M3 Playbook > Phase 3: Engagement
Phase 3: Engagement
Objective
Conduct detailed planning through a Requirements Fit-Gap Analysis and finalize the implementation roadmap. An Agile approach should be adopted for this phase.
Recommended Actions
Program Management
3.1
Integrate Program Management Office Structures
Objective
Establish joint PMO capability to manage activities shared by customer agency & provider.Responsible Party
sharedInputs
- Program Charter
- Resource Management Plan
- Initial Master Schedule
- IV&V Plan
- Program Management Plan
- Status Report
- Quality Assurance Surveillance Plan
- Implementation Approach / Schedule
Outputs
- Program Charter
- Resource Management Plan
- Integrated Master Schedule (IMS)
- Program Management Plan
- IV&V Plan
- Quality Assurance Surveillance Plan
3.2
Integrate Governance Structures
Objective
Set-up joint customer agency / provider governance to agree on ownership and decision making authority.Responsible Party
sharedInputs
- Customer Agency and Provider Governance
- Governance Plan
- Provider Agreement
Outputs
3.3
Monitor and Control Program Execution
Objective
Monitor, measure, and report on implementation progress.Responsible Party
sharedInputs
- Program Charter
- Program Management Plan
- IMS
- Independent Verification & Validation (IV&V) Plan
- Acquisition Strategy
- Resource Management Plan
- Governance Plan
- Provider Agreement
Outputs
- Program Management Plan
- Status Reports/Dashboards
- Independent Verification & Validation (IV&V) Plan
- Change Request Log
- Resource Management Plan
- Change Request Form
- IMS
3.4
Maintain and Execute Risk Processes
Objective
Execute risk management processes to identify and mitigate risks / issues throughout the implementation.Responsible Party
sharedInputs
Outputs
3.5
Finalize Implementation Approach
Objective
Finalize Implementation Approach, schedule, and cost based on Business Readiness Assessment.Responsible Party
sharedInputs
- Requirements Traceability Matrix (RTM)
- Business Readiness Assessment
- Decommission Plan
Outputs
- Implementation Approcah / Technical Strategies
- Go/No-Go Criteria for Go-Live
- Integrated Master Schedule (IMS)
- Decommission Plan
- Status Reports/Dashboards
Workforce, Organization, and Stakeholders
3.6
Engage with Workforce
Objective
Engage and communicate with workforce to facilitate a productive implementation.Responsible Party
customerInputs
- Workforce Strategy
- Target State Concept of Operations
- Workforce Assessment
Outputs
- Updated Workforce Strategy
- Status Reports/Dashboards
3.7
Execute Change Management Plan
Objective
Execute Change Management and Communications Plans based on prior phases; implement updates as appropriate.Responsible Party
customerInputs
- Change Management Plan
- Change Readiness Assessment
- Communications Plan
- Workforce Assessment
Outputs
- Change Management Plan
- Communications Plan
- Change Readiness Assessment
- Workforce Assessment
- Status Reports/Dashboards
3.8
Develop Training Plan
Objective
Develop an approach for training curriculum, delivery, and evaluation.Responsible Party
sharedInputs
- Business Needs Workbook
- Scope of Services
- Stakeholder Analysis
- Workforce Assessment
Outputs
Technology
3.9
Finalize Requirements
Objective
Transfer, validate, and baseline requirements, standard and unique, with leadership approval to support Fit-Gap Analysis.Responsible Party
sharedInputs
- Target State Systems Environment
- Target State Concept of Operations
- Business Capabilities
- Business Needs Workbook
- Requirements Traceability Matrix (RTM)
- Requirements Management Plan
- Government-wide Standards defined through the Federal Integrated Business Framework (FIBF)
Outputs
3.10
Execute Fit-Gap Analysis on Agency Requirements
Objective
Understand gaps between the customer requirements, provider’s standard solution/processes. Develop gap solutions to inform implementation, timeline, and revised cost estimates.Responsible Party
sharedInputs
- Requirements Traceability Matrix (RTM)
- Provider’s Standard Solution and Requirements
- Requirements Management Plan
Outputs
- Requirements Fit-Gap Analysis
- Requirements Traceability Matrix (RTM)
- Status Reports/Dashboards
3.11
Finalize Target State Systems Environment
Objective
Transfer knowledge of As-Is Environment; finalize Target State to include interfaces/applications/security/data layers.Responsible Party
sharedInputs
- Vision Statement and Business Case
- Requirements Traceability Matrix (RTM)
- Current Enterprise Architecture & System Specification
- Target State Systems Environment
- Customer’s As-Is Systems Environment
Outputs
- Validated / Updated As-Is Environment
- Target State Systems Environment
- Status Reports/Dashboards
3.12
Develop Technical Strategy
Objective
Develop IT strategy to define overall management and execution approach to system enhancements and implementation.Responsible Party
sharedInputs
- Requirements Traceability Matrix (RTM)
- Target State Concept of Operations
- Target State Systems Environment
- Decommission Plan
- Requirements Fit-Gap Analysis
Outputs
- Test Plan
- Configuration Management Plan
- CooP and Disaster Recovery Plan
- Interface Strategy
- Enhancement Strategy
- Decommission Plan
- Migration Plan
- Technical Strategy
- Status Reports/Dashboards
3.13
Prepare Data for Mock Conversions (Data Cleansing & Data Mapping)
Objective
Jointly develop Data Conversion Plan informed by data cleansing; execute plan to address potential conversion issues.Responsible Party
sharedInputs
- Data Elements
- Data Cleansing Plan
- Data Quality Assessment Results
- Existing System Data Dictionaries
- Existing Data Governance Model
- Data Cleansing Results
- Existing Data Quality Assessment
Outputs
- Data Cleansing Scripts
- Documented Data Structure and Mapping
- Data Conversion Plan
- Status Reports/Dashboards
Process and Service Delivery
3.14
Finalize Target State Concept of Operations
Objective
Agree to processes / services to be performed by customer agency vs provider; finalize Target State Concept of Operations.Responsible Party
sharedInputs
- 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
Outputs
3.15
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.Responsible Party
sharedInputs
- Business Needs Workbook
- Target State Concept of Operations
- Scope of Services
Outputs
- Contact Center Strategy
- Status Reports/Dashboards
3.16
Define Service Level Agreements (SLAs)
Objective
Define the level of service standards provided to the customer during Operations and Maintenance (O&M).Responsible Party
sharedInputs
- Target State Concept of Operations
- Provider Agreement
- Federal Integrated Business Framework (FIBF) Performance Measures
Outputs
- Service Level Agreements (SLAs)
- Status Reports/Dashboards
Phase 4 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.
- Go/No-Go Criteria Approved
- Integrated Master Schedule Drafted
- Migration Approach Finalized
- PMO and Governance Process Integrated
- Requirements Fit-Gap Analysis Completed
- SLAs Defined
Phase 3 Examples:
M3 Examples MAX PagePhase 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.
- Acquisition Strategy
- Business Needs Workbook
- Business Readiness Assessment
- 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
- M3 Risk Assessment Tool
- Migration Approach, including Technical Strategies
- Migration Plan
- 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
- Service Level Agreements (SLAs)
- 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
- Workforce Strategy
