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M3 Framework Introduction M3 Framework Overview M3 Phase 0 - Assessment M3 Phase 1 - Readiness M3 Phase 2 - Selection M3 Phase 3 - Engagement M3 Phase 4 - Migration M3 Phase 5 - Operations M3 Resources
Phase 1: Readiness

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

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

1.11 Develop Initial Target State Concept of Operations and Scope of Services
1.12 Review Standard Business Capabilities & Document Business Capabilities

Phase 1 Documentation: The following documentation is developed during Phase 1 and is used to inform the Phase 1 Tollgate Review discussion. Agencies purchasing transaction processing services only will identify relevant activities and artifacts for their project using the M3 Services Tailoring Guide.

Artifact Samples: For sample documentation from previous modernizations and migrations, please go to M3 Artifact Samples MAX Page.

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