuration Workbooks 
Contingency Plan 
Conversion Defect Log 
Cutover Plan 
Data Conversion Plan 
Decommission Plan 
Desk Guides/User Guide
Go/No-Go Assessment Report 
Go/No-Go Readiness Criteria 
Independent Verification & Validation (IV&V) Plan 
Integrated Master Schedule (IMS) 
Interface Control Document 
Labor Relations Strategy 
M3 Risk Assessment Tool
Mock Conversion Report 
O&M Governance Plan 
Privacy Documentation 
Program Management Plan 
Resource Management Plan
Reports Design Document 
Requirements Traceability Matrix (RTM) 
Risk Management Plan 
Risks, Actions, Issues, and Decisions (RAID) Log 
Security Documentation
Standard Operating Procedures 
Status Reports/Dashboards 
Target State Organization Design 
Target State Process Flows
Target State Process Maps
Targeted Cutover Communications Plan 
Test Defect Log 
Test Plan 
Target State Concept of Operations
Test Results Report
Test Scripts 
Training Evaluations 
Training Materials 
Training Plan 
Workforce Assessment 
Workforce Transition Strategy 

65

Inputs
Program Charter
Governance Plan
IMS
Program Management Plan
Integrated Independent Validation and Verification (IV&V) Plan 
Resource Management Plan 
Change Request Form
Best Practice
Review and update the IMS as necessary and maintain an integrated recurring meeting and reporting cadence
Include all migration activities and responsible parties in the IMS. Migrations that include core and non-core services should align all services to the IMS
Create a consolidated list of action items for the customer and provider
Utilize collaboration tools to the fullest extent in order to facilitate information sharing across the migration program
For large agencies and complex implementations involving segregated business processes, teams  should be co-located to ensure ease of communication, collaboration and problem solving; and  to maximize program integration, including network access, conferencing needs
Ensure provider transparency with regular reporting on expenditure to date
Stakeholders
Executive Sponsor (C, P)
Business Owner (C, P)
Program Manager (C, P)
PMO Lead (C, P)
PMO Team (C, P)
Functional Lead (C, P)
Technical Lead/Solution Architect (C, P)
Outputs
Change Request Form
Change Request Log
IMS
Program Management Plan
IV&V Plan
Resource Management Plan 
Status Reports/Dashboards 

Program Management4.1 Monitor and Control Program Execution
Objective: Monitor, measure, and communicate program migration progress.
Activities
Manage Migration Integrated Master Schedule (IMS) through weekly updates of activities, dates, duration, and dependencies (S)
Manage scope and monitor program performance using Program Management Plan (S)
Manage costs against the budget (S)
Manage and update Resource Management Plan as resources are on or off boarded or as needs change (S)
Manage and update the Integrated Independent Validation and Verification (IV&V) Plan (S)
Update program management documentation as necessary (S)
Develop and distribute Status Reports/Dashboards and escalate decisions and issues as needed through governance bodies (S)
Hold status meetings to monitor status against milestones, issues, risks, and make decisions needed for work streams, informing QSMOs as necessary (S)
Hold executive briefing to share progress on transition (S) 
Continue to initiate and perform change requests to address changes in schedule, scope, and requirements throughout the program through the Change Request Form, documenting changes through the Change Request Log (S)
Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
4-3

Program Management4.2 Maintain and Execute Risk Processes 
Activities
Maintain and update Risk Management Plan as necessary (S)
Develop and employ mitigation strategies continuously throughout the migration (S)
Maintain and update Risks, Actions, Issues, and Decisions (RAID) Log with new risks and status of risk mitigation at a minimum of every 2 weeks throughout the migration (S)
Report on new risk and ongoing risk mitigation activities in governance meetings and Status Reports/Dashboards, informing QSMOs as necessary  (S) 
Perform M3 Risk Assessment (S)

Inputs
Governance Structure and Process
Status Reports/Dashboards
Independent Verification and Validation (IV&V) Plan
Risk Management Plan 
RAID Log
Best Practice
Maintain a risk management function within the PMO to coordinate all risk management activities across the customer and provider before migration
Hold regular risk management meetings and include risk management into status reporting and escalation procedures. Include documentation of risks in RAID Log in order to facilitate communication of risks
Maintain risk management roles and responsibilities for customer and provider team members and executives, and train team members on identifying and mitigating risks
Stakeholders
Executive Sponsor (C, P) 
Business Owner (C, P)
Program Manager (C, P)
Risk Manager (C, P)
PMO Lead (C, P)
PMO Team (C, P)
Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
4-4
Outputs
Risk Management Plan
RAID Log
M3 Risk Assessment Tool
Status Reports/Dashboards 

Objective: Execute risk management processes to identify and mitigate risks and issues throughout the migration.


Program Management4.3 Develop Operations and Maintenance (O&M) Governance
Objective: Develop integrated O&M governance structure to manage and oversee system and process performance.
Activities
Identify provider governance bodies that will participate during O&M (P)
Define integrated governance authority, roles, and responsibilities for oversight and management decision-making on topics such as risk/issue escalation, Service Level Agreement (SLA) monitoring, contract negotiations, service/change requests, and management after system Go-Live (S)
Establish integrated governance meeting cadence and reporting timelines for customer and provider (S)
Create integrated O&M Governance Plan (S) 
Begin executing against Governance Plan to facilitate decision-making and issue escalation upon Go-Live (S)

Inputs
Existing Governance Bodies and Processes within Customer and Provider Agencies
Governance Plan
Provider Agreement
Best Practice
Establish goals, timeframes, resources, and responsibilities clearly during the migration that has buy-in from senior management at the customer and provider agencies
Encourage decisions to be made at the lowest possible level, while allowing elevation of important or contentious issues through the governance model
Review Provider Agreements, SLAs, and Life Cycle Cost Estimate (LCCEs) for any potential updates that may be required
Use the O&M Governance Plan to develop an integrated governance body of providers and customers with defined roles and responsibilities. Establish voting rights and escalation criteria accounting for all O&M activities. Outline voting procedures and determine governance meeting cadence and communications
Stakeholders
Executive Sponsor (C, P)
Business Owner (C, P)
Program Manager (C, P)
PMO Lead (C, P)
PMO Team (C, P)
Outputs
O&M Governance Plan
Risks, Actions, Issues, and Decisions (RAID) Log
Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
4-5

Process and Service Delivery4.4 Design Target State Processes
Objective: Design the Target State Process Maps, activities, decision points, interrelationships, and systems interactions.
Activities
Finalize list of in-scope processes for migration and identify which processes will undergo reengineering (S) 
Validate and update the Business Process Reengineering Strategy (S)
Validate and update process decomposition for in-scope processes based on Service Area functions and activities (S)
Develop Target State Process Maps for in-scope processes, considering internal control, segregation of duties, technology, handoffs, workloads, and manual workarounds (S)
Review, validate, and update processes with stakeholders (S)
Update and develop Standard Operating Procedures (SOPs) and develop Desk Guides/User Guide for customer and provider processes (S)
Update/validate SLAs (as applicable) to ensure process steps are met that allow customers to meet agreed upon SLAs with provider (S)


Inputs
Target State Concept of Operations
Target State Systems Environment
Best Practice
Establish a standardized and common process decomposition to have consistency in terminology using guidance from the applicable Service Area
Perform business process alignment activities rather than traditional business process reengineering to avoid bad practices continuing in the new system
Identify key functional process lead and Subject Matter Experts (SMEs) to drive process ownership and decision making
Use the Target State Process Maps to document process flows and handoffs, transaction volumes, enabling technology, user roles and responsibilities, and supporting tools/documentation used to complete processes
Use the Standard Operating Procedures to follow agency-specific step-by-step instructions for the execution of routine operations to ensure efficiency, quality output, consistency and uniformity of performance, and compliance with relevant regulations. Organize to-be process maps into end-to-end executable steps, and specify scope, purpose, input, output, and tools and relevant regulations
Stakeholders
Business Owner  (C, P)
Functional Lead (C, P)
Technical Lead/Solution Architect  (C, P)
Technical SME (C, P)
Functional SME (C, P) 
Program Manager (C, P)
Outputs
Target State Process Maps
SOPs
Business Process Reengineering Strategy 
Desk Guides/User Guide
Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
4-6

Workforce, Organization & Stakeholders4.5 Design Target State Organization
Objective: Identify and design the target state organization needs and prepare for changes to the workforce.

Activities
Review Target State Concept of Operations (CONOPS) and Target State Process Flows (C)
Align customer organizations to Target State Process Flows (C)
Define roles and responsibilities including position descriptions and job duties (C)
Map staff to positions (C)
Continue to assess impact of reorganization on the workforce and update Workforce Assessment (C)
Develop Workforce Transition Strategy (C)
Evaluate provider organization workforce based on customer migration and determine if there are impacts to provider workforce and Organization Structure (P)  

Inputs
 Workforce Assessment 
Current Organization Structure 
Target State Process Flows
Target State Concept of Operations 
Best Practice
Confirm the accuracy of the organizational structures based on the records maintained by first level managers versus the customer human capital office
Stakeholders
Program Manager (C, P)
Change Management Lead (C, P)
Training Lead (C, P)
Communications Lead (C, P)
Outputs
Target State Organization Design 
Workforce Assessment
Workforce Transition Strategy
Target State Process Flows
Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
4-7
70

Technology4.6 Conduct Security and Privacy Reviews
Objective: Conduct security and privacy reviews to validate the system (data, applications, interfaces, network) is protected and personally identifiable information (PII) and data are secure.

Activities
Conduct Privacy Reviews:
Develop Privacy Framework to include system categorization, data type, handling, storing and sharing method, and incident response process (S)
Develop Privacy documentation and training material (if needed) to provide guidance to all stakeholders (S)
Implement privacy training roadmap and integrate with overall Training Plan (S) 
Roll out privacy regulations to all users (S)
Document and receive Systems of Record Notice (SORN), if required (S)
Conduct Security Reviews:
Understand provider security environment and assess against requirements (S)
Develop Security documentation and Security Test Plan if applicable (S)
Execute security test according to test plan to include both physical and logical security, document and correct issues (S)
Request and receive Authority to Operate (ATO) if necessary (S) 

Inputs
Requirements Traceability Matrix (RTM)
Requirements Fit-Gap Analysis
Target State Concept of Operations
Technical Strategy
Training Plan
Best Practice
Understand the customer’s ATO process and allow sufficient time to get documentation through review and approvals
Develop and define Security/Privacy plan before development as part of the Target State Solution Architecture
Begin security and privacy planning early and include security steps across all migration phases
Stakeholders
Program Manager (C, P)
Functional Lead (C, P)
Functional SME (C,P)
Data SME (C)
Technical Lead/Solution Architect (C, P)
Security Lead (C, P)
Information Systems Security Officer (ISSO) (C, P)
Network SME (C, P)
PMO Lead (C, P)
Outputs
Security Documentation, including Security Test Results and ATO 
Privacy Documentation, including Initial Privacy Assessment, FIPS 199, SORN, Privacy Impact Assessment 
Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
4-8




Technology4.7 Define Roles and User Access
Objective: Define roles and user access according to user requirements.
Activities
Document roles and access rights, segregation of duties, identification (ID) request and ID management processes based on Identity, Credentials, and Access Management Framework (ICAM) (S)
Finalize roles and responsibilities for granting user access in Operations and Maintenance (O&M) (S)
Implement Security Configuration for user roles and user access as documented in ICAM (P)
Assign user access rights to employees (S)
Load production user accounts (P)
Test production user accounts (P)
Provide credentials to end users for testing, training, and production (S)
Inputs
Requirements Traceability Matrix (RTM)
Requirements Fit-Gap Analysis
Target State Process Flows
Target State Organization Design
Technical Strategy
Best Practice
Have an ID management tool, ID request process, and contact center procedures to resolve access related issues in place before cutover
Provide sufficient security access to the deployment team to perform their tasks effectively in advance of deployment 
Establish security roles and responsibilities well in advance of deployment to resolve issues while time allows
Stakeholders
Program Manager (C, P)
Functional Lead (C, P)
Technical Lead/Solution Architect (C, P)
Security Lead (C, P)
ISSO (C, P)
Network SME (C, P)
PMO Lead  (C, P)
Change Management Lead (C,P)
Training Lead (C, P)
Outputs
Baselined List of ID Credentials
Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
4-9

Technology4.8 Configure Systems 
Objective: Configure changes and enhancements of system software, hardware, and documentation throughout the life cycle.
Activities
Document Configuration Workbooks to understand data and system layouts (P)
Create baseline system configuration and execute unit test to validate configuration changes (P)
Assess and define batch jobs (P)
Define and verify business process controls framework (P)
Baseline and sign-off on functional and technical requirements (S) 
Develop functional and technical specifications for enhancement based on requirements (P)
Code and unit test enhancements (P)
Validate the configuration and controls with customer Functional Subject Matter Experts (SMEs) (and Technical SMEs) to validate enhancements have met requirements (S)
Inputs
Requirements Traceability Matrix (RTM)
Target State Architecture Solution
Technical Strategy
Requirements Fit-Gap Analysis
Configuration Management Plan
Best Practice
Leverage functional specifications to support contact center team, test case, script development, training development, and user guide development
Conduct Configuration Workbook validation after Conference Room Pilots (CRPs) to help the customer better understand the configuration options
Consider hiring or staffing independent Enterprise Resource Planning (ERP) experts to provide unbiased configuration alternatives for the customer
Stakeholders
Program Manager (P) 
Technical Lead/Solution Architect (P)
Configuration Lead (P)
Development Team (P)
Functional Lead (C, P)
Functional SME (C, P)
Managing Partner/Service Are Sponsor (Service Area)

Outputs
RTM
Configuration Workbooks 
Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
4-10

Technology4.9 Design and Develop Interfaces
Objective: Design and develop interfaces between applications.
Activities
Create or update Interface Control Documents to describe the functionality including data flow, security and controls, and transfer methods between various legacy systems (P)
Leverage standard interfaces and application programming interfaces (APIs) to create connections between applications (S)
Coordinate with the interface partner to collaborate and agree on data exchanges, integration methods and unit testing timeframes (S)
Code and unit test Interfaces (P)
Establish batch jobs to execute interfaces and conduct integration testing (S)
Inputs
Requirements Traceability Matrix (RTM)
Target State Architecture Solution
Technical Strategy
Requirements Fit-Gap Analysis 
Target State Concept of Operations
Best Practice
Maintain a detailed network architecture to help troubleshoot interface design and development issues 
Conduct frequent checkpoints with interfacing application developers between customer and provider
Coordinate early with external interface providers to properly plan testing windows
Stakeholders
Program Manager (C, P)
Technical Lead/Solution Architect (C, P)
Development Team (C, P)
Functional Lead (C, P)
Network SME (C, P)
Outputs
Interface Control Document
Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
4-11

Technology4.10 Design and Develop Reports
Objective: Design and develop operational reports.
Activities
Based on reporting requirements within Requirements Traceability Matrix (RTM), design reports (P)
Leverage standard reports available in the existing application (S)
Validate report designs with customer (S)
Build and unit test reports (P)
Provide sample reports and prepare for user testing (P)
Inputs
RTM
Reports Design Document

Best Practice
Conduct a thorough analysis of current reports to determine which are still needed or used before developing reports in the new system
Prioritize reporting requirements and develop reports in phases
Include sufficient time to develop and test reports

Stakeholders
Program Manager (P)
Technical Lead/Solution Architect (P)
Development Team (P)
Functional Lead (P)
Functional SME (C, P)
Network SME (P)
Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
4-12
Outputs
Reports Design Document

Technology4.11 Conduct Mock Conversions
Objective: Conduct mock data conversions to test transfer of data.
Activities
Define and test conversion scenarios (S)
Design, build and unit test data conversion including extracting, transforming, and loading procedures (S)
Design, build, and unit test validation/reconciliation reports (S)
Test manual conversion and document results (P)
Run mock conversion and document results in a Mock Conversion Report (P)
Clean up data issues uncovered during mock conversions (S)
Repeat subsequent mock conversions and update scripts as necessary, cleansing more data each time until program team is satisfied with data accuracy (S)
Inputs
Requirements Traceability Matrix (RTM)
Technical Strategy
Data Conversion Plan
Data Cleansing Plan 
Data Quality Results
Best Practice
Conduct multiple mock conversions to mitigate complex conversion risks and include enough time in the IMS to correct anomalies and update conversion programs
Use the Data Conversion Plan to identify strategies for converting data from an existing system to a new system environment. Define system structure, hardware and software conversion steps, and type of conversion effort. Identify available data, its preparation requirements for conversion, and necessary updates to available interfaces. Establish data quality assurance controls for before and after data conversion, and define tasks, procedures, and necessary support for carrying out conversion efforts
Use the Mock Conversion Report to define data required for conversion, understand the percent of data successfully converted, and develop a data conversion issue list to track resolved and outstanding items. Evaluate data conversion against success criteria to determine readiness for cutover and develop history of prior data conversion runs
Stakeholders
Program Manager (C, P)
Functional Lead (C, P)
Functional SME (C)
Technical Lead/Solution Architect (C, P)
Development Team (C, P)
Network SME (C, P)
Data Conversion Lead (C, P)
Data SME (C, P)
Outputs
Data Conversion Plan 
Mock Conversion Report 
Conversion Defect Log
Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
4-13

Technology4.12 Test Systems and Processes
Objective: Test systems and processes and trace test cases and results in the Requirements Traceability Matrix (RTM). 
Activities
Develop Test Plans and Scripts (Integration, System, Regression, Performance/Stress, User Acceptance, 508, Smoke) (S)
Plan and develop test data (S) 
Execute tests for each test cycle (S)
Record, correct, and report defects in Test Defect Log (S)
Perform regression test (S)
Develop Test Results Report for each test cycle, confirm exit criteria have been met, and document results in RTM (S)
Inputs
RTM
Target State Concept of Operations
Technical Strategy
Interface Control Document
Target State Process Flows
Baselined List of ID Credentials

Best Practice
Sequence System Integration Testing (SIT) and User Acceptance Testing (UAT) testing with mock conversions to be able to test with quality data to validate both system functionality and reports/data
Implement a consolidated defect tracking tool for use by both provider and customer during test planning; agree upon implementation tools (like requirements management and defect tracking tools) in the Provider Agreement
Leverage the RTM to map and trace requirements, test cases, and test scripts
Involve testing team members in requirements sessions to understand requirements better
Use the Test Defect Log to create test case and associated test scripts for each requirement, and define tester and test acceptance criteria. Log, track, and assign ownership for resolution of test issues to address outstanding items
Use the Test Results Report to document tested system functions, completed test case percentages, and a mapped user story and test issue list including resolved and outstanding defects. Determine test acceptance and readiness of system for next steps
Stakeholders
Program Manager (C, P)
Technical Lead/Solution Architect (C, P)
Development Team (C, P)
Functional Lead (C, P)
Test Lead (C, P)
Test Team (C, P)
Outputs
Test Plan 
Test Scripts
Test Results Report 
Test Defect Log 
RTM

Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
4-14

Workforce, Organization & Stakeholders4.13 Execute Workforce Transition and Prepare for Go-Live 
Objective: Execute against and expand upon Communications Plan to include targeted communications against the Cutover Plan.


Activities
Develop and deliver messages based on the Communications Plan (C)
Monitor feedback from stakeholders and adjust Communications Plan (C)
Update Communications Plan based on labor relations meetings (C) 
Update Workforce Assessment to identify how the workforce may be impacted by the migration (C)
Update Change Readiness Assessment to further understand stakeholder ability to adapt to change; update the Change Management Plan as necessary (C)
Create an additional Targeted Cutover Communications Plan based on Go-Live schedule and activities (S)
Update Communications Plan based on workforce transitions to the Target State Organization Design, if needed (C)
Develop strategy for employee transition and notify staff of reorganization, if required (C)  
Develop and deliver messages based on the Targeted Cutover Communications Plan (S)
Inputs
Communications Plan 
Change Management Plan
Workforce Assessment
Change Readiness Assessment
Best Practice
Deliver communications to stakeholders directly before Go-Live regarding new systems, processes, and roles
Establish or maintain a PMO dedicated to continue to assess the impact of reorganization on the workforce 
Stakeholders
Program Manager (C, P)
Training Lead (C, P)
Change Management Lead (C, P) 
Communications Lead (C, P)
Functional Lead (C, P)
Technical Lead/Solution Architect (C, P)
Outputs
Communications Plan
Targeted Cutover Communications Plan 
Workforce Assessment
Change Readiness Assessment
Change Management Plan

Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
4-15
78

Workforce, Organization & Stakeholders4.14 Execute Training for Go-Live 
Objective: Develop and deliver training to the organization to prepare for Go-Live. 

Activities
Review and update the Training Plan to include specific training styles tailored to customer segments affected by the migration (C)
Design training content and supporting materials and develop job-aids (S)
Plan logistics for training delivery and confirm training roles and responsibilities (S) 
Deliver training (S)
Develop Training Evaluation form and feedback process (S)
Collect feedback and update Training Materials and delivery methods as needed (S) 
Inputs
Training Plan
Best Practice
Consider developing webpages to share information for ease of access and frequent use by employees
Provide training in a variety of formats to accommodate different learning styles of stakeholders 
Stakeholders
Program Manager (C, P)
Training Lead (C, P)
Change Management Lead (C, P)
Communications Lead (C, P)
Outputs
Training Plan 
Training Materials
Training Evaluations
Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
4-16
79

Workforce, Organization & Stakeholders4.15 Execute Labor Relations Strategy
Objective: Continue to manage the relationship(s) with the union(s).

Activities
Review Target State Organization Design and updates to requirements based on the migration along with the updated Workforce Assessment to identify potential impacts on staff (C)
Engage in communications with Union Leadership based on Labor Relations Strategy (C)
Determine the methods to align to collective bargaining agreements, resolve issues and document outcomes and next steps (C)
Update the Labor Relations Strategy as needed (C)
Finalize union agreements to proceed with deployment activities (C)
Inputs
Labor Relations Strategy
Change Management Plan
Target State Organization Design
Workforce Assessment
Best Practice
Encourage participation in regularly scheduled “Meet and Discuss” session with union leadership and organization management
Stakeholders
Program Manager (C)
Change Management Lead (C)
Communications Lead (C) 
Labor Relations Leader (C)
Outputs
Labor Relations Strategy 
Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
4-17
80

Program Management4.16 Assess Readiness for Go-Live
Objective: Monitor program performance and measure against Go-Live criteria to assess the program’s readiness for Go-Live.

Activities
Finalize Go/No-Go Criteria, which may include program readiness, system readiness, workforce readiness, and operational readiness (S)
Identify deliverables/milestones required to demonstrate successful migration (S) 
Develop Contingency Plan to prepare in case a No-Go decision is made or solution needs to be rolled back to existing environment (S)
Perform Go/No-Go Assessment using criteria and develop Go/No-Go Assessment Report and preliminary decision 30 – 60 days prior to Go-Live (S)
Present Go/No-Go Assessment to customer and provider leadership, along with key stakeholders, to review decision and finalize (S)
Document results of Go/No-Go decision, including mitigation steps for risks for deploying the solution or executing the Contingency Plan (S)
Inputs
Go/No-Go Assessment Criteria
Status Reports/Dashboards
Integrated Master Schedule (IMS)
Program Management Plan
Risks, Actions, Issues, and Decisions (RAID) Log
Best Practice
Define Go/No-Go Assessment Criteria upfront and define measurable criteria to make decisions
Use the Contingency Plan to account for all decision scenarios resulting from the Go/No-Go assessment (e.g., No-Go Decision, Roll-Back Decision). For each scenario, this includes completed plans for required communications and activities, detailed analysis of impacted systems and interfaces, and defined roles and responsibilities for re-planning activities and managing legacy systems
Stakeholders
Executive Sponsor (C, P) 
Business Owner (C, P)
Business Standards Lead (C)
Program Manager (C, P)
PMO Lead (C, P)
PMO Team (C, P)
Functional Lead (C, P)
Technical Lead/Solution Architect (C, P)
Outputs
Contingency Plan 
Go/No-Go Readiness Criteria
Go/No-Go Assessment Report
Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
4-18

Technology4.17 Develop and Execute Cutover Plan for Go-Live
Objective: Create and execute Cutover Plan to deploy the solution into production.
Activities
Develop Cutover Plan to include pre cutover, cutover, and post cutover steps (S) 
Integrate the Cutover Plan with the overall communication and program Go-Live schedule (S)
If Go decision is made, begin executing Cutover Plan and monitor activities towards deployment (S)
If No-Go decision is made, execute Contingency Plan procedures (S)
Communicate the cutover activities to stakeholders (S)
Execute pre cutover tasks (S)
Initiate post cutover activities to include warranty period support (P)
Schedule all necessary checkpoints to monitor Go-Live progress (S)
Execute cutover tasks to include deployment of code to production, activation of system components, and securing or shutting down legacy systems (P)
Initiate post cutover activities to include warranty period support (P)
Update decommission plan for legacy systems (C)
Inputs
Requirements Traceability Matrix (RTM)
Technical Strategy
Integrated Master Schedule (IMS)
Decommission Plan 
Contingency Plan
Go/No-Go Readiness Criteria
Go/No-Go Assessment Report
Best Practice
Establish an ongoing and committed contact center support at each organization to help facilitate Go-Live transition 
Have all key Subject Matter Experts (SMEs) available onsite during final pilot trial and actual deployment
Conduct daily meetings to monitor progress and issues for timely resolution
Use the Cutover Plan to define cutover communication steps and checkpoint meetings, align resources, and identify risks with aligned contingency plans in place. Determine activities for before, during, and after the day of cutover

Stakeholders
Program Manager (C, P)
Functional Lead (C, P )
Technical Lead/Solution Architect (C, P)
Security Lead (ISSO) (C, P)
Network SME (C, P)
PMO Lead (C, P)
PMO Team (C, P)
Change Management Lead (C, P)
Communications Lead (C, P)
Data Conversion Lead (C, P)
Interface Lead (C, P)
Outputs
Cutover Plan 
Decommission Plan
Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
4-19

Documentation Required for Phase 4 Progress Review
The following documentation is required in guiding a discussion to demonstrate readiness and gain approval for Phase 4. Agencies purchasing transaction processing services only will identify relevant activities and examples for their project using the M3 Services Tailoring Guide.
Exit Criteria (to move into Phase 5)
Go/No-Go Criteria Met
Information Contained in Progress Review Discussion
Business Operations Readiness Criteria Tasks and Status
Contingency Plan
Data Conversion Results
M3 Risk Assessment Tool
Organizational Readiness Criteria Tasks and Status 
Program Management Readiness Criteria Tasks and Status 
Risk and Issues Summary
Technology Readiness Criteria Tasks and Status 
Test Results


Phase 4 Documentation
Baselined List of ID Credentials 
Business Process Reengineering Strategy 
Change Management Plan 
Change Readiness Assessment
Change Request Form 
Change Request Log 
Communications Plan 
Configuration Management Plan
Configuration Workbooks 
Contingency Plan 
Conversion Defect Log 
Cutover Plan 
Data Conversion Plan 
Decommission Plan 
Desk Guides/User Guide
Go/No-Go Assessment Report 
Go/No-Go Readiness Criteria 
Independent Verification & Validation (IV&V) Plan 
Integrated Master Schedule (IMS) 
Interface Control Document 
Labor Relations Strategy 
M3 Risk Assessment Tool
Mock Conversion Report 
O&M Governance Plan 
Privacy Documentation 
Program Management Plan 
Resource Management Plan
Reports Design Document 
Requirements Traceability Matrix (RTM) 
Risk Management Plan 
Risks, Actions, Issues, and Decisions (RAID) Log 
Security Documentation
Standard Operating Procedures 
Status Reports/Dashboards 
Target State Organization Design 
Target State Process Flows
Target State Process Maps
Targeted Cutover Communications Plan 
Test Defect Log 
Test Plan 
Target State Concept of Operations
Test Results Report
Test Scripts 
Training Evaluations 
Training Materials 
Training Plan 
Workforce Assessment 
Workforce Transition Strategy 
4-20
83

Phase 5: Operations
5-1
84

Phase 5 Summary
Objective:
Deliver services and conduct continuous process improvement.
5-2
Responsible Party:            Customer             QSMO             Provider             Shared
Program 
Management
Workforce, Organization, & Stakeholders
Technology
Process & Service 
Delivery
5.1 Review Performance Against Expected Benefits
5.2 Collect Lessons Learned
5.3 Implement Operations & Maintenance (O&M) Governance
5.4 Support Stabilization and Perform Change Management
5.5 Maintain Applications Post Go-Live
5.6 Decommission Legacy Systems
5.7 Conduct Continuous Process Improvement
5.8 Manage Integrated Contact Center 
5.9 Monitor and Update Service Level Agreements (SLAs)
Phase 5: Operations
Activities
85

Program Management5.1 Review Performance Against Expected Benefits 
Objective: Evaluate and measure the migration’s performance and success to determine if objectives were achieved. 

Activities
Receive all final deliverables/milestones to determine program completion (S)
Evaluate schedule, scope, and cost of the migration against baseline metrics including performance against relevant metrics that align with the QMSO Performance Management Framework (S)
Collect data and evaluate Success Metrics and relevant metrics that align with the QSMO Performance Management Framework against baseline targets (S)
Document the results of the program management success metrics and relevant metrics that align with the QSMO Performance Management Framework and present results to key stakeholders (S)
Collect and archive your cost actuals (S)
Outputs
Final Report on Success Metrics
Inputs
Program Charter
Program Management Plan 
Integrated Master Schedule (IMS)
Success Metrics
Service Level Agreements (SLAs)
QSMO Performance Management Framework Metrics
Stakeholders
Executive Sponsor (C, P) 
Business Owner (C, P)
Program Manager (C, P)
PMO Lead (C, P)
PMO Team (C, P)
Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
5-3
Best Practice
Set defined performance and success metrics (including baselines and targets) at the beginning of the program to be able to measure and communicate the benefits intended and ultimately achieved
Measure performance against key performance indicators (KPIs) set in Phase 1, internal and external standards including benchmarks.gsa.gov, and the Federal Integrated Business Framework (FIBF) Performance Management Framework
Correctly set expectations of performance noting that while savings often are realized from shared support arrangements, the efficiencies do not appear immediately and in the short-run may appear to be more costly during the stabilization period

Program Management5.2 Collect Lessons Learned
Objective: Identify the Program’s successes and areas for improvement, and report findings in a Lessons Learned Report.

Activities
Develop a Lessons Learned Questionnaire and provide it to program stakeholders to gather feedback on the successes and areas for improvement, including feedback on the Communications Plan (S)
Distribute questionnaire and provide time for response (S) 
Identify major successes and areas for improvement based on stakeholder responses (S)
Facilitate a Lessons Learned Session with program stakeholders to review and further discuss Lessons Learned Questionnaire findings and additional program insights(S)
Document the major successes, areas for improvement, and lessons learned of the program and present the Lessons Learned Report to the key stakeholders (S)
Conduct knowledge transfer from migration team to Operations and Maintenance (O&M) team and closeout program (S)
Best Practice
Three key questions should be included in the Lessons Learned Questionnaire; (1) What went well, (2) What went wrong, and (3) What could be improved. The survey should also include questions around project activities scored on a range from low to high to allow participants to quantitatively identify what went well and what didn’t. Recommended questions categories could include project management, technology, communication, business processes, requirements, design and build, and testing and implementation 
When facilitating the Lessons Learned Session, the facilitator should utilize the Questionnaire findings, key project documents, and project survey results to help guide the participant conversation
Use the Lessons Learned Report to document the program's effectiveness by comparing the Baseline Performance and Success Metrics against the Target Performance Success Metrics and how well it aligned with the Performance Management Framework. Identify the unmet performance gaps and develop continuous improvement strategies that can help eliminate them
Outputs
Lessons Learned Questionnaire
Lessons Learned Session
Lessons Learned Report
Inputs
Communications Plan
Program Charter
Program Management Plan 
Integrated Master Schedule (IMS)
Status Report/Dashboard
Stakeholders
Executive Sponsor (C, P) 
Business Owner (C, P)
Program Manager (C, P)
PMO Lead (C, P)
PMO Team (C, P)
Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
5-4

Program Management5.3 Implement Operations & Maintenance (O&M) Governance
Objective: Implement O&M governance structures to manage and oversee performance after Go-Live.
Activities
Finalize Integrated O&M Governance Plan to include integrated governance authority, roles, and responsibilities for decision-making on topics such as risk/issue escalation, Service Level Agreement (SLA) and Provider Agreement monitoring, contract negotiations, service requests/change requests management after system Go-Live (S)
Implement processes, integrated governance meeting cadence, and reporting timelines for customer and provider (S) 
Update Governance Plan and processes as changes are identified or conduct an annual review (at a minimum) to determine if changes are needed (S)
Review and report on SLAs after Go-Live on the timeline specified in the SLA (P) 
Review Provider Agreement and SLAs at least once annually and determine if updates need to be made (C)
Inputs
SLAs
Provider Agreement
Best Practice
Encourage decisions to be made at the lowest possible level, while allowing elevation of important or contentious issues through the governance model
Implement an integrated recurring meeting and status reporting cadence to help align customer and provider leadership on the status of ongoing activities and priorities
Stakeholders
Business Owner (C, P)
O&M Team (C, P)
Outputs
O&M Governance Plan
SLA Performance Reports 
Change Request Log
Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
5-5

Workforce, Organization & Stakeholders5.4 Support Stabilization and Perform Change Management
Objective: Maintain regular communication with stakeholders and assess the effectiveness of the training after the migration is complete to support stabilization and user adoption.
Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
5-6
Activities
Develop and deliver messages based on the Targeted Cutover Communications Plan (S)
Assess the impact of the Targeted Cutover Communications Plan and provide stabilization support for transition (S)
Continue to conduct change management activities and training for employees during the stabilization period (S) 
Assess the impact of change management activities and training for employees through elevations and metrics (S)
Document lessons learned from Training Evaluations and stakeholder feedback on communications (S)
Update the existing Change Management, Communications, and Training Plans to account for the Operations and Maintenance (O&M) section (S) 
Conduct training on a regular basis, specifically as new employees are on-boarded or as process improvements and/or system enhancements are made (S) 
Develop and deliver ongoing methods and Communications Materials to message process improvements and/or system enhancements (S) 
Best Practice
Develop and execute frequent and multi-directional communications to increase the likelihood that most stakeholders receive the messages
Maintain job-aids, Standard Operating Procedures (SOPs) and Frequently Asked Questions (FAQs) and other documentation and ensure they are readily available for employees to refresh after migration 
Use the O&M sections within the Change Management, Communications, and Training Plans to capture what the expected changes are and how best to manage them
Encourage exploration by those impacted by changes and address perceived resistance to improve the change adoption. Reinforce change in the transition by using communication and training to gather customer and staff feedback during the process
Continue to seek feedback from all stakeholder groups to better ensure a successful change process
Inputs
Change Management Plan
Training Materials 
Training Assessment and Metrics
Targeted Cutover Communications Plan
Communications Plan
Training Plan
Stakeholders
Business Owner (C,P) 
Change Management Lead (C, P)
Communications Lead (C, P)
O&M Team (C, P)
Training Lead (C, P)


Outputs
Completed Training Evaluations
Change Management Plan
Communications Plan
Training Plan 
Communications Materials 
Training Materials
89

Technology5.5 Maintain Applications Post Go-Live
Objective: Support and maintain application post Go-Live to address system and user’s concerns for operational effectiveness.

Activities
Provide heightened levels of service for 90 days after Go-Live to ensure stabilization (e.g., service desk, incident management, event management, access management) (P)
Develop Post Implementation and Evaluation Report to capture lessons learned and next steps (S)
Maintain applications, update documentations, and adjust resource, as required, through Information Technology Information Library (ITIL) management to meet Service Level Agreements (SLAs) and sustain an agreed upon level of operational performance (P)
Plan and perform future modernization efforts to improve operational effectiveness (P)

Inputs
Requirements Traceability Matrix (RTM)
Target State Systems Environment
Technical Strategy
Cutover Plan
SLAs
Best Practice
Engage Operations and Maintenance (O&M) team early and conduct multiple simulations and training to adequately prepare support team before cutover
Gain agreement on SLAs and SLA reporting and processes in advance of cutover
Determine system administration split of responsibilities between customer and provider early and develop documentation to support


Stakeholders
O&M Team (C, P)
Outputs
Post Implementation and Evaluation Report
Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
5-7

Technology5.6 Decommission Legacy Systems
Objective: Retire legacy systems including hardware, software, licenses, interface, and close out support contracts.

Activities
Once the Cutover Plan is complete, execute the Decommission Plan (C)
Finalize plans for hardware disposition, software licensing, and contract end of life plan (C)
Archive software, data, and documentations (security and access) necessary to bring back the system if required (C)
Retire applications, databases, and hardware per requirements (C)
Provide Decommission Report to appropriate stakeholders (C)
Inputs
Cutover Plan
Decommission Plan

Best Practice
Build the Decommission Plan into the overall migration program to capitalize on cost reduction and operational improvements
Stakeholders
Program Manager (C)
Business Owner (C)
Functional Lead (C)
Technical Lead/Solution Architect (C)
Security SME (C)
Network SME (C)
O&M Team (C) 
PMO Lead (C) 
Outputs
Decommission Report
Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
5-8

Process and Service Delivery5.7 Conduct Continuous Process Improvement
Objective: Monitor operational performance to identify and implement process improvement opportunities. 
Activities
Monitor performance of the new system and processes (S)
Identify areas for process improvement (S)
Validate As-Is and document Target State Process Flows and update Standard Operating Procedures (SOPs) (S)
Communicate changes to stakeholders and train end users as necessary (S)
Inputs
Target State Process Flows
SOPs
Service Level Agreements (SLAs)
Lessons Learned Report
Best Practice
Define key performance metrics to monitor operations and identify improvement opportunities
Define meeting cadence and mechanism for performance reviews, including customer satisfaction surveys
Use SOPs to continue monitoring process flows in order to identify potential opportunities for process enhancement, updating SOPs on a regular basis
Leverage the QSMO Performance Management Framework and the Performance Management Guidebook for guidance on continuous performance management and improvement

Stakeholders
Change Management Lead (C, P)
Communications Lead (C, P)
O&M Team (C, P)
Training Lead (C, P)

Outputs
Target State Process Flows 
SOPs
SLAs
Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
5-9

Process and Service Delivery5.8 Manage Integrated Contact Center 
Objective: Provide service and assistance to customers in Operations & Maintenance (O&M). 
Activities
Provide customer care for issue resolution and escalation according to service level agreement (SLA) metrics (P)
Coordinate escalated requests between customer and provider (S) 
Document frequent issues and make appropriate requirement changes and training adjustments (S)
Inputs
SLAs
Contact Center Strategy
Best Practice
Define mandatory requirements clearly and align with SLAs

Stakeholders
Business Owner (C, P)
Program Manager (C ,P)
PMO Lead (C, P)
PMO Team (C, P)
Functional Lead (C, P)
Functional SME (C, P)
Training Lead (C, P)
Change Management Lead (C, P)
Communications Lead (C, P)
Outputs
SLAs
Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
5-10

Process and Service Delivery5.9 Monitor and Update Service Level Agreements (SLAs)
Activities
Create reports based on ongoing tracking/managing of performance against established Service Level Agreements (SLAs) (S)
Identify any gaps between customer service level requirements and provider capabilities (S)
Update SLAs according to the new operational and financial terms and conditions (i.e., timing of services, cost for services, payment terms) (S) 
Inputs
SLAs
Best Practice
Ensure proper monitoring of SLAs where both customer and provider responsibilities are clearly defined
Work collaboratively across the provider and customer to identify and capture the appropriate performance metrics and targets (SLAs include customer defined performance measures with associated targets inclusive of metrics to monitor customer responsiveness and quality)
Review Provider Agreements, SLAs, and Life Cycle Cost Estimate (LCCEs) for any potential updates that may be required

Stakeholders
Executive Sponsor (C, P)
Business Owner(C, P)
Program Manager (C, P)
PMO Lead (C, P)
PMO Team (C, P)
Functional Lead (C, P)
Technical Lead/Solution Architect (C, P)
Technical SME(C, P)
Functional SME(C, P)
Outputs
SLAs 
Responsible Party:   (C) Customer     (Q) QSMO     (P) Provider     (S) Shared
5-11
Objective: Update the agreement on the level of service provided by the provider to the customer during operations and maintenance (O&M) for a defined period of time.

Resources
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Resources
For sample documentation from previous modernizations and migrations, please go to the M3 Example MAX Page. 

For additional information on what types of services typically are acquired during migrations, go to the M3 Service Categories page.

M3 Playbook
Descriptions for how to apply the M3 framework for a modernization or migration, including detailed activity steps, inputs, outputs, lessons learned, and stakeholders involved.
M3 Playbook PDF

M3 Document and Example Tracker	
Outlines the initial creation and updates of M3 Documents as outlined throughout all Phases for easy-to-follow tracking and maintenance. It also includes a list of current M3 Examples as stored on Max.gov.
M3 Document and Example Tracker

Tollgate Review Templates
Templates aid customers and providers in the completion of activities, providing aspects to consider while completing the activity. Templates do not have to be used if a customer or provider organization already has its own template as long as the detail included is the same.
Phase 1 Tollgate Review
Phase 2 Tollgate Review
Phase 3 Tollgate Review
Phase 4 Tollgate Review
Templates
As Is System Environment
Baseline and Target Performance Success Metrics
Business Needs Workbook
Business Readiness Assessment Template
Change Management Plan
Change Request Form
Communications Plan
Configuration Management Plan
Data Conversion Plan
Governance Plan
Investment Readiness Checklist
Lessons Learned Report
Master Schedule
Provider Assessment
RAID Log
Requirements Management Plan
Requirements Traceability Matrix
Resource Management Plan
Risk Assessment Tool
Risk Management Plan
Stakeholder Analysis
Status Report Dashboard
Target State CONOPS
Test Plan
Training Plan
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Service Categories
The following are services typically acquired during migrations:
Category
Service
Definition
M3 Phase
0
1
2
3
4
5
Professional Services
Strategy and Feasibility Studies
Initial study to determine best course of action for future migrations (e.g., what systems should migrate when)
x
Professional Services
Program Management Office (PMO) Support
Provide program management support throughout the planning and migration process
x
x
x
x
x
Professional Services
Proposal Support (e.g., providing estimates to potential customers)
Support SSP in developing estimates for the costs for new customers to migrate to the SSP solution
x
x
Professional Services
Integrated Master Scheduling (IMS) Support
Support in developing an integrated master schedule between the provider and customer
x
x
x
x
Technical Services
System Documentation
Document existing system requirements
x
x
x
Professional Services
Business Process Mapping
Document existing business processes related to the system/service being migrated or modernized
x
x
Technical Services
Gap Analysis and Benchmarking
Assist in understanding gaps between the customer requirements and provider’s standard solution and processes and developing gap solutions
x
x
Technical Services
Data Cleansing and Migration
Review existing data; identify data with errors and make corrections; migrate data into new system
x
x
x
x
Subject Matter Expertise
Independent Verification and Validation (IV&V)
Independent verification and validation to evaluate the correctness and quality of critical and complex software systems throughout the system development life cycle
x
x
x
x
Professional Services
Business Process Reengineering (BPR)
Develop and document new business processes as they relate to the end state of the migration
x
x
Technical Services
Test and Evaluation Services
Conduct necessary testing to ensure that the migration is occurring successfully
x
x
Technical Services
Integration (e.g., interface development)
Development of interfaces/integration between systems
x
x
x
Technical Services
Integrator Support
Support for the provider throughout the process of migrating a customer to the provider’s offering
x
x
x
x
Professional Services
Change Management Support
Identification of change management needs, development of materials and training, if necessary
x
x
x
x
x
Professional Services
Business Intelligence and Reporting
Tool to consolidate data and provide canned and customizable reports
x
x
x
Subject Matter Expertise
Accounting Subject Matter Experts
Provide expertise in accounting during financial systems migration
x
x
x
x
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Abbreviations
Abbreviation
Definition
ATO
Authority to Operate
BI
Business Intelligence
CooP
Continuity of Operations
CPIC
Capital Planning and Investment Control
CSSP
Commercial Shared Services Providers
ERP
Enterprise Resource Planning
FAQ 
Frequently Asked Questions
FIBF
Federal Integrated Business Framework
FSSP
Federal Shared Services Providers
GSA
General Services Administration
HR
Human Resources
IAA
Interagency Agreement
ID
Identification
IMS
Integrated Master Schedule
ICAM
Identity, Credentials, and Access Management Framework
IT
Information Technology
ITIL
Information Technology Information Library 
ISSO
Information Systems Security Officer 
IV&V
Independent Verification and Validation
LCCE
Life Cycle Cost Estimate
O&M
Operations and Maintenance
Abbreviation
Definition
OMB
Office of Management and Budget
OSSPI
Office of Shared Solutions and Performance Improvement
PIV
Personal Identification Verification
PMO
Program Management Office
PWS
Performance Work Statement
QASP
Quality Assurance Surveillance Plan
QSMO
Quality Service Management Offices
RAID 
Risks, Actions, Issues, and Decisions 
RACI
Responsible, Accountable, Consulted, Informed
RFI
Request for Information
RFP
Request for Proposal
RFQ
Request for Quote
ROI
Return on Investment
ROM
Rough Order of Magnitude
RTM
Requirements Traceability Matrix
SLA
Service Level Agreement
SME
Subject Matter Expert
SOP
Standard Operating Procedure
SORN
System of Records Notice 
SSP
Shared Services Providers
Abbreviations 

Glossary - Stakeholders
Stakeholder
Definition
Budget or Financial Analyst 
Individual(s) conducting  budget or financial analysis
Business Owner  
Responsible leader(s) for particular business functions on customer side, e.g., CFO, CHCO
Change Management Lead
Responsible leader(s) for change management activities for the program
Communications Lead
Responsible leader(s) for communications activities for the program
Configuration Lead
Responsible leader(s) for configuration changes 
Contracting Procurement Officer 
Individual(s) responsible for acquisition for the organization and managing contracts
Data Conversion Lead 
Responsible leader(s) for data conversion for the program
Data SME
Individual(s) with data subject matter expertise
Development Team
Group of individuals responsible for developing the technical solution
Executive Sponsor 
Executive(s) who sponsors the program
Functional Lead
Responsible leader(s) for the functional aspect of solution implementation 
Functional SME
Individual(s) with functional subject matter expertise
Interface Lead 
Responsible leader(s)  for managing interfaces during the solution implementation
IV&V Team
Group of individuals responsible for verifying and validating processes
Information Systems Security Officer (ISSO)
Individual(s)  who is (are) responsible for information systems security 
Labor Relations Leader
Responsible leader(s) for labor relations with the Union(s)
Service Area Lead/Service Area Sponsor
Expert(s) from a particular Service Area who represents that Service Area
Network SME
Individual(s) with network subject matter expertise
Stakeholder
Definition
O&M Team
Group of individuals who run O&M for customer and provider 
OSSPI
Office that coordinates government-wide shared services governance, executes program management, and develops processes to support development and implementation of OMB policy as it relates to mission support services
PMO Lead
Responsible leader(s) for managing and overseeing program activities
PMO Team
Group of individuals responsible for preventing governance gaps in program activities
Program Manager
Individual(s) managing the overall program and integration of activities
QSMO
Designated federal agency serving as governmentwide storefronts and brokers, offering solutions for technology and services in their functional area
Requirements Lead
Responsible leader(s) for the process of defining and managing requirements
Risk Lead
Responsible leader(s) for risk management processes
Risk Manager
Individual(s) managing risk management processes
Security Lead 
Responsible leader(s) for security management
Security SME
Individual(s) with security subject matter expertise
Technical Lead/Solution Architect
Responsible leader(s) for the technical aspects of solution implementation
Technical SME
Individual(s) with technical subject matter expertise
Test Lead
Responsible leader(s) for testing
Test Team
Group of individuals who run testing
Training Lead
Responsible leader(s) for running training
Workforce Lead 
Responsible leader(s) for workforce planning
Glossary -1