M3 Playbook > Phase 1: Readiness
Phase 1: Readiness
Objective
Prepare the migrating organization by defining initial scope of services and customer governance for the modernization effort.
Recommended Actions
Program Management
1.1
Conduct a Business Readiness Assessment
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.Responsible Party
customerInputs
- Project Business Case
- Vision Statement
Outputs
1.2
Establish Initial Customer Program Management Office (PMO) Processes
Objective
Establish a customer PMO structure as well as supporting PMO processes to manage and oversee program activities.Responsible Party
customerInputs
- Project Business Case
- Vision Statement
Outputs
- Program Charter
- Resource Management Plan
- Program Management Plan
- Initial Master Schedule
- Independent Verification & Validation (IV&V) Plan
- Status Reports/Dashboards
1.3
Establish Customer Governance Structure and Processes
Objective
Develop a governance structure that establishes program activity ownership and decision making authority for the customer throughout the migration.Responsible Party
customerInputs
- Project Business Case
- Program Management Plan
- Existing Governance Bodies within Customer Organization
Outputs
1.4
Establish Customer Risk Processes
Objective
Establish a plan to manage and identify risks that supports risk mitigation throughout the implementation.Responsible Party
customerInputs
- Program Charter
- Governance Plan
- Program Management Plan
- Initial Master Schedule
- Project Business Case
Outputs
1.5
Develop Life Cycle Cost in the Business Case
Objective
Develop the estimated costs of a migration based on the customer Scope of Services requirements to manage and plan budgetary needs.Responsible Party
customerInputs
- Project Business Case
- Scope of Services
Outputs
- Life Cycle Cost Estimate (LCCE)
- Status Reports/Dashboards
1.6
Define Target Performance Metrics
Objective
Define the programs target performance metrics based on the strategic objectives of the agency and organization.Responsible Party
customerInputs
- Organization Strategic Goals and Objectives
- Government-wide Shared Services Strategic Goals and Objectives
- Project Business Case
Outputs
Workforce, Organization, and Stakeholders
1.7
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.Responsible Party
customerInputs
- Vision Statement
- Project Business Case
- Current Organization Structure
- Position Descriptions
Outputs
- As-Is Workforce Documentation
- Current Organization Structure
- Initial Change Readiness Assessment
- Change Management Plan
- Workforce Assessment
- Status Reports/Dashboards
1.8
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.Responsible Party
customerInputs
- As-Is Workforce Documentation
- Current Organization Structure
- Change Readiness Assessment
- Change Management Plan
- Project Business Case
Outputs
- Stakeholder Analysis
- Communications Plan
- Migration and O&M training needs
Technology
1.9
Define As-Is and Initial Target State Systems Environments
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.Responsible Party
customerInputs
- Vision Statement
- Project Business Case
- Existing Enterprise Architecture Documents & System Specifications
Outputs
- As-Is Systems Environment
- Target State Systems Environment
- Target State Concept of Operations
1.10
Plan and Conduct Initial Data Quality Assessment
Objective
Develop initial data governance approach and conduct initial data quality assessment and cleansing plan.Responsible Party
customerInputs
- Existing System Data Dictionaries
- Existing Data Quality Assessments
- Functional Specifications
- Project Business Case
Outputs
- Data Governance Model
- Data Cleansing Plan
- Status Reports/Dashboards
Process and Service Delivery
1.11
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.Responsible Party
customerInputs
- 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
Outputs
- Target State Concept of Operations
- Scope of Services updated in Business Needs Workbook
- Status Reports/Dashboards
1.12
Review Standard Business Capabilities and Document Initial Business Capabilities
Objective
Document business capabilities, mission critical, and unique capabilities of the customer organization to support the Business Readiness Assessment.Responsible Party
customerInputs
- 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
Outputs
- Requirements Management Plan
- Business Needs Workbook
- Business Capabilities
- Status Reports/Dashboard
1.13
Conduct Market Research and Analysis
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.Responsible Party
customerInputs
- Requirements Management Plan
- Business Needs Workbook
- Business Capabilities
- Business Readiness Assessment
- Project Business Case
Outputs
1.14
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.Responsible Party
customerInputs
- Program Charter
- Governance Plan
- Program Management Plan
- Life Cycle Cost Estimate (LCCE)
- Project Business Case
Outputs
- Acquisition Strategy
- Quality Assurance Surveillance Plan (QASP)
- Status Reports/Dashboards
- Investment Readiness Checklist
- Completed Project Business Case
Phase 2 Readiness Indicators
Readiness Indicators are best practices and may vary by implementation size, scale, and scope. They are not required to advance through to the next phase, but have been identified by agencies as increasing the likelihood of success particularly on larger, more complex modernization efforts.
- 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
Phase 1 Examples:
M3 Examples MAX PagePhase 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.
- Acquisition Strategy
- As-Is Systems Environment
- As-Is Workforce Documentation
- Baseline and Target Performance 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
