Modernization and Migration Management (M3) Playbook

Modernization and Migration Management (M3) Playbook

Modernization and Migration Management (M3) Playbook GSA, Unified Shared Services Management Introduction What is the M3 Framework? Modernization and Migration Management (M3) is a framework designed to help CFO Act agencies achieve successful outcomes and reduce risk during administrative system and/or service modernizations and migrations. It segments modernizations and migrations into six discrete phases, each of which includes a series of objectives and recommended activities that should be completed by the customer and/or provider organization based on the phase objectives. The Playbook was developed to help customer and provider organizations apply the M3 Framework. The Playbook is not prescriptive, but provides guidance, tools, and templates, based on best practice, 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. Refer to USSM M3 for detailed information on the M3 Framework and the Playbook. The M3 framework is overseen by the Investment Review Process mandatory formal reviews for CFO Act agencies conducted by an Investment Review Board (IRB) to: 1) evaluate migration risk and make recommendations to customer and provider organizations throughout the migration lifecycle to mitigate potential hurdles to success and 2) assess outcomes at each phase and make recommendations to OMB on budgeting for modernization and migration investments. The degree of oversight varies based on the programs level of risk as determined by the overall USSM Risk Assessment, which is determined from applying the USSM Risk Assessment Tool. Engagement with the IRB presents opportunities for the IRB and customer and provider organizations to understand progress made, assess critical risk areas of the modernization or migration, and identify opportunities for improvement based on the sufficiency, comprehensiveness, and reasonableness of migration planning and execution. Who will be involved in the Investment Review Process? The participants on an IRB will be tailored for each investment, but will consist of the CFO Act agency customer and provider, executives from USSM, OMB (Resource Management Office), the Shared Services Governance Board, and lines of business Managing Partners with expertise and experience in large scale modernizations and migrations. How to Read an Activity Description Objective: Provides the overall objective of the activity Activities: Describes the step-bystep 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 Phase: Indicates the phase in which the activity occurs Responsible Party: Indicates the party/parties responsible for the activity 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) Stakeholders Describes who is typically involved in the activities Best Practice: Provides best practice from previous migrations for consideration as activities are conducted 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 Guidance Items Template Tollgate Review Discussions An outcome that should be achieved by the time a phase is complete A supporting tool for agencies to evaluate their plans and program artifacts against leading practices; guidance items can be used to guide the content of organizationspecific documentation when not using a template A document that contains required fields and details for an output A summary presentation that must be submitted at the end of a phase tollgate with key components to inform risk review and budget/funding decisions for the migration Executive Summary Modernization and Migration Management (M3) Playbook The 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 Playbook to leverage their own tools and templates to satisfy the expected outcomes. Overview Tollgate 0. Assessment 1. Readiness 2. Selection 3. Engagement 4. Migration 5. Operations Investment Review Process Build a vision and Major Information Technology (IT) Business Case for the migration Objective Define Vision and Operational End State Develop Major IT Business Case Prepare the customer organization for the modernization effort and define capabilities Key Activities* Stand-up Program Management Office (PMO) Define migration scope of services and program management processes Establish customer risk processes

Assess data quality Conduct due diligence to select the provider based on capabilities and desired target end state Major IT Business Case Approved PMO and Governance Exit Outcomes Structure Defined Resources On Boarded Mitigation Plans in Place for Major Risks/Issues Initial Schedule Defined Lifecycle Cost Estimate Developed Change Management Strategies Defined Data Quality Assessed Procurement Strategy Defined Business Capabilities Defined Assess different providers to understand which can best meet the scope of services requirements Select provider for Engagement and fit-gap analysis Begin preparing the organization for change Continue cleansing data Provider Selected Mitigation Plans in Place for Major Risks/Issues Schedule Updated Data Cleansing Commenced Lifecycle Cost Estimate Updated for Engagement, Migration, and O&M Communications to Stakeholders Delivered Conduct detailed planning through a Fit-Gap Assessment and finalize the migration and Operations and Maintenance (O&M) approach and costs Conduct a Fit-Gap Assessment 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 Fit-Gap Assessment Completed PMO and Governance Processes Integrated Lifecycle Cost Estimate Updated for Migration and O&M Migration Approach Finalized Master Schedule Drafted SLAs for Migration and O&M defined Go/No-Go Criteria Approved Configure, test, and deploy the new system, concept of operations, and workforce design 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 Deliver services and conduct continuous process improvement 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 Developed * Agencies purchasing transaction processing services only will customize the M3 Playbook using the USSM M3 Tailoring Guide to identify relevant activities and outputs within each Phase of the M3 Framework. M3 Playbook Outline Tollgate Program Health Assessment Phase 0: Assessment 0.1 Define Vision and Operational End State 0.2 Develop Major IT Business Case Program Management Responsible Party: Phase 1: Readiness

Phase 2: Selection Phase 3: Engagement Provider Shared Phase 4: Migration Phase 5: Operations 1.1 Establish Initial Customer 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 2.1 Select Provider for Engagement 2.1a Select Provider for Engagement (Resources and Guidance) 2.1b Select Provider for Engagement Market Research and Provider Selection Process 2.2 Update Lifecycle Cost Estimate for Engagement, Migration, and O&M 2.3 Monitor and Control Program Execution 2.4 Maintain and Execute Risk Processes 3.1 Integrate PMO Structures 3.2 Integrate Governance Structures 3.3 Update and Maintain Procurement Plans 3.4 Monitor and Control Program Execution 3.5 Maintain and Execute Risk Processes 3.6 Finalize Migration Approach 3.7 Update Lifecycle Cost Estimate for Migration and O&M 4.1 Monitor and Control Program Execution 4.2 Maintain and Execute Risk Processes 4.3 Develop Integrated O&M Governance Process 4.4 Prepare O&M Scope of Services and Contracts 4.5 Assess Readiness for Go-Live 4.6 Update Lifecycle Cost Estimate for O&M 5.1 Review Performance against Expected Benefits 5.2 Collect Lessons Learned 5.3 Implement Integrated O&M Governance 1.7 Assess Change Management Approach 1.8 Understand As-Is Workforce 2.5 Assess Labor Relations Outreach 2.6 Develop Change Management Plan 3.8 Engage with Labor Relations 3.9 Execute Change Management Plan 3.10 Develop Training Plan 4.7 Design Target State Organization 4.8 Execute Workforce Transition and Prepare for Go-Live 4.9 Execute Training for Go-Live 4.10 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 3.11 Finalize Requirements 3.12 Conduct Requirements Fit-Gap Assessment 3.13 Finalize Target State Systems Environment 3.14 Develop Integrated Technical Strategy 3.15 Prepare Data for Mock Conversions (Data Cleansing, Data Mapping) 4.11 Conduct Security and Privacy Reviews 4.12 Define Roles and User Access 4.13 Design, Configure, and Develop Systems 4.14 Design and Develop Interfaces 4.15 Design and Develop Reports 4.16 Design and Develop Data Warehouse 4.17 Conduct Mock Conversions 4.18 Test Systems and Processes 4.19 Develop and Execute Cutover Plan for Go-Live 5.5 Maintain Applications Post GoLive 5.6 Decommission Legacy Systems 3.16 Finalize Target State Concept of Operations 3.17 Define Integrated Contact Center Structure 3.18 Define Service Level Agreements 4.20 Finalize Service Level Agreements 4.21 Design Target State Processes 5.7 Conduct Continuous Process Improvement 5.8 Manage Integrated Contact Center 5.9 Monitor and Update Service Level Agreements Workforce, Organization, & Stakeholders Technology Process & Service Delivery Customer Investment Review Process 1.11 Understand As-Is Business Processes 1.12 Develop Initial Target State Concept of Operations 1.13 Define Scope of Services, Document Initial Business Capabilities and Define Mission Critical Needs Phase 0: Assessment 0

1 2 3 4 5 Phase 0 Summary and Documentation Phase Objective Fulfill requirement to submit capital planning investments though Capital Planning and Investment Control (CPIC) process with required additional information Phase 0: Assessment Activities Responsible Party: Program Management Workforce, Organization, & Stakeholders Provider Shared Technology 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 output. Phase 0 Documentation Vision and Operational End State Major IT Business Case Information Contained in Review Discussion (if necessary) 1. 2. Alternatives Analysis Operational End State Vision Navigate to the updated CPIC guidance by clicking here Examples of CPIC requirements that USSM may review during Phase 0 are: Process & Service Delivery 0.1 Define Vision and Operational End State 0.2 Develop Major IT Business Case Phase Documentation Customer Unique Identifier for Each Investment Purpose, Goals, and Current or Anticipated Benefits (Quantitative and/or Qualitative) Preliminary Costs/Savings Table (Implementation Costs; Annual Operations Cost; Operations Savings; IT Savings; Other Cost Avoidance; Value; Return on Investment (ROI); Aggregate Customer Savings) Breakeven Year Barriers to Implementation Mitigation Plans Plan for Legacy System Retirement Acquisition/Contract Strategy Program Plan

Requirements to complete Phase 0 Purpose, Goals, and Current or Anticipated Benefits Preliminary Cost/Savings Table Barriers to Implementation Mitigation Plan Program Plan Phase 1: Readiness 0 1 2 3 4 5 Phase 1 Summary and Documentation Phase Objective Prepare the migrating organization by defining initial scope of services and customer governance for the modernization effort Phase 1: Readiness Responsible Party: Workforce, Organization, & Stakeholders Program Management 1.1 Establish Initial Customer 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 Phase Documentation Provider Shared Process & Service Delivery Technology 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 Understand As-Is Business Processes 1.12 Develop Initial Target State Concept of Operations

1.13 Define Scope of Services, Document Initial Business Capabilities & Define Mission Needs 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 USSM M3 Tailoring Guide. Phase 1 Documentation Customer HR/Staffing Plan IV&V Plan Governance Charter LCCE Initial Schedule Baseline and Target Performance and Success Metrics Initial Scope of Services Initial Business Capabilities USSM Risk Assessment Tool Program Charter Program Management Plan Status Reports/Dashboard Risk Management Plan RAID Log Procurement 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 Initial Target State Systems Environment Data Governance Model Data Cleansing Plan Initial Business Process Reengineering Strategy Validated As-Is Process Maps Initial Target State Concept of Operations *Bolded documentation should be submitted for the Tollgate Review discussion. Additional information may be requested by USSM. Information Contained in Tollgate Review Discussion 1. 2. 3. 4. 5. 6. 7. 8. USSM Risk Assessment Tool Initial Schedule Overview LCCE HR/Staffing Plan Procurement Approach IV&V Plan Program Governance Model

Scope of Services Overview 9. Initial Business Capabilities 10. Change Management and Communications Approach 11. Data Management/Data Quality Approach 12. Baseline and Target Performance Success Metrics 13. Top Risks Exit Criteria (to move into Phase 2) PMO and Governance Structure Defined Resources On Boarded Mitigation Plans in Place for Major Risks/Issues Initial Schedule Defined LCCE Developed Procurement Approach Defined Change Management Strategies Defined Data Quality Assessed Risks and Issues Management Defined Initial Business Capabilities Performance and Success Metrics Defined 0 1 2 3 4 5 Program Management 1.1 Establish Initial Customer PMO and Processes Objective: Establish a customer PMO structure as well as supporting PMO processes to manage and oversee program activities Responsible Party: (C) Customer (P) Provider (S) Shared Activities 1. 2. 3. 4. 5. 6. Onboard PMO lead and team to support Phase 1 activities (C) Develop charter for program (C) Develop HR/Staffing Plan (including PMO roles and responsibilities) Develop Program Management Plan (including risk, procurement, cost, communications/stakeholder, and quality) (C) Develop Initial Schedule for Phases 1 and 2 activities Develop IV&V Plan (C) 7. Execute onboarding/off boarding activities as defined within the HR/Staffing Plan (C) 8. Begin executing against Program Management Plan (C) 9. Manage schedule weekly by updating activities, dates, duration, and dependencies in conjunction with activity owners (C) 10. Develop status report and report on schedule, issues, and risks (C)

Inputs Stakeholders Business Case Vision Executive Sponsor (C) Program Manager (C) PMO Lead (C) PMO Team, if on boarded (C) Outputs Program Charter HR/Staffing Plan Program Management Plan Initial Schedule IV&V Plan Status Reports/Dashboards 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 Schedule should be flexible and closely monitored for necessary updates Develop IV&V Plan to independently and proactively identify risks Establish a shared vision with a sense of urgency based on data Clearly articulate goals and objectives that capture the why of the change and a high level statement of future activities Ensure adequate scheduling and accounting for each step of the plan 0 1 2 3 4 5 Program Management 1.2 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: (C) Customer (P) Provider (S) Shared Activities 1. 2. 3. 4. 5. 6. Identify or create customer governance bodies that will participate in the program and integrate with broader governance structures (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 Charter (C) Begin executing against Governance Charter (C)

Escalate decisions, risks, and issues to governance bodies for decision making and issue resolution (C) 7. Hold regular governance meetings to review progress and address escalated decisions, risks, and issues (C) Inputs Business Case Program Management Plan Existing Governance Bodies within Customer Organization Outputs Governance Charter Stakeholders Executive Sponsor (C) Business Owner(s) (C) Program Manager (C) PMO Lead (C) PMO Team (C) Functional Lead (C) Technical Lead/Solution Architect (C) Change Management Lead (C) 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 0 1 2 3 4 5 Program Management 1.3 Establish Customer Risk Processes Objective: Establish a Risk Management Plan and supporting processes to identify risks and develop risk mitigation plans throughout the migration Responsible Party: (C) Customer (P) Provider Activities 1. 2. 3. 4. Develop risk management processes and associated roles and responsibilities for identifying and mitigating risks (C) Identify known risks and enter into Risk, Action Items, Issues, Decision (RAID) Log (C) Develop and employ mitigation strategies continuously throughout Phase 1 (C) Maintain and update 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) 5. 6. 7. 8. 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) Inputs Program Charter Governance Charter Program Management Plan Initial Schedule Outputs Stakeholders Executive Sponsor (C) Business Owners (C) Program Manager (C) Risk Manager (C) PMO Lead (C) PMO Team (C) Risk Management Plan RAID Log USSM Risk Assessment Tool 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 (S) Shared 0 1 2 3 4 5 Program Management 1.4 Conduct Procurement Planning 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: (C) Customer (P) Provider (S) Shared Activities 1. 2. 3. 4. Define procurement 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) Develop a plan that documents the approach for program procurement 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) 5. 6. 7. Develop Requests for Proposals (RFPs), Requests for Quotes (RFQs), Requests for Information (RFIs), 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 Procurement Plans in governance meetings and Status Reports/Dashboards (C) Inputs Program Charter Governance Charter Program Management Plan Updated LCCE Outputs Stakeholders Executive Sponsor (C) Business Owners (C) Program Manager (C) PMO Lead (C) PMO Team (C) Contracting or Procurement Officer (as needed) (C) Procurement Plan QASP 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 Schedule Map the agency system development lifecycle (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. 0 1 2 3 4 5 Program Management 1.5 Develop Lifecycle 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: (C) Customer (P) Provider (S) Shared Activities 1. 2.

3. 4. Develop LCCE based on information gained in Phase 1 (e.g., requirements gathering, procurement decisions, risk mitigation, scope of services) and reasonableness and affordability (C) Develop LCCE (according to cost management plan) 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) Inputs Business Case Initial Scope of Services Initial Target State Systems Environment Initial Target State Concept of Operations Stakeholders Outputs LCCE Best Practice Plan multi-year budget requests through lifecycle cost analyses based on expected scope and operational impacts of releases Executive Sponsor (C) Program Manager (C) PMO Lead (C) PMO Team (C) Budget or Financial Analyst (as needed) (C) 0 1 2 3 4 5 Program Management 1.6 Define Benefits of the Program Objective: Define expected benefits of the program based on the strategic objectives of the organization Responsible Party: (C) Customer (P) Provider (S) Shared Activities 1. 2. 3. 4. Understand strategic drivers based on the objectives of the program (C) Identify and document metrics to measure outcomes of the program against strategic drivers (C) Set baselines for current state performance metrics and define success targets expected to be achieved after completion of the program . Agencies may use existing metrics available at GSA Benchmarking Initiative, create their own metrics, or utilize any of the sample metrics documented in the Sample Performance and Success Metrics located in the M3 Templates Library (C) Develop reporting mechanism and timeline to report on metrics after migration Go-Live (C) Inputs

Organization Strategic Goals and Objectives Initial Target State Concept of Operations Stakeholders Business Owner(s) (C) Executive Sponsor (C) Program Manager (C) PMO Lead (C) PMO Team, if on boarded (C) Outputs Baseline Performance and Success Metrics Target Performance and Success Metrics 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, by the program Benchmark KPIs against internal and external standards 0 1 2 3 4 5 Workforce, Organization & Stakeholders 1.7 Define Change Management Approach Objective: Assess stakeholders impacted and their readiness for change to inform the change management approach Responsible Party: (C) Customer (P) Provider Activities 1. 2. 3. 4. 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 O&M training needs to inform the Target State CONOPS and Initial Scope of Services (C) Create a feedback mechanism to collect input from stakeholders throughout the program (C) Inputs Vision Business Case Current Organization Structure Stakeholders PMO Team (C) Change Management Lead (C) Communications Lead (C) Outputs

Stakeholder Analysis Communications Plan Migration and O&M training needs Best Practice Include Communications Lead early in the process and consider Communications Leads roles throughout the entire process Communicate the value and benefits of migration and business process changes to the larger workforce after the business case and throughout the implementation (S) Shared 0 1 2 3 4 5 Workforce, Organization & Stakeholders 1.8 Understand As-Is Workforce Objective: Determine the as-is workforce of the customer organization to understand how the migration will impact the organization Responsible Party: (C) Customer (P) Provider Activities 1. 2. 3. 4. 5. Document as-is organization structure, skills, capabilities, and workload (C) Validate As-is Workforce and Workload Documentation with customer organization managers (C) Document approach for workforce transition planning (C) Conduct a Change Readiness Assessment (C) Report updates in governance meetings and Status Reports/Dashboards (C) Inputs Stakeholder List Current Organization Structure Position Descriptions Initial Scope of Services Stakeholders Business Owner(s) (C) PMO Team (C) Change Management Lead (C) Communications Lead (C) Workforce Lead (C) Outputs As-Is Workforce Documentation Change Readiness Assessment Best Practice Confirm the accuracy of the organization structures based on the records maintained by first level managers and the customer Human Capital office (S) Shared 0 1

2 3 4 5 Technology 1.9 Define As-Is and Initial Target State Systems Environments Objective: Understand and validate the As-is Systems Environment, including applications, interfaces, data warehouses, and security needs, and draft the initial high-level Target State Systems Environment Responsible Party: (C) Customer (P) Provider (S) Shared Activities Understand the As-is Systems Environment 1. Validate as-is application landscape (C) 2. Validate as-is interface inventory (C) 3. Validate IT architecture (C) 4. Validate data flows (C) Define Initial Target State Systems Environment as part of the Initial Scope of Services desired from the migration 1. Determine functionality and systems to migrate to the provider and those that will be retained (C) 2. Identify required business intelligence and data warehouse capabilities to support reporting needs (C) 3. Identify required interfaces based on mandatory organization activities (C) 4. Document the initial capabilities above to be included in the Initial Target State Concept of Operations and Initial Scope of Services (C) Inputs Vision Business Case Existing Enterprise Architecture Documents & System Specifications Outputs As-Is Systems Environment Initial Target State Systems Environment Stakeholders 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 Business Owners (C) Program Manager (C) Functional Lead (C) Technical Lead/Solution Architect (C) Interface Lead (C) Functional Subject Matter Experts (SMEs) (C) Technical SMEs (C) 0 1 2 3 4 5

Technology 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: (C) Customer (P) Provider Activities 1. 2. 3. 4. 5. 6. 7. 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) Inputs Existing System Data Dictionaries Existing Data Quality Assessments Functional Specifications Outputs Stakeholders Business Owners (C) Program Manager (C) Functional Lead (C) Technical Lead/Solution Architect (C) Data Conversion Lead (C) Data SMEs (C) Data Governance Model Data Cleansing Plan Best Practice Begin data cleansing activities prior to migration activities and continuously throughout the implementation to assist with data readiness Gain agreement on data governance including metadata management and data quality management Allocate a sufficient number of 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 (S) Shared 0 1 2 3 4 5 Process and Service Delivery 1.11 Understand As-Is Business Processes Objective: Validate as-is processes to understand current state environment, existing challenges, and opportunities for improvement/standardization Responsible Party: (C) Customer (P) Provider

Activities 1. 2. 3. 4. Identify in-scope processes for the migration based on the FIBF LOB standardized service list provided in the Scope of Services tabs of the Business Needs Workbook and develop process decomposition for in-scope processes (C) Identify initial business process re-engineering strategy by understanding areas of change (C) Validate and update as-is business processes with stakeholders to understand process flows, transaction volumes, workload, end user security roles, and enabling technology (C) Report updates in governance meetings and Status Reports/Dashboards (C) Inputs Existing As-Is Process Documentation Outputs Initial Business Process Reengineering Strategy Validated As-Is Process Maps 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 SMEs to drive process ownership and decision making Stakeholders Business Owners (C) Functional Lead (C) Functional Team (C) Technical Lead/Solution Architect (C) Technical SMEs (C) Functional SMEs (C) (S) Shared 0 1 2 3 4 5 Process and Service Delivery 1.12 Develop Initial Target State Concept of Operations 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: (C) Customer (P) Provider (S) Shared Activities . 1. 2. 3. 4. 5. Review in-scope process documentation (C) Document initial mandatory business capabilities that a provider must have to be able to support the organizations mission and operations in the target state and

validate with business owners (C) Understand the as-is operating model including people, process, organization, and systems (C) Validate and update as-is operating model with stakeholders (C) Determine which business service layers are required, where they should be performed in the future (e.g., internally, with provider, shared) and determine the service type (i.e. Technology, Workforce, Advisory) (C) 6. 7. 8. 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 supporting during O&M Define the Initial Target State Concept of Operations for retained and modernized/ migrated systems and processes, which includes the Initial Target State Systems Environment (C) Report updates in governance meetings and Status Reports/Dashboards (C) Inputs Vision Business Case As-Is Business Process Documentation As-Is Systems Environment Stakeholders Initial Target State Systems Environment Migration and O&M Training needs Outputs Initial Target State Concept of Operations 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 Executive Sponsor (C) Business Owners (C) Program Manager (C) Functional Lead (C) Function SMEs (C) PMO Lead (C) PMO Team (C) 0 1 2 3 4 5 Process and Service Delivery 1.13 Define Scope of Services, Document Initial Business Capabilities & Define Mission Critical Needs Objective: Develop the scope of services to inform the assessment of providers. Document business capabilities, mission critical, and unique Responsible Party: (C) Customer (P) Provider capabilities of the customer organization to support the fit-gap analysis.

(S) Shared Activities Define requirements gathering and management processes and document in the Document unique must-have capabilities citing the authoritative references (C) Prioritize Requirements Management (C) critical versus nice-to-have capabilities against standard to inform the assessment ofPlan providers, and define metrics to measure the success of themission migration after Go-Live Document Initial Scope of Services, including functions and service layers support from the Target State CONOPS and the Scope of Services tabs of the Business Needs Workbook (C) Document Initial Scope of Services for the migration (e.g., training, conversion, communications, testing) (C) Align initial business capabilities with Scope of Services starting with those from Federal Integrated Business Framework Line of Business (FIBF LOB) website (e.g. Financial Management, Human Resources) (C) capabilities (C) Discuss initial business, mission critical, and must-have capabilities with Line of Business Managing Partner (C) Validate capabilities with Business Owners and perform initial baselining (C) Report updates in governance meetings and Status Reports/Dashboards (C) Stakeholders Inputs Initial Target State Concept of Operations Initial Target State Systems Environment Scope of Services tabs of the Business Needs Workbook Outputs Requirements Management Plan Initial Scope of Services Initial Business Capabilities Line of Business Service Catalogs, Standard Requirements, Regulations, and Policies: Financial Management Human Resources

Executive Sponsor (C) Business Owners (C) Program Manager (C) PMO Lead (C) Functional Lead (C) Technical Lead/Solution Architect (C) Requirements Lead (C) Functional SMEs (C) Technical SMEs (C) Managing Partner/Line of Business Sponsor (Line of Business) Best Practice Provide training to SMEs on requirements processes and how to define, communicate, and document requirements Obtain a robust requirements management tool or process to manage requirements throughout the migration, including a robust change control process Consider both functional and technical Scope of Services and know your mission capabilities (e.g., 24 hour contact center support) Define capabilities within the customer organization before engaging a provider to communicate needs in a consistent manner. Agencies can find examples of FIBF LOB standardized business capabilities at Financial Management Business Capabilities, or consult the Scope of Services tabs of the Business Needs Workbook for the service list. Provide criteria to define mission critical versus nice-to-have capabilities to enable improved provider selection 0 1 2 3 4 5 Process and Service Delivery Process to Develop Business Capabilities and the Business Needs Workbook This graphic depicts the inputs required and templates available leading up to the development of Initial Business Capabilities (1.13) and, ultimately, the Business Needs Workbook outlined in activity 2.1 in Phase 2: Selection. Responsible Party: (C) Customer (P) Provider (S) Shared Phase 1 Phase 2 Identify In-Scope Processes (1.11) Define Target State Systems Environment (1.9) Templates: Target State CONOPS Input: FIBF service list documented in the Business Needs Workbook (Tab 4.2 HR Scope of Services, 4.3 FM Scope of Services, 4.4 ACQ Scope of Services, 4.5 GRM Scope of Services, 4.6 IT Scope of Services, and TRT Scope of Services ) Develop Target State CONOPS (1.12) Templates: Validate As-Is Processes (1.11) Understand As-Is Operating Model (1.12) Target State Concept of Operations Business Needs Workbook (Tab 3. Target State

CONOPS (visual)) Document Business Capabilities (1.13) Complete Business Needs Workbook (2.1) Input: Templates: FIBF service list documented in the Business Needs Workbook (Tab 4.2 HCM Scope of Services, 4.3 FM Scope of Services, 4.4 ACQ Scope of Services, 4.5 GRM Scope of Services, 4.6 IT Scope of Services, and TRT Scope of Services ) Business Needs Workbook (Tab 1. Customer Profile, 2. As-Is Systems Inventory, 5. Provider Questions, 6. Provider Profile, and 7. Provider Cost Breakdown) Document Training & Migration Needs (1.7) The actions above may occur at the same time, or may be updated as a result of information gathered during a subsequent activity 0 1 2 3 4 Documentation Required for Phase 1 Tollgate Review 5 The following documentation is required in guiding a discussion to demonstrate readiness and gain approval for Phase 1 Agencies purchasing transaction processing services only will identify relevant activities and artifacts for their project using the USSM M3 Tailoring Guide. Phase 1 Documentation HR/Staffing Plan IV&V Plan Governance Charter LCCE Initial Schedule Baseline and Target Performance and Success Metrics Initial Scope of Services Initial Business Capabilities USSM Risk Assessment Tool Program Charter Program Management Plan Status Reports/Dashboard Risk Management Plan RAID Log

Procurement Plan Information Contained in Tollgate Review Discussion 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 Initial Target State Systems Environment Data Governance Model Data Cleansing Plan Initial Business Process Reengineering Strategy Validated As-Is Process Maps Initial Target State Concept of Operations 1. 2. 3. 4. 5. 6. 7. 8. 9. USSM Risk Assessment Tool Initial Schedule Overview LCCE HR/Staffing Plan Procurement Approach IV&V Plan Program Governance Model Scope of Services Overview Change Management and Communications Approach 10. Data Management/Data Quality Approach 11. Baseline and Target Performance Success Metrics 12. Top Risks *Bolded documentation should be submitted for the Tollgate Review discussion. Additional information may be requested by USSM Exit Criteria (to move into Phase 2) PMO and Governance Structure Defined Resources On Boarded Mitigation Plans in Place for Major Risks/Issues Initial Schedule Defined LCCE Developed Procurement Approach Defined

Change Management Strategies Defined Data Quality Assessed Risks and Issues Management Defined Initial Business Capabilities Performance and Success Metrics Defined 0 1 2 3 4 5 List of Guidance Items and Templates Available for Phase 1 Guidance Items are used by agencies to help with the engagement process. Templates are provided for agencies to help in the development of program documentation Guidance Items M3 Tailoring Guidance HR/Staffing Plan Initial Schedule IV&V Plan Status Reports/Dashboards Governance Charter Risk Management Plan RAID Log Baseline and Target Performance and Success Metrics USSM Risk Assessment Tool Procurement Plan LCCE Stakeholder Analysis Communications Plan As-Is Systems Environment Requirements Management Plan Initial Business Capabilities Data Governance Model Data Cleansing Plan Validated As-Is Process Maps Initial Scope of Services Templates M3 Tailoring Guidance HR/Staffing Plan

Schedule Status Reports/Dashboards Governance Charter Requirements Management Plan Risk Management Plan RAID Log USSM Risk Assessment Tool Stakeholder Analysis Communications Plan As-Is Systems Environment Initial Target State Concept of Operations Sample Performance and Success Metrics Tollgate 1 Review Discussion Phase 2: Selection 0 1 2 3 4 5 Phase 2 Summary and Documentation Phase Objective Conduct due diligence to identify and select the provider based on requirements and initial target end state Responsible Party: Workforce, Organization, & Stakeholders Phase 2: Selection Activities Program Management 2.1 Select Provider for Engagement 2.2 Update Lifecycle Cost Estimate for Engagement, Migration, and O&M 2.3 Monitor and Control Program Execution 2.4 Maintain and Execute Risk Processes Phase Documentation Provider Assessment Report (Federal Only) Engagement Phase IAA (Federal Only) Updated Data Cleansing Plan Draft RFP (Commercial Only) USSM Risk Assessment Tool Business Needs Workbook Evaluation Criteria Draft RFI and Responses (Commercial Only) Implementation Approach/Schedule Price Estimates for Engagement, Migration, and O&M Updated LCCE for Engagement, Migration, and O&M Updated Procurement Plan Shared Process & Service Delivery 2.5 Assess Labor Relations Outreach

2.6 Develop Change Management Plan 2.7 Conduct Initial Data Cleansing Activities The following documentation is developed during Phase 2 and is used to inform the Phase 2 Tollgate Review discussion. Agencies purchasing transaction processing services only will identify relevant activities and artifacts for their project using the USSM M3 Tailoring Guide. Provider Technology Phase 2 Documentation Customer Updated Initial Schedule HR/Staffing Plan Updated Program Management Plan Updated IV&V Plan Status Reports/Dashboards Updated Risk Management Plan Updated RAID Log Labor Relations Strategy Change Management Plan Updated Communications Plan Baseline Readiness Assessment Data Cleansing Scripts *Bolded documentation should be submitted for the Tollgate Review discussion. Additional information may be requested by USSM. Information Contained in Tollgate Review Discussion 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. USSM Risk Assessment Tool Initial Schedule Overview Updated LCCE Provider Selection Summary HR/Staffing Plan Update (Customer) HR/Staffing Plan Overview (Provider) Scope of Services Overview Business Needs Workbook Procurement Approach Change Management and Communication Approach 11. Labor Relations Strategy 12. Data Management/Data Quality Approach 13. Draft RFI and Responses (Commercial Only) 14. Top Risks Exit Criteria (to move into Phase 3)

Provider Selected (Federal Only) RFP Drafted (Commercial Only) Business Needs Workbook Mitigation Plans in Place for Major Risks/ Issues Initial Schedule Updated Data Cleansing Commenced LCCE Updated for Engagement, Migration, and O&M Communications to Stakeholder Delivered 0 Program Management 2.1 Select Provider for Engagement 1 2 3 4 5 Objective: Customers will conduct market research to evaluate the capabilities of potential providers, and providers will help determine the fit of a potential customer-provider engagement. The Business Needs Workbook provides common federal services on which the customer environment is based and against which the providers services are assessed to determine if they are a good fit. Responsible Party: (C) Customer (P) Provider (S) Shared Activities 1. 2. 3. 4. Develop evaluation criteria (C) Complete Business Needs Workbook on requested services (C). Develop statement of work (Business Needs Workbook for Federal, RFI for commercial) (C) Enter into agreement with providers, if Federal, and issue RFI, if commercial (C, P) For Federal: 5. Complete Business Needs Workbook on provided services (P) 6. Develop migration timeline and ROM estimates for Phases 3-5 (P) 7. If decision is to move to a Federal provider, develop provider assessment report (C) 8. Develop, negotiate, and finalize draft IAA for Phase 3 with scope of services, roles and responsibilities, and success metrics (P) For Commercial: 5. Review RFI responses (C) 6. Attend any Industry Days to meet with potential providers (C, P) 7. If decision to move to a commercial provider, draft RFP for Phase 3 with optional tasks for Phase 4 and 5, and review with USSM prior to releasing for commercial providers to respond (C) Inputs Stakeholders Initial Scope of Services Initial Business Capabilities Initial Target State Concept of Operations Outputs

Business Needs Workbook Evaluation Criteria Draft RFI and Responses (Commercial Only) Implementation Approach/Schedule Price Estimates for Engagement, Migration, and O&M Provider Assessment Report (Federal Only) Engagement Phase IAA (Federal Only) Draft RFP (Commercial Only) Executive Sponsor (C) Business Owners (C) Program Managers (C, P) Functional Lead (C, P) Functional SMEs (C, P) Technical Lead/Solution Architect (C, P) Technical SMEs (C, P) Managing Partner/Line of Business Sponsor (Line of Business) Best Practice 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 Providers ability to satisfy those Federal Integrated Business Framework (FIBF) common requirements on which the Customers environment is based 0 1 2 3 4 5 Program Management 2.1 Select Provider for Engagement Authorities Governing Market Research: Regulations promulgated by OMB, GSA, and Congress provide guidance to agencies seeking services that can be provided by both another agency and the private sector. Responsible Party: (C) Customer (P) Provider (S) Shared Authority Relevant Guidance OMB Memo: M-13-08 Analysis should not be limited only to an evaluation of commercial SSPs. Instead, the preferred approach is for an agency to evaluate solutions offered by both FSSPs and commercial SSPs as part of a robust market research process. OMBs guiding principle will be to support plans that offer the best value for the Government. OMB will consider funding the use of commercial SSPs as an appropriate solution ifthe agencies business case demonstrates that a commercial SSP can provide better value for the Federal Government. HR LOB: Exception Business Case The agency is expected to identify which SSCs were considered as alternatives, with clear reasoning as to why they were considered and why other providers were not. The agency must also demonstrate that consideration was given to both public and private sector providers. OMB Memo: M-16-11 OMB's Office of Federal Procurement Policy (OFPP) will develop a costing methodology that shall be used by all agencies as one part of a strategic assessment of marketplace alternatives that also include technical capability, past performance and other value

factors. In the meantime, agencies should continue to follow any specific government-wide policies currently in effect that have been issued by OMB, USSM, or GWP As regarding the consideration of shared services, such as OMB Memorandum M-13-08, addressing financial systems, or the HR LOB Exception Business Case. OMB Circular: A-76 Sets public-private competition requirements for the performance of functions that are not inherently governmental. The Economy Act of 1932 (Codified in 31 USC 1535 and Part 17.5 of the FAR) (1) Each Economy Act order to obtain supplies or services by interagency acquisition shall be supported by a determination and findings (D&F). The D&F shall (i) State that use of an interagency acquisition is in the best interest of the Government; (ii) State that the supplies or services cannot be obtained as conveniently or economically by contracting directly with a private source 0 1 2 3 4 5 Program Management 2.1 Select Provider for Engagement Market Research and Provider Selection Process Phase 0 Selection Framework (P) Provider (S) Shared Assessment Phase 1 (Define Migration Vision) Readiness (Define Business Capabilities) Provider Selection RFI Phase 2 Responsible Party: (C) Customer Explanation of Key Activities Agreement w/ FSSP(s) Commercial vs. Federal Provider Decision Point Draft RFP Customers will engage in market research to compare the available federal and commercial options in the shared services marketplace against the specific business capabilities developed in Phase 1. Customers should enter into a structured agreement with one or more FSSPs and, if needed for additional market research, issue a Request for Information (RFI) to the commercial community to better understand capabilities and which approach represents the best value to the government. Based on market research and answers in the Business Needs Workbook, the customer organization will be equipped to justify a decision about whether to utilize commercial or Federal shared services providers. Customers must be able to demonstrate at this stage that meaningful consideration was given to both Federal and commercial providers and that the outcome constitutes the best value to the government for their specific migration needs. Draft E. IAA Engagement Depending on the outcome of the decision to move to a commercial or federal provider, the

customer will then begin drafting a Request for Proposal (RFP) to be issued to the commercial marketplace or a draft Engagement Interagency Agreement (IAA) with the selected Federal provider. These documents will be reviewed at the Phase 2 tollgate before being executed as the first activity in Phase 3. 0 1 2 3 4 5 Program Management 2.2 Update Lifecycle Cost Estimate for Engagement, Migration, and O&M Objective: Update the estimated costs of a migration based on Phase 1 and the cost estimates from providers to manage and plan budgetary needs Responsible Party: (C) Customer (P) Provider (S) Shared Activities 1. 2. 3. 4. Identify changes required to LCCE based on cost estimates provided by providers during Phase 2 including reasonableness and affordability (C) Update LCCE (according to cost management plan) for all future phases (C) Compare actual spending with budget for Phase 2 and adjust LCCE as needed (C) Report changes to projected costs and results of actual spending in governance meetings and Status Reports/Dashboards (C) Inputs LCCE Initial Business Capabilities Initial Target State Concept of Operations Initial Target State Systems Environment Outputs Stakeholders Cost Estimates from Provider Initial Scope of Services Executive Sponsor (C) Business Owners (C) Program Manager (C) PMO Lead (C) PMO Team (C) Budget or Financial Analyst (as needed) (C) Updated LCCE for Engagement, Migration, and O&M Best Practice Conduct lifecycle 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 0

1 2 3 4 5 Program Management 2.3 Monitor and Control Program Execution Objective: Monitor and report on program progress Responsible Party: (C) Customer (P) Provider (S) Shared Activities 1. 2. 3. 4. 5. 6. Manage scope and program performance using Program Management Plan (C) Manage Schedule through weekly updates of activities, dates, duration, and dependencies (C) Manage costs against the budget (C) Manage procurement lifecycle and contract performance against Procurement Plan for Phase 2 program support services (C) Manage and update HR/Staffing Plan as resources are on or off boarded or as needs change (C) Update program management documentation as necessary (C) 7. 8. Develop and distribute Status Reports/Dashboards (C) Hold status meetings to monitor status against milestones, issues, risks, and make decisions needed for workstreams (C) 9. Escalate decisions and issues as needed through Governance bodies (C) 10. Conduct executive briefings with organization leadership and oversight entities as necessary (C) 11. Develop and manage HR/Staffing Plan, Scope of Services overview, Mitigation Plans (P) 12. Draft initial program management documentation for Engagement (P) Inputs Program Charter Program Management Plan Initial Schedule IV&V Plan Stakeholders HR/Staffing Plan Governance Charter Status Reports/Dashboards Procurement Strategy Updated IV&V Plan Status Reports/Dashboards Outputs Updated Procurement Plan Updated Initial Schedule HR/Staffing Plan

Updated Program Management Plan Executive Sponsor (C) Business Owners (C) Program Manager (C) PMO Lead (C) PMO Team (C) Managing Partner/Line of Business Sponsor (Line of Business) 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 to identify whether or not the migration is successful 0 1 2 3 4 5 Program Management 2.4 Maintain and Execute Risk Processes Objective: Execute risk management processes to identify and mitigate risks and issues throughout the migration Responsible Party: (C) Customer (P) Provider Activities 1. 2. 3. 4. 5. Maintain and update Risk Management Plan, as necessary (C) Maintain and update Risks, Action Items, 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 (C) Perform risk assessment (C) Inputs Governance Charter Risk Management Plan RAID Log Outputs Updated Risk Management Plan Updated RAID Log USSM Risk Assessment Tool 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 Owners (C) Program Manager (C) Risk Manager (C) PMO Lead (C) PMO Team (C) IV&V Team (C) (S) Shared 0 1 2 3 4 5 Workforce, Organization & Stakeholders 2.5 Design Labor Relations Outreach 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 (CBAs) Responsible Party: (C) Customer (P) Provider (S) Shared Activities 1. 2. 3. 4. Review Target State Concept of Operations, capabilities, and workforce assessment to identify potential impacts on Collective Bargaining Agreements (CBAs )(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) 5. Report updates in governance meetings and Status Reports/Dashboards (C) Stakeholders Inputs CBAs Stakeholder Analysis Initial Scope of Services Change Management Plan Executive Sponsor (C) Business Owners (C) Change Management Lead (C) Labor Relations Leader(s) (C) Outputs Labor Relations Strategy

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 Schedule and building dependencies for change management activities (e.g., communications, training) Establish expectations with labor relations and union leadership 0 1 2 3 4 5 Workforce, Organization & Stakeholders 2.6 Develop Change Management Plan Objective: Develop change management activities and deliver communications to engage stakeholders prior to the migration Responsible Party: (C) Customer (P) Provider (S) Shared Activities 1. 2. 3. 4. 5. 6. Create an initial Change Management Plan that includes a workforce planning approach, Communications Plan, Labor Relations Strategy and training needs (C) 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) Conduct Readiness Assessment (C) Report updates in governance meetings and Status Reports/Dashboards (C) Inputs Communications Plan Stakeholder Feedback Labor Relations Activities Stakeholders Business Owner(s) (C) Program Manager (C) Change Management Lead (C) Communications Lead (C) Outputs Change Management Plan Updated Communications Plan Baseline Readiness Assessment 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 Major IT Business Case. The shared vision and roles stakeholders play should be reflected in the organization's Strategic Plan and personnel performance appraisals.

0 1 2 3 4 5 Technology 2.7 Conduct Initial Data Cleansing Activities Objective: Continue cleansing data based upon data quality assessment results and agreed upon quality metrics in data governance model Responsible Party: (C) Customer (P) Provider Activities 1. 2. 3. 4. Assess data quality against defined criteria 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 scripts and batch cycles (C) Report updates in governance meetings and Status Reports/Dashboards (C) Inputs Data Cleansing Plan Data Quality Assessment Results Outputs Stakeholders Business Owner(s) (C) Program Manager (C) Functional Lead (C) Technical Lead/Solution Architect (C) Data Conversion Lead (C) Data SMEs (C) Updated Data Cleansing Plan Data Cleansing Scripts Best Practice Begin data cleansing activities prior to migration activities and continuously throughout the implementation to assist with data readiness Gain agreement on data governance including metadata management and data quality management Allocate a sufficient number of SMEs with the appropriate skill sets to support data conversion activities throughout the implementation Establish criteria and metrics through the Data Governance approach on what constitutes clean data (S) Shared 0 1 2 3 4 Documentation Required for Phase 2 Tollgate Review 5

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 artifacts for their project using the USSM M3 Tailoring Guide. Phase 2 Documentation Provider Assessment Report (Federal Only) Engagement Phase IAA (Federal Only) Updated Data Cleansing Plan USSM Risk Assessment Tool Business Needs Workbook Evaluation Criteria Draft RFI and Responses (Commercial Only) Implementation Approach/Schedule Price Estimates for Engagement, Migration, and O&M Draft RFP (Commercial Only) Updated LCCE for Engagement, Migration, and O&M Updated Procurement Plan Information Contained in Tollgate Review Discussion Updated Initial Schedule HR/Staffing Plan Updated Program Management Plan Updated IV&V Plan Status Reports/Dashboards Updated Risk Management Plan Updated RAID Log Labor Relations Strategy Change Management Plan Updated Communications Plan Baseline Readiness Assessment Data Cleansing Scripts 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. USSM Risk Assessment Tool Initial Schedule Overview Updated LCCE Business Needs Workbook Provider Selection Summary HR/Staffing Plan Update (Customer) HR/Staffing Plan Overview (Provider)

Scope of Services (Overview) Procurement Approach Change Management and Communication Approach Labor Relations Strategy Data Management/Data Quality Approach Draft RFI and Responses (Commercial Only) Top Risks *Bolded documentation should be submitted for the Tollgate Review discussion. Additional information may be requested by USSM Exit Criteria (to move into Phase 3) Provider Selected (Federal Only) RFP Drafted (Commercial Only) Mitigation Plans in Place for Major Risks/Issues Initial Schedule Updated Staffing Plan Ready for Execution Data Cleansing Commenced LCCE Updated for Engagement, Migration, and O&M Communications to Stakeholder Delivered Business Needs Workbook 0 1 2 3 4 5 List of Guidance Items and Templates Available for Phase 2 Guidance Items are used by agencies to help with the engagement process. Templates are provided for agencies to help in the development of program documentation Guidance Items M3 Tailoring Guidance Business Needs Workbook Provider Assessment Report (Federal Only) Updated Scope of Services Implementation Approach/Schedule Engagement Phase IAA (Federal Only) Updated LCCE for Engagement, Migration, and O&M Status Reports/Dashboards HR/Staffing Plan Updated Initial Schedule Updated IV&V Plan

Updated Procurement Plan Updated Risk Management Plan Updated RAID Log USSM Risk Assessment Tool Labor Relations Strategy Updated Communications Plan Updated Data Cleansing Plan Templates M3 Tailoring Guidance USSM Risk Assessment Tool Business Needs Workbook Provider Assessment Report (Federal Only) Engagement Phase IAA (Federal only) HR/Staffing Plan Schedule Status Reports/Dashboards Risk Management Plan RAID Log Requirements Management Plan Tollgate 2 Review Discussion Phase 3: Engagement Phase 3 Summary and Documentation Phase Objective 0 Phase 3: Engagement Workforce, Organization, & Stakeholders Program Management 3.1 Integrate PMO Structures 3.2 Integrate Governance Structures 3.3 Update and Maintain Procurement Plans 3.4 Monitor and Control Program Execution 3.5 Maintain and Execute Risk Processes 3.6 Finalize Migration Approach 3.7 Update Lifecycle Cost Estimate for Migration and O&M Customer Provider 3 4 5 3.8 Engage with Labor Relations 3.9 Execute Change Management Plan 3.10 Develop Training Plan Shared Process & Service Delivery Technology

3.11 Finalize Requirements 3.12 Conduct Requirements FitGap Analysis 3.13 Finalize Target State Systems Environment 3.14 Develop Integrated Technical Strategy 3.15 Prepare Data for Mock Conversions (Data Cleansing, Data Mapping) 3.16 Finalize Target State Concept of Operations 3.17 Define Integrated Contact Center Structure 3.18 Define Service Level Agreements The following documentation is developed during Phase 3 and is used to inform the Phase 3 Tollgate Review discussion. Agencies purchasing transaction processing services only will identify relevant activities and artifacts for their project using the USSM M3 Tailoring Guide. Phase 3 Documentation 2 Conduct detailed planning through a fit-gap analysis and finalize the implementation roadmap. An Agile approach should be adopted for this Phase. Responsible Party: Phase Documentation 1 Updated Implementation Approach/Timeline Updated LCCE for Migration and O&M Gap Analysis Report Updated Data Cleansing Plan O&M SLAs Go/No-Go Criteria for Go-Live Assessment Intent to Exercise Migration Option (Commercial) USSM Risk Assessment Tool Integrated Program Charter Integrated HR/Staffing Plan IMS Integrated Program Management Plan Integrated IV&V Plan Integrated Governance Charter Gap Analysis Register Updated Procurement Plan Status Reports/Dashboards Change Request Log Change Request Form Lessons Learned Report Integrated Risk Management Plan Integrated RAID Log Migration Phase IAA Terms and Conditions (Federal Only)

Migration Approach, including Technical Strategies Updated Labor Relations Strategy Updated Change Management Plan Updated Communications Plan Updated Readiness Assessment Updated Workforce Assessment Initial Training Plan Updated Requirements Management Plan RTM Validated and Updated As-Is Systems Environment Target State Systems Environment Test Plan Configuration Management Plan CooP and Disaster Recovery Plan Interface Strategy Enhancement Strategy Updated Data Cleansing Scripts Documented Data Structure and Mapping Data Conversion Plan Target State Concept of Operations Scope of Services Integrated Contact Center Strategy *Bolded documentation should be submitted for the Tollgate Review discussion. Additional information may be requested by USSM. Information Contained in Tollgate Review Discussion 1. 2. 3. 4. 5. 6. 7. 8. 9. USSM Risk Assessment Tool Target State Solution Scope Fit-Gap Analysis Migration Plan, Schedule, and Release Approach Top Risks Updated Lifecycle Cost Estimate Updated HR/Staffing Plan (Customer) Updated HR/Staffing Plan (Provider) Procurement Approach (Customer) 10. Procurement Approach (Provider, Federal) 11. Updated Change Management and Communications Approach 12. Training Approach 13. Contact Center Approach 14. Data Management/Data Quality Approach 15. Integrated Program Governance Model 16. Lessons Learned Exit Criteria (to move into Phase 4) Fit-Gap Analysis Completed PMO and Governance Process Integrated LCCE Updated for Migration and O&M

Migration Approach Finalized Integrated Master Schedule Drafted SLAs for Migration and O&M Defined Go/No-Go Criteria Approved 0 1 2 3 4 5 Program Management 3.1 Integrate PMO Structures Objective: Establish an integrated PMO team and processes to manage and oversee the activities shared by the customer and provider throughout the migration Responsible Party: (C) Customer (P) Provider (S) Shared Activities 1. 2. 3. 4. 5. 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 agencies (S) Document the roles and responsibilities in an integrated HR/Staffing Plan (S) Review customer Independent Verification and Validation (IV&V) procedures and update IV&V Plan (S) 7. Develop integrated Program Management Plan (including schedule, scope, risk, procurement, cost, communications/stakeholder, and quality) (S) 8. Develop integrated Quality Assurance Surveillance Plan (QASP) for procurement activities to monitor metrics and performance of provider during the program (C) 9. Create an Integrated Master Schedule (IMS), using the customers Initial Schedule and refine and continuously elaborate on the IMS for all activities during Phase 3 (S) 10. Begin managing schedule through agreed upon procedures (S) Inputs Customer Program Charter HR/Staffing Plan Initial Schedule IV&V Plan Stakeholders Program Management Plan Status Report Integrated Program Management Plan Integrated IV&V Plan Executive Sponsor (C, P) Business Owners (C) Program Manager (C, P) PMO Lead (C, P) PMO Team (C, P)

Outputs Integrated Program Charter Integrated HR/Staffing Plan IMS Best Practice 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 and conferencing needs Hold detailed discussions on the customers and providers goals, processes that will be migrated, systems, and program close-out roles and responsibilities early on Develop an integrated program 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 Phase 3 and 4 Use MOUs to document SMEs commitment and maintain accountability for participating in Fit-Gap sessions Ensure Provider transparency with regular reporting on expenditure to date 0 1 2 3 4 5 Program Management 3.2 Integrate Governance Structures Objective: Develop an integrated governance structure that establishes program activity ownership and decision making authority for the customer and provider agencies throughout a migration Responsible Party: (C) Customer (P) Provider (S) Shared Activities 1. 2. 3. 4. 5. 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 Charter (S) Begin executing against Governance Charter to guide Phase 3 activities (S) Inputs Existing Governance Bodies and Processes within Customer and Provider Agencies Customer Governance Charter Engagement Phase IAA (Federal Only) Stakeholders Executive Sponsor (C, P) Business Owners (C, P) Program Managers (C, P) PMO Leads (C, P) PMO Teams (C, P) Outputs

Integrated Governance Charter 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 0 1 2 3 4 5 Program Management 3.3 Update and Maintain Procurement Plans Objective: Develop integrated Procurement Plans and strategy to meet migration and O&M needs, inclusive of professional services, hardware, software, and infrastructure Responsible Party: (C) Customer (P) Provider (S) Shared Activities 1. 2. 3. 4. 5. Sign IAA for Phase 3 Engagement support if a Federal provider was selected in Phase 2 (S) Release Request for Proposal (RFP) for Phase 3 Engagement services if a commercial provider path was selected in Phase 2 (C) Evaluate solicitation responses, conduct final evaluation and award contract to selected commercial provider (C) Update Procurement Plans based on migration timeline and scope (C, P) Collaborate with category manager (or designated team) to identify acquisition strategy for any additional support contracts (C, P) 6. 7. 8. 9. Manage procurement lifecycle and contract performance against Procurement Plan for Phase 3 program support services (C, P) Develop RFPs, Requests for Quotes (RFQs), and Performance Work Statements (PWSs) for Phases 4 and 5 (C, P) Draft IAA for Phase 4 and draft, negotiate, and finalize IAA (C, P) Report changes to Procurement Plans and procurement decisions in governance meetings and Status Reports/Dashboards (C, P) Inputs Customer Procurement Strategy Provider Procurement Strategy Integrated PMO Structure and Processes Integrated Governance Structure and Processes Outputs Stakeholders

Executive Sponsor (C, P) Business Owners (C, P) Program Managers (C, P) PMO Leads (C, P) PMO Teams (C, P) Contracting or Procurement Officer (as needed) (C, P) Updated Procurement Plan Best Practice Identify personnel from the customer and provider agencies with critical skill sets and align them with specific program activities Bring on subject matter experts (SMEs) and information technology (IT) personnel on a timely manner to ensure a successful migration Define people, budget, and contracts before beginning implementation activities; align activities to specific resources in the IMS Validate software license needs based on user counts 0 1 2 3 4 5 Program Management 3.4 Monitor and Control Program Execution Objective: Monitor, measure, and report on program migration progress Responsible Party: (C) Customer (P) Provider (S) Shared Activities 1. 2. 3. 4. 5. 6. Manage scope and program performance using Program Management Plan (S) Manage IMS through weekly updates of activities, dates, duration, and dependencies (S) Manage costs against the budget (S) Manage and update HR/Staffing Plan as resources are on or off boarded or as needs change (S) Manage and update the IV&V Plan (S) Update program management documentation as necessary (S) 7. 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) 8. Develop and distribute Status Reports/Dashboards (S) 9. Hold status meetings to monitor status against milestones, issues, risks, and make decisions needed for work streams (S) 10. Escalate decisions and issues as needed through governance bodies (S) 11. Conduct executive briefings with organization leadership and oversight entities as necessary (S) Inputs Integrated Program Charter Integrated Program Management Plan Updated IMS Integrated IV&V Plan Stakeholders

Updated HR/Staffing Plans Integrated Governance Charter Status Reports/Dashboards Change Request Form IMS Lessons Learned Report Updated Implementation Approach/Timeline Outputs Integrated Program Management Plan Status Reports/Dashboards Integrated IV&V Plan Change Request Log Executive Sponsor (C, P) Business Owners (C, P) Program Managers (C, P) PMO Leads (C, P) PMO Teams (C, P) Functional Lead (C, P) Technical Lead/Solution Architect (C, P) Best Practice Include all migration activities and responsible parties in the Integrated Master Schedule 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 0 1 2 3 4 5 Program Management 3.5 Maintain and Execute Risk Processes Objective: Execute risk management processes to identify and mitigate risks and issues throughout the migration Responsible Party: (C) Customer (P) Provider (S) Shared Activities 1. 2. 3. 4. 5. Integrate risk processes between the customer and provider and update the Risk Management Plan (S) Maintain and update Risks, Actions Items, 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 risk assessment (S) Inputs Integrated Governance Charter Updated Status Reports/Dashboards Integrated Risk Management Plan Integrated RAID Log Outputs Stakeholders Executive Sponsor (C, P) Business Owners (C, P) Program Managers (C, P) Risk Manager (C, P) PMO Leads (C, P) PMO Teams (C, P) Integrated Risk Management Plan Integrated RAID Log USSM Risk Assessment Tool Best Practice Develop integrated risk management 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 0 1 2 3 4 5 Program Management 3.6 Finalize Migration Approach Objective: Develop Migration Approach, schedule, and cost based on fit-gap analysis and enter into Migration Phase IAA/Contract Responsible Party: (C) Customer (P) Provider (S) Shared Activities 1. 2. 3. 4. 5. Develop an initial Migration Approach and IMS based on RTM and timeline requirements (S) Finalize Migration Approach including a release approach based on fit-gap analysis and finalized Scope of Services (P) Develop plan for system decommissioning post migration (C) Develop detailed design of the retained organization (C)

Develop draft IAA (Federal only) for Phase 4 migration activities with scope of services, including cost estimates, based on the Migration Approach and schedule (P) 6. 7. 8. Prepare Intent to Exercise Migration Option (Commercial only) (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 Stakeholders RTM Gap Analysis Report Data Conversion Strategy Test Strategy Outputs Migration Phase IAA Terms and Conditions (Federal Only) Intent to Exercise Migration Option (Commercial) Migration Approach, including Technical Strategies Go/No-Go Criteria for Go-Live Assessment IMS Executive Sponsor (C, P) Business Owners (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) Best Practice Define, agree on, and communicate customer and provider roles and responsibilities prior to the start of implementation through the IAA and implementation team organization charts and Responsible, Accountable, Consulted, Informed (RACI) Matrix Understand the IAA services, SLAs, and cost structures and develop relevant metrics to be able to monitor provider performance Set up the Service Level Agreement 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 0 1 2 3 4 5 Program Management 3.7 Update Lifecycle Cost Estimate for Migration and O&M

Objective: Update the estimated costs of the migration based on fit-gap analysis, and to manage and plan budgetary needs Responsible Party: (C) Customer (P) Provider (S) Shared Activities 1. 2. 3. 4. 5. Provide migration and O&M cost estimates to customer based on requirements validation and fit-gap analysis, process for closing gaps, implementation timeline, and migration and O&M roles and responsibilities between the customer and provider (P) Negotiate and agree on best and final offer for migration and O&M costs (S) Identify changes required to LCCE based on selected providers cost estimates and consider reasonableness and affordability (C) Update LCCE (according to cost management plan) for migration and O&M (C) Compare actual spending with budget and adjust LCCE as needed (C) 6. Report changes to program costs and actual spending in governance meetings and Status Reports/Dashboards (S) Inputs Migration Approach RTM Gap Analysis Report Updated LCCE Outputs Stakeholders Updated Procurement Plan Executive Sponsor (C) Business Owners (C) Program Managers (C) PMO Leads (C) PMO Teams (C) Budget or Financial Analysts (as needed) (C) Updated LCCE for Migration and O&M Best Practice Conduct lifecycle cost analyses and incorporate migration cost estimates from the provider to plan out-year budget needs and requests 0 1 2 3 4 5 Workforce, Organization & Stakeholders 3.8 Engage with Labor Relations Objective: Continue to engage and communicate with labor relations to obtain approval towards a shared services migration Responsible Party: (C) Customer (P) Provider

Activities 1. 2. 3. 4. 5. 6. Determine target state workforce needs (C) Identify potential impact on staff by reviewing 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 (CBAs), 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 Stakeholders Program Manager (C) Change Management Lead (C) Communications Lead (C) Labor Relations Leader(s) (C) Outputs Updated Labor Relations Strategy Best Practice Account for union-related activities in the Integrated Master Schedule and building dependencies for change management activities (e.g., communications, training) (S) Shared 0 1 2 3 4 5 Workforce, Organization & Stakeholders 3.9 Execute Change Management Plan Objective: Maintain and execute the change management and communications plan based on feedback from the previous phases; implement updates as appropriate Responsible Party: (C) Customer (P) Provider (S) Shared Activities 1. 2. 3. 4. 5. 6. 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) Conduct assessment to identify how the workforce may be impacted by the migration (C) Update Readiness Assessment to further understand stakeholder ability to adapt to change (C) Determine if provider needs to adjust staffing levels based on the requirements of the new customer and, if yes, develop staffing plan (P) 7. Report updates in governance meetings and Status Reports/Dashboards (S)

Inputs Change Management Plan Communications Plan Baseline Readiness Assessment Stakeholders Program Manager (C) Change Management Lead (C) Communications Lead (C) Workforce Lead (C) Functional Lead (C, P) Outputs Updated Change Management Plan Updated Communications Plan Updated Readiness Assessment Updated 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 0 1 2 3 4 5 Workforce, Organization & Stakeholders 3.10 Develop Training Plan Objective: Develop a plan and approach for training curriculum, design, development, delivery, and evaluation Responsible Party: (C) Customer (P) Provider Activities 1. 2. 3. 4. 5. 6. 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 As-Is Workforce Assessment Outputs Initial Training Plan Best Practice Define the customers and providers training needs early on in the program lifecycle Stakeholders Program Manager (C, P) Change Management Lead (C, P) Training Lead (C, P) Communications Lead (C, P) Functional Lead (C, P) (S) Shared 0 1 2 3 4 5 Technology 3.11 Finalize Requirements Objective: Perform knowledge transfer of requirements, validate requirements, and baseline all standard and unique requirements with approvals to inform the fit-gap analysis Responsible Party: (C) Customer (P) Provider (S) Shared Activities 1. 2. 3. 4. 5. 6. Update Requirements Management Plan and processes based on providers 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) Inputs Target State Systems Environment Target State Concept of Operations Initial Business Capabilities Business Needs Workbook Outputs Updated Requirements Management Plan RTM Stakeholders Line of Business Standard Requirements (e.g.

Financial Management , Human Resources) Executive Sponsor (C, P) Business Owners (C, P) Program Manager (C, P) Requirements Lead (C, P) Technical Lead/Solution Architect (C, P) Functional SMEs (C, P) Technical SMEs (C, P) Managing Partner/Line of Business Sponsor (Line of Business) Best Practice Conduct system demonstrations and Conference Room Pilots (CRPs) 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 programs lifecycle Validate the requirements are testable 0 1 2 3 4 5 Technology 3.12 Conduct Requirements Fit-Gap Analysis Objective: Understand gaps between the customer requirements and providers standard solution and processes and develop gap solutions to inform the migration approach, timeline, and revised cost estimates Responsible Party: (C) Customer (P) Provider (S) Shared Activities 1. 2. 3. 4. 5. Identify where functional and technical (e.g., security, interfaces) requirements can be met by the providers standard solution and where gaps may exist using the baselined RTM (P) Conduct stakeholder validation sessions to review the fit-gap analysis. A sample fit-gap process kick-off is available here that can be used to guide agencies (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 Gap Analysis Report (P) 6. 7. 8. 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 (S) Stakeholders Inputs

Baselined RTM Gap Analysis Report from Due Diligence Providers Standard Solution and Requirements Outputs Gap Analysis Report Gap Analysis Register Executive Sponsor (C, P) Business Owners (C, P) Program Manager (C, P) Requirements Lead (C, P) Technical Lead/Solution Architect (C, P) Functional SMEs (C, P) Technical SMEs (C, P) Managing Partner/Line of Business Sponsor (Line of Business) Best Practice Assess functional, technical, and operational requirements as part of the fit-gap analysis 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 fit-gap process kick-off guide is available here Use live demonstrations for 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 Use the Gap Analysis Report to identify the potential opportunities to standardize business processes across divisions and offices 0 1 2 3 4 5 Technology 3.13 Finalize Target State Systems Environment Objective: Perform knowledge transfer of as-is environment and finalize the Initial Target State Systems Environment that capture all required interfaces, application, security/privacy, and data layers Responsible Party: (C) Customer (P) Provider (S) Shared Activities 1. 2. 3. 4. Perform knowledge transfer to provider to gain an understanding of the customers As-is Systems Environment including which interfaces to legacy systems will be required (C) Review Initial Target State Systems Environment and compare against the providers 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) 5. 6. 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 and Business Case RTM Existing Enterprise Architecture Documents & System Specifications Outputs Stakeholders Initial Target State Systems Environment Program Manager (C, P) Business Owners (C, P) Functional Lead (C, P) Technical Lead/Solution Architect (C, P) Interface Lead (C, P) Functional SMEs (C, P) Technical SMEs (C, P) Validated and Updated As-Is Systems Environment Target State 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 0 1 2 3 4 5 Technology 3.14 Develop Integrated Technical Strategy Objective: Develop the IT strategy to define the overall management and execution approach to system enhancements and implementation Responsible Party: (C) Customer (P) Provider (S) Shared Activities Based on the fit-gap analysis and finalized Target State Systems Environment, develop the Migration Plan, including the approach for technical components: 1. Develop Business Intelligence (BI) and Data Warehouse Strategy (S) 2. Develop reports strategy including BI development standards and tool analysis (S) 3. Develop Interface Strategy (S) 4. Develop Enhancement Strategy (S) 5. Update plan to decommission systems post-migration (C) 6. Document development controls (S) 7. Document configuration and workflow strategy (S) 8. Develop Configuration Management/Change Request Process (S) 9. Document Continuity of Operations (CooP) and Disaster Recovery Plan (S) 10. Develop Test Plan (S) 11. Report updates in governance meetings and Status Reports/Dashboards (S) Inputs

Stakeholders RTM Target State Concept of Operations Target State Systems Environment Business Intelligence and Data Warehouse Strategy Outputs Test Plan Configuration Management Plan CooP and Disaster Recovery Plan Interface Strategy Enhancement Strategy 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 Program Manager (C, P) Business Owners (C, P) Functional Lead (C, P) Technical Lead/Solution Architect (C, P) Interface Lead (C, P) Data Conversion Lead (C, P) Functional SMEs (C, P) Technical SMEs (C, P) Change Management Lead (C, P) PMO Lead (C, P) 0 1 2 3 4 5 Technology 3.15 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 Responsible Party: (C) Customer (P) Provider (S) Shared Activities 1. 2. 3. 4. 5. 6. Develop integrated data governance approach to include process, roles and 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 cleansing activities from previous phase against defined criteria (S) Initiate legacy-to-target data mapping (S) 7. 8. Identify data errors/anomalies and prioritize resolution activities (S) Develop and execute Data Cleansing Scripts and perform manual corrections as needed, updating as needed (S) 9. Validate results of data cleansing and readiness for conversion based on data quality criteria and metrics (C) 10. Report updates in governance meetings and Status Reports/Dashboards (S) Inputs Data Cleansing Plan Data Quality Assessment Results Existing System Data Dictionaries Existing Data Governance Model Outputs Stakeholders Initial Data Cleansing Results Existing Data Quality Assessments Existing Data Cleansing Plan Program Manager (C, P) Business Owners (C, P) Functional Lead (C, P) Technical Lead/Solution Architect (C, P) Data Conversion Lead (C, P) Data SMEs (C, P) Updated Data Cleansing Plan Updated Data Cleansing Scripts Documented Data Structure and Mapping Data Conversion Plan 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 data conversion strategy, schedule, and resource planning Investigate provider service offerings around post Go-Live conversion support prior to finalizing cleansing metrics 0 1 2 3 4 5 Process and Service Delivery 3.16 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

Responsible Party: (C) Customer (P) Provider (S) Shared Activities 1. 2. 3. 4. 5. Review Engagement Phase IAA/Contract 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 fit-gap analysis (S) Update the Initial Concept of Operations (S) Validate updated Concept of Operations with stakeholders (S) Define roles and responsibilities for O&M (e.g., systems maintenance, incident identification, change control and release management, service level agreement reviews, and governance) (S) 6. 7. Finalize Target State Concept of Operations based on processes to be migrated to the provider and the designed retained organization (S) Report updates in governance meetings and Status Reports/Dashboards (S) Inputs Initial Target State Concept of Operations As-Is Workforce As-Is Process Flows Scope of Services Outputs Target State Concept of Operations Best Practice Stakeholders RTM Gap Analysis Report Business Owners (C, P) Program Manager (C, P) Functional Lead (C, P) Technical Lead/Solution Architect (C, P) Technical SMEs (C, P) Functional SMEs (C, P) 0 1 2 3 4 5 Process and Service Delivery 3.17 Define Integrated 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: (C) Customer (P) Provider (S) Shared

Activities 1. 2. 3. 4. 5. Document requirements for the customer contact center function based on Target State Concept of Operations and 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) 6. Report updates in governance meetings and Status Reports/Dashboards (S) Inputs Business Needs Workbook Target State Concept of Operations Scope of Services Outputs Scope of Services Integrated Contact Center Strategy Best Practice Develop procedures to triage and escalate inquiries and incidents between the customer and provider Stakeholders Business Owners (C, P) Program Manager (C, P) PMO Lead (C, P) PMO Team (C, P) Functional Lead (C, P) Functional SMEs (C, P) Change Management Lead (C, P) 0 1 2 3 4 5 Process and Service Delivery 3.18 Define Service Level Agreements Objective: Define the level of service standards provided to the customer during operations and maintenance Responsible Party: (C) Customer (P) Provider (S) Shared Activities 1. 2. 3. 4. 5.

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 (S) Identify additional service level metrics based on objective, clearly-defined, and measurable criteria (S) Gain stakeholder buy-in on metrics that will be used post-migration to measure O&M performance as part of the Performance Management Plan (S) Define performance management capabilities, processes, and tools (S) 6. 7. Finalize service level metrics, targets, and remediation or issue resolution policies (S) Report updates in governance meetings and Status Reports/Dashboards (S) Inputs SLAs Engagement Phase IAA (Federal Only) Outputs O&M SLAs Best Practice Include services and systems with identified target metrics in your SLAs Stakeholders Executive Sponsor (C, P) Business Owners (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 SMEs (C, P) Functional SMEs (C, P) 0 1 2 3 4 Documentation Required for Phase 3 Tollgate Review 5 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 artifacts for their project using the USSM M3 Tailoring Guide. Phase 3 Documentation

Updated Implementation Approach/Timeline Updated LCCE for Migration and O&M Gap Analysis Report Updated Data Cleansing Plan O&M SLAs Go/No-Go Criteria for Go-Live Assessment Intent to Exercise Migration Option (Commercial) USSM Risk Assessment Tool Integrated Program Charter Integrated HR/Staffing Plan IMS Integrated Program Management Plan Integrated IV&V Plan Integrated Governance Charter Gap Analysis Register Updated Procurement Plan Status Reports/Dashboards Change Request Log Change Request Form Lessons Learned Report Integrated Risk Management Plan Integrated RAID Log Migration Phase IAA Terms and Conditions (Federal Only) Information Contained in Tollgate Review Discussion Migration Approach, including Technical Strategies Updated Labor Relations Strategy Updated Change Management Plan Updated Communications Plan Updated Readiness Assessment Updated Workforce Assessment Initial Training Plan Updated Requirements Management Plan RTM Validated and Updated As-Is Systems Environment Target State Systems Environment Test Plan Configuration Management Plan CooP and Disaster Recovery Plan Interface Strategy Enhancement Strategy Updated Data Cleansing Scripts Documented Data Structure and Mapping

Data Conversion Plan Target State Concept of Operations Scope of Services Integrated Contact Center Strategy 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. USSM Risk Assessment Tool Target State Solution Scope Fit-Gap Analysis Migration Plan, Schedule, and Release Approach Top Risks Updated LCCE HR/Staffing Plan Update (Customer) HR/Staffing Plan Update (Provider) Procurement Approach (Customer) Procurement Approach (Provider, Federal) Updated Change Management and Communications Approach Training Approach Contact Center Approach Data Management/Data Quality Approach Integrated Program Governance Model Lessons Learned *Bolded documentation should be submitted for the Tollgate Review discussion. Additional information may be requested by USSM Exit Criteria (to move into Phase 4) Gap Analysis Completed PMO and Governance Process Integrated LCCE Updated for Migration and O&M Migration Approach Finalized Integrated Master Schedule Drafted SLAs for O&M Defined Go/No-Go Criteria Approved 0 1 2 3 4 5 List of Guidance Items and Templates Available for Phase 3 Guidance Items are used by agencies to help with the engagement process. Templates are provided for agencies to help in the development of program documentation Guidance Items

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

Risk Management Plan RAID Log Lesson Learned Report Training Plan Requirements Management Plan RTM Gap Analysis Report Gap Analysis Register Data Conversion Plan Test Plan Configuration Management Plan Change Request Form Tollgate 3 Review Discussion Gap ID Form Sample Fit-Gap Process Kick-Off Guide Phase 4: Migration 0 Phase 4 Summary and Documentation Phase Objective Workforce, Organization, & Stakeholders Phase 4: Migration Program Management 4.1 Monitor and Control Program Execution 4.2 Maintain and Execute Risk Processes 4.3 Develop Integrated O&M Governance Process 4.4 Prepare O&M Scope of Services and Contracts 4.5 Assess Readiness for Go-Live 4.6 Update Lifecycle Cost Estimate for O&M Customer Provider 3 4 5 4.7 Design Target State Organization 4.8 Execute Workforce Transition and Prepare for Go-Live 4.9 Execute Training for Go-Live 4.10 Execute Labor Relations Strategy 4.11 Conduct Security and Privacy Reviews 4.12 Define Roles and User Access 4.13 Design, Configure, and Develop Systems 4.14 Design and Develop Interfaces 4.15 Design and Develop Reports 4.16 Design and Develop Data Warehouse 4.17 Conduct Mock Conversions 4.18 Test Systems and Processes 4.19 Develop and Execute Cutover Plan for Go-Live Shared Process & Service Delivery Technology 4.20 Finalize Service Level Agreements 4.21 Design Target State Processes The following documentation is developed during Phase 4 and is used to inform the Phase 4 Tollgate Review discussion. Agencies purchasing transaction processing services only will identify relevant activities and artifacts for their project using the USSM M3 Tailoring Guide. Phase 4 Documentation

2 Build, test, and deploy the new system, concept of operations, and workforce design. An Agile approach should be adopted for this Phase. Responsible Party: Phase Documentation 1 Updated Go/No-Go Readiness Criteria Go/No-Go Assessment Report USSM Risk Assessment Tool Change Request Log Change Request Form Updated IMS Updated Integrated Program Management Plan Updated IV&V Plan Status Reports/Dashboards Updated Integrated Risk Management Plan Updated Integrated RAID Log Integrated O&M Governance Charter O&M Contract or IAA Contingency Plan Updated LCCE for O&M Target State Organization Design Updated Workforce Assessment Workforce Transition Strategy Updated Communications Plan Targeted Cutover Communications Plan Updated Readiness Assessment Updated Change Management Plan Updated Training Plan Training Materials Training Evaluations Updated Labor Relations Strategy Security Documentation Privacy Documentation Baselined List of ID Credentials Updated RTM

Configuration Workbooks Interface Control Document Reports Design Document Updated Data Warehouse Design Document Data Warehouse and BI Reports Updated Data Conversion Plan Mock Conversion Report Conversion Defect Log Test Plan Test Scripts Test Results Report Test Defect Log Cutover Plan Updated O&M SLAs Target State Process Maps Standard Operating Procedures Updated Business Process Reengineering Strategy *Bolded documentation should be submitted for the Tollgate Review discussion. Additional information may be requested by USSM. Information Contained in Tollgate Review Discussion 1. 2. 3. 4. 5. USSM Risk Assessment Tool Program Management Readiness Criteria Tasks and Status Organizational Readiness Criteria Tasks and Status Technology Readiness Criteria Tasks and Status Business Operations Readiness Criteria Tasks and Status Exit Criteria Go/No-Go Criteria Met 0 1 2 3 4 5 Program Management 4.1 Monitor and Control Program Execution Objective: Monitor, measure, and communicate program migration progress Responsible Party: (C) Customer (P) Provider (S) Shared Activities 1. 2. 3. 4. 5. 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 Human Resources (HR)/Staffing 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) 6. 7. Update program management documentation as necessary (S) Develop and distribute Status Reports/Dashboards and escalate decisions and issues as needed through governance bodies (S) 8. Hold status meetings to monitor status against milestones, issues, risks, and make decisions needed for work streams (S)

9. Hold executive briefing to share progress on transition (S) 10. 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) Inputs Program Charter Governance Charter IMS Program Management Plan Stakeholders Status Report/Dashboards Outputs Change Request Form Change Request Log Updated IMS Updated Integrated Program Management Plan Updated IV&V Plan Status Reports/Dashboards Executive Sponsor (C, P) Business Owners (C, P) Program Managers (C, P) Program Management Office (PMO) Leads (C, P) PMO Teams (C, P) Functional Lead (C, P) Technical Lead/Solution Architect (C, P) 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 0 1 2 3 4 5 Program Management 4.2 Maintain and Execute Risk Processes Objective: Execute risk management processes to identify and mitigate risks and issues throughout the migration

Responsible Party: (C) Customer (P) Provider (S) Shared Activities 1. 2. 3. 4. 5. Maintain and update Risk Management Plan as necessary (S) Develop and employ mitigation strategies continuously throughout the migration (S) Maintain and update Risk, Action Items, Issue, Decision (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 (S) Perform risk assessment (S) Inputs Integrated Governance Structure and Process Status Reports/Dashboards IV&V Plan Integrated Risk Management Plan Outputs Stakeholders Integrate RAID Log Executive Sponsor (C, P) Business Owners (C, P) Program Manager (C, P) Risk Manager (C, P) PMO Leads (C, P) PMO Teams (C, P) Updated Integrated Risk Management Plan Updated Integrated RAID Log USSM Risk Assessment Tool 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 0 1 2 3 4 5 Program Management 4.3 Develop Integrated O&M Governance Objective: Develop integrated O&M governance structure to manage and oversee system and process performance Responsible Party: (C) Customer (P) Provider

Activities 1. 2. 3. 4. 5. 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, 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 Charter (S) Begin executing against governance charter to facilitate decision-making and issue escalation upon Go-Live (S) Inputs Existing Governance Bodies and Processes within customer and provider agencies Customer Governance Charter Migration Phase IAA (Federal Only) Stakeholders Executive Sponsor (C, P) Business Owners (C, P) Program Managers (C, P) PMO Leads (C, P) PMO Teams (C, P) Outputs Integrated O&M Governance Charter 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 (S) Shared 0 1 2 3 4 5 Program Management 4.4 Prepare O&M Scope of Services and Contracts Objective: Develop O&M scope of services, contract terms and conditions, and SLAs and gain agreement to have support in place post-deployment Responsible Party: (C) Customer (P) Provider (S) Shared Activities 1. 2. 3. 4. 5. Sign IAA for Phase 4 migration activities, if Federal provider selected (S) Update Procurement Plans for the migration based on scope of services and migration timeline (S)

Manage procurement lifecycle and contract performance against Procurement Plan for Phase 4 program support services (C) Report changes to Procurement Plans in governance meetings and Status Reports/Dashboards (S) Draft O&M IAA/Contract, including SLAs and costs, based on the scope of services expected for Phase 5 and continued O&M activities (P) 6. 7. 8. Negotiate terms and conditions of IAA/Contract for O&M including scope of services, SLAs, and cost structure (S) Sign IAA/Contract for O&M (S) Report updates in governance meetings and Status Reports/Dashboards (S) Inputs Scope of Services Stakeholders Executive Sponsor (C, P) Business Owners (C, P) Program Managers (C, P) PMO Leads (C, P) PMO Teams (C, P) Outputs O&M Contract or IAA Best Practice Understand the IAA services, SLAs, and cost structures and develop relevant metrics to be able to monitor provider performance 0 1 2 3 4 5 Program Management 4.5 Assess Readiness for Go-Live Objective: Monitor program performance and measure against go-live criteria to assess the programs readiness for Go-Live Responsible Party: (C) Customer (P) Provider (S) Shared Activities 1. 2. 3. 4. 5. 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, USSM, and Line of Business Managing Partner to review decision and finalize (S) 6. 7. 8. Document results of Go/No-Go decision, including mitigation steps for risks for deploying the solution or executing the Contingency Plan (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) Inputs Go/No-Go Assessment Criteria Updated Status Reports/Dashboards IMS Program Management Plan Stakeholders RAID Log Outputs Contingency Plan Updated Go/No-Go Readiness Criteria Go/No-Go Assessment Report Best Practice Define Go/No-Go Assessment Criteria upfront and define measurable criteria to make decisions Executive Sponsor (C, P) Business Owners (C, P) Program Managers (C, P) PMO Leads (C, P) PMO Teams (C, P) Functional Lead (C, P) Technical Lead/Solution Architect (C, P) 0 1 2 3 4 5 Program Management 4.6 Update Lifecycle Cost Estimate for O&M Objective: Update the estimated costs of a migration based on O&M Scope of Services to manage and plan budgetary needs Responsible Party: (C) Customer (P) Provider Activities 1. 2. 3. 4. 5. 6. Update O&M cost estimates to customer based on agreed upon scope of services (P) Negotiate and agree on best and final offer for O&M costs (S) Identify changes required to Lifecycle Cost Estimate (LCCE) based on selected providers cost estimates and consider reasonableness and affordability (C) Update LCCE (according to cost management plan) for O&M (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) Inputs

Migration Approach Requirements Traceability Matrix (RTM) Gap Analysis Report Updated LCCE Outputs Stakeholders Updated Procurement Plan Updated LCCE for O&M Best Practice Conduct lifecycle cost analyses and incorporate cost estimates from the provider to plan out-year budget needs and requests Executive Sponsor (C) Business Owners (C) Program Managers (C) PMO Leads (C) PMO Teams (C) Budget or Financial Analysts (as needed) (C) (S) Shared 0 1 2 3 4 5 Workforce, Organization & Stakeholders 4.7 Design Target State Organization Objective: Identify and design the target state organization needs and prepare for changes to the workforce Responsible Party: (C) Customer (P) Provider Activities 1. 2. 3. 4. 5. 6. 7. Review Target State Concept of Operations 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 (C) Develop strategy for workforce transition (C) Evaluate provider organization workforce based on customer migration and determine if there are impacts to provider workforce and Organization Structure (P) Inputs As-Is Workforce Assessment Current Organization Structure

Target State Process Flows Target State Concept of Operations Stakeholders Program Manager (C, P) Change Management Lead (C, P) Training Lead (C, P) Communications Lead (C, P) Outputs Target State Organization Design Updated Workforce Assessment Workforce Transition Strategy Best Practice Confirm the accuracy of the organizational structures based on the records maintained by first level managers versus the customer human capital office (S) Shared 0 1 2 3 4 5 Workforce, Organization & Stakeholders 4.8 Execute Workforce Transition and Prepare for Go-Live Objective: Execute against and expand upon Communications Plan to include targeted communications against the Cutover Plan Responsible Party: (C) Customer (P) Provider (S) Shared Activities 1. 2. 3. 4. 5. 6. 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 Readiness Assessment to further understand stakeholder ability to adapt to change (C) Create an additional, targeted Communications Plan based on Cutover Plan timeline and activities (S) 7. 8. 9. Update Communications Plan based on workforce transitions to the Target State Organization Structure, if needed (C) Develop strategy for employee transition and notify staff of reorganization, if required (C) Develop and deliver messages based on the targeted Communications Plan (S) Inputs Stakeholders Communications Plan Cutover Plan

Change Management Plan Outputs Updated Communications Plan Targeted Cutover Communications Plan Updated Workforce Assessment Updated Readiness Assessment Updated Change Management Plan Best Practice Deliver communications to stakeholders directly before Go-Live regarding new systems, processes, and roles 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) 0 1 2 3 4 5 Workforce, Organization & Stakeholders 4.9 Execute Training for Go-Live Objective: Develop and deliver training to the organization to prepare for Go-Live Responsible Party: (C) Customer (P) Provider Activities 1. 2. 3. 4. 5. 6. 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 Outputs Updated Training Plan Training Materials Training Evaluations 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) (S) Shared 0 1 2 3 4 5 Workforce, Organization & Stakeholders 4.10 Execute Labor Relations Strategy Objective: Continue to manage the relationship(s) with the union(s) Responsible Party: (C) Customer (P) Provider Activities 1. 2. 3. 4. 5. 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 (CBAs), 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 Stakeholders Program Manager (C) Change Management Lead (C) Communications Lead (C) Labor Relations Leader(s) (C) Outputs Updated Labor Relations Strategy Best Practice Encourage participation in regularly scheduled Meet and Discuss session with union leadership and organization management (S) Shared 0 1

2 3 4 5 Technology 4.11 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 Responsible Party: (C) Customer (P) Provider (S) Shared Activities Conduct Privacy Reviews: 1. Develop Privacy Framework to include system categorization, data type, handling, storing and sharing method, and incident response process (S) 2. Develop Privacy documentation and training material (if needed) to provide guidance to all stakeholders (S) 3. Implement Privacy training roadmap and integrate with overall training plan (S) 4. Roll out privacy regulations to all users (S) 5. Document and receive Systems of Record Notice, if required (S) Conduct Security Reviews: 1. Understand provider security environment and assess against requirements (S) 2. Develop Security documentation and Security Test Plan if applicable (S) 3. Execute security test according to test plan to include both physical and logical security, document and correct issues (S) 4. Request and receive Authority to Operate (ATO) if necessary (S) Inputs Stakeholders RTM Gap Analysis Report Target State Concept of Operations Integrated Technical Strategy Outputs Security Documentation, including Security Test Results and ATO Privacy Documentation, including Initial Privacy Assessment, FIPS 199, System of Records Notice (SORN), Privacy Impact Assessment Best Practice Understand the customers 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 Program Manager (C, P) Functional Lead (C, P) Functional SMEs (C,P) Data SMEs (C) Technical Lead/Solution Architect (C, P) Security Lead (C, P) ISSO (C, P) Network SME (C, P) PMO Lead (C, P) 0

1 2 3 4 5 Technology 4.12 Define Roles and User Access Objective: Define roles and user access according to user requirements Responsible Party: (C) Customer (P) Provider Activities 1. 2. 3. 4. 5. 6. 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 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) 7. Provide credentials to end users for testing, training, and production (S) Inputs RTM Gap Analysis Report Target State Process Flows Target State Organization Structure Outputs Baselined List of ID Credentials Stakeholders Integrated Technical Strategy 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) 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 (S) Shared 0 1 2 3 4 5 Technology 4.13 Design, Configure, and Develop Systems Objective: Design, configure, and develop changes and enhancement of system software, hardware, and documentation throughout the lifecycle Responsible Party: (C) Customer (P) Provider (S) Shared Activities 1. 2. 3. 4. 5. 6. 7. 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) 8. Validate the configuration and controls with customer Functional SMEs (and Technical SMEs) to validate enhancements have met requirements (S) Inputs RTM Target State Architecture Solution Integrated Technical Strategy Gap Analysis Report Outputs Updated RTM Configuration Workbooks Stakeholders Configuration Management Plan Program Manager (P) Technical Lead/Solution Architect (P) Configuration Lead (P) Development Team (P) Functional Lead (C, P) Functional SMEs (C, P) Managing Partner/Line of Business

Sponsor (Line of Business) 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 0 1 2 3 4 5 Technology 4.14 Design and Develop Interfaces Objective: Design and develop interfaces between applications Responsible Party: (C) Customer (P) Provider Activities 1. 2. 3. 4. Create or update Interface Control Documents to describe the functionality including data flow, security and controls, and transfer methods between various legacy systems (P) 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 RTM Target State Architecture Solution Integrated Technical Strategy Gap Analysis Report Stakeholders Target State Concept of Operations Outputs Interface Control Document 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 Program Manager (C, P) Technical Lead/Solution Architect (C, P) Development Team (C, P) Functional Lead (C, P) Network SME (C, P) (S) Shared

0 1 2 3 4 5 Technology 4.15 Design and Develop Reports Objective: Design and develop operational reports Responsible Party: (C) Customer (P) Provider Activities 1. 2. 3. 4. Based on reporting requirements within RTM, design reports (P) Validate report designs with customer (S) Build and unit test reports (P) Provide sample reports and prepare for user testing (P) Inputs RTM Target State Concept of Operations Integrated Technical Strategy Gap Analysis Report Outputs Stakeholders Data Warehouse, Data Model Design ERP application data models Program Manager (P) Technical Lead/Solution Architect (P) Development Team (P) Functional Lead (P) Functional SMEs (C, P) Network SME (P) Reports Design Document Updated Data Warehouse 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 (S) Shared 0 1 2 3

4 5 Technology 4.16 Design and Develop Data Warehouse Objective: Design and develop data warehouses to meet the needs of the customer Responsible Party: (C) Customer (P) Provider Activities 1. 2. 3. 4. 5. 6. 7. Design target state master and transactional data and data marts, considering existing Data Warehouse structure and historical reporting needs (P) Design Master Data Management Approach (P) Document Warehouse design and obtain approval of the customer (P) Develop and test Extract, Transform and Load programs with source systems (S) Build and test data marts (P) Build and develop Business Intelligence reports (P) Obtain approval of the customer (S) Inputs RTM Target State Concept of Operations Integrated Technical Strategy Gap Analysis Report Outputs Data Warehouse and BI Reports Best Practice Consider system scalability for future reporting needs Stakeholders Existing Data Warehouse Documentation Program Manager (C, P) Technical Lead/Solution Architect (C, P) Development Team (C, P) Functional Lead (C, P) Network SME (C, P) Functional SMEs (C, P) (S) Shared 0 1 2 3 4 5 Technology 4.17 Conduct Mock Conversions Objective: Conduct mock data conversions to test transfer of data Responsible Party: (C) Customer (P) Provider

Activities 1. 2. 3. 4. 5. 6. 7. 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 (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 RTM Integrated Technical Strategy Data Conversion Strategy Data Cleansing Plan Updated Outputs Updated Data Conversion Plan Mock Conversion Report Conversion Defect Log Stakeholders Data Quality Results Program Manager (C, P) Functional Lead (C, P) Functional SMEs (C) Technical Lead/Solution Architect (C, P) Development Team (C, P) Network SME (C, P) Data Conversion Lead (C, P) Data SMEs (C, P) 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 (S) Shared 0 1 2 3 4 5 Technology 4.18 Test Systems and Processes Objective: Test systems and processes and trace test cases and results in RTM Responsible Party: (C) Customer (P) Provider

(S) Shared Activities 1. 2. 3. 4. 5. 6. 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 (S) Perform regression test (S) Develop Test Results Report for each test cycle and confirm exit criteria have been met (S) Inputs Stakeholders RTM Target State Concept of Operations Integrated Technical Strategy Outputs Test Plan Test Scripts Test Results Report Test Defect Log 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) Updated RTM Best Practice Sequence SIT and 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 Migration IAA Leverage the RTM to map and trace requirements, test cases, and test scripts Involve testing team members in requirements sessions to understand requirements better 0 1 2 3 4 5 Technology 4.19 Develop and Execute Cutover Plan for Go-Live Objective: Create and execute Cutover Plan to deploy the solution into production

Responsible Party: (C) Customer (P) Provider Activities 1. 2. 3. 4. 5. 6. 7. 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 Communicate the cutover activities to stakeholders (S) Execute pre cutover tasks (S) 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) 8. Update decommissioning plan for legacy systems (C) Inputs RTM Integrated Technical Strategy IMS Outputs Cutover Plan Best Practice Establish an ongoing and committed contact center support at each organization to help facilitate Go-Live transition Have all key SMEs available onsite during final pilot trial and actual deployment Conduct daily meetings to monitor progress and issues for timely resolution 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) (S) Shared 0 1 2 3 4 5

Process and Service Delivery 4.20 Finalize Service Level Agreements Objective: Finalize the agreement on the level of service from the provider during O&M Responsible Party: (C) Customer (P) Provider Activities 1. 2. 3. Finalize O&M roles and responsibilities between the customer and provider (S) Validate and agree upon SLAs as an input to O&M IAA/Contract (S) Update/validate SLAs (as applicable) to ensure process steps are met that allow customers to meet agreed upon SLAs with provider (S) Inputs SLAs Outputs Updated O&M SLAs Best Practice Establish SLAs with proper monitoring where both customer and provider responsibilities are clearly defined Stakeholders Executive Sponsor (C, P) Business Owners (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 SMEs (C, P) Functional SMEs (C, P) (S) Shared 0 1 2 3 4 5 Process and Service Delivery 4.21 Design Target State Processes Objective: Design the Target State Process Maps, activities, decision points, interrelationships, and systems interactions Responsible Party: (C) Customer (P) Provider (S) Shared Activities 1. 2. 3. 4. 5. 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 Line

of Business service catalogs (S) Develop Target State Process Flows 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) 6. Update and develop Standard Operating Procedures (SOPs) and develop Desk Guides/User Guide for customer and provider processes (S) Inputs Target State Concept of Operations Target State Systems Environment Outputs Stakeholders Business Owners (C, P) Functional Lead (C, P) Technical Lead/Solution Architect (C, P) Technical SMEs (C, P) Functional SMEs (C, P) Program Manager (C, P) Target State Process Maps Standard Operating Procedures Updated Business Process Reengineering Strategy Best Practice Establish a standardized and common process decomposition to have consistency in terminology using guidance from the applicable Line of Business 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 SMEs to drive process ownership and decision making 0 1 2 3 4 Documentation Required for Phase 4 Tollgate Review 5 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 artifacts for their project using the USSM M3 Tailoring Guide. Documentation for USSM Updated Go/No-Go Readiness

Criteria Go/No-Go Assessment Report USSM Risk Assessment Tool Change Request Log Change Request Form Updated IMS Updated Integrated Program Management Plan Updated IV&V Plan Status Reports/Dashboards Updated Integrated Risk Management Plan Updated Integrated RAID Log Integrated O&M Governance Charter O&M Contract or IAA Contingency Plan Updated LCCE for O&M Target State Organization Design Updated Workforce Assessment Workforce Transition Strategy Updated Communications Plan Targeted Cutover Communications Plan Updated Readiness Assessment Updated Change Management Plan Updated Training Plan Training Materials Training Evaluations Updated Labor Relations Strategy Security Documentation Privacy Documentation Baselined List of ID Credentials Updated RTM Configuration Workbooks Interface Control Document Reports Design Document Updated Data Warehouse Design Document Data Warehouse and BI Reports Updated Data Conversion Plan Mock Conversion Report Conversion Defect Log Test Plan Test Scripts Test Results Report Test Defect Log Cutover Plan Updated O&M SLAs Target State Process Flows Standard Operating Procedures Updated Business Process Reengineering Strategy

Information Contained in Tollgate Review Discussion 1. 2. 3. 4. 5. 6. 7. 8. 9. USSM Risk Assessment Tool Program Management Readiness Criteria Tasks and Status Organizational Readiness Criteria Tasks and Status Technology Readiness Criteria Tasks and Status Business Operations Readiness Criteria Tasks and Status Contingency Plan Risk and Issues Summary Test Results Data Conversion Results *Bolded documentation should be submitted for the Tollgate Review discussion. Additional information may be requested by USSM Exit Criteria Go/No-Go Criteria Met 0 1 2 3 4 List of Guidance Items and Templates Available Guidance Items are used by agencies to help with the engagement process. Templates are provided for agencies to help in the development of program documentation. Guidance Items M3 Tailoring Guidance Status Reports/Dashboards Updated IMS Updated Integrated Risk Management Plan Updated Integrated RAID Log USSM Risk Assessment Tool Integrated O&M Governance Charter O&M Contract or IAA Contingency Plan Updated LCCE for O&M Updated Training Plan Updated Data Conversion Plan Mock Conversion Report Test Plan Test Defect Log Test Results Report Cutover Plan Updated O&M SLAs Templates

M3 Tailoring Guidance USSM Risk Assessment Tool Status Reports/Dashboards Governance Charter Schedule Change Request Form Risk Management Plan RAID Log RTM Training Plan Test Plan Test Report Data Conversion Plan Tollgate 4 Review Discussion 5 Phase 5: Operations 0 1 2 3 4 5 Phase 5 Summary Phase Objective Deliver services and conduct continuous process improvement. Phase 5: Operations Responsible Party: Program Management 5.1 Review Performance against Expected Benefits 5.2 Collect Lessons Learned 5.3 Implement Integrated O&M Governance Workforce, Organization, & Stakeholders 5.4 Support Stabilization and Perform Change Management Customer Technology 5.5 Maintain Applications Post Go-Live 5.6 Decommission Legacy Systems Provider Shared Process & Service Delivery 5.7 Conduct Continuous Process Improvement 5.8 Manage Integrated Contact Center 5.9 Monitor and Update Service Level Agreements

0 1 2 3 4 5 Program Management 5.1 Review Performance against Expected Benefits Objective: Evaluate and measure the migrations performance and success to determine if objectives were achieved Responsible Party: (C) Customer (P) Provider (S) Shared Activities 1. 2. 3. 4. 5. Receive all final deliverables/milestones to determine program completion (S) Evaluate schedule, scope, and cost of the migration against baseline metrics (S) Collect data and evaluate Success Metrics against baseline and targets (S) Document the results of the program against Success Metrics and present results to USSM, provider and customer executives (S) Collect and archive your cost actuals (S) Inputs Updated Program Charter Program Management Plan Integrated Master Schedule (IMS) Success Metrics Stakeholders O&M Service Level Agreements (SLA) Executive Sponsor (C, P) Business Owners (C, P) Program Managers (C, P) PMO Leads (C, P) PMO Teams (C, P) Outputs Final Report on Success Metrics 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 KPIs set in Phase 1 and internal and external standards, including benchmarks.gsa.gov 0 1 2 3 4 5

Program Management 5.2 Collect Lessons Learned Objective: Identify the Programs successes and areas for improvement, and report findings in a Lessons Learned Report Responsible Party: (C) Customer (P) Provider (S) Shared Activities 1. 2. 3. 4. 5. 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) Hold an optional meeting with program stakeholders to review lessons learned findings (S) Identify major successes and areas for improvement based on stakeholder responses (S) Document the major successes, areas for improvement and lessons learned of the program and present results to USSM, provider and customer executives (S) 6. Conduct knowledge transfer from migration team to O&M team and closeout program (S) Inputs Program Charter Program Management Plan IMS Status Report/Dashboard Outputs Lessons Learned Questionnaire Lessons Learned Report Best Practice Provide the Lessons Learned Report to both the customer and provider Stakeholders Executive Sponsor (C, P) Business Owners (C, P) Program Managers (C, P) PMO Leads (C, P) PMO Teams (C, P) 0 1 2 3 4 5 Program Management 5.3 Implement Integrated O&M Governance Objective: Implement O&M governance structures to manage and oversee performance after Go-Live Responsible Party: (C) Customer (P) Provider (S) Shared Activities

1. 2. 3. 4. Finalize Integrated O&M Governance Charter to include integrated governance authority, roles, and responsibilities for decision-making on topics such as risk/issue escalation, SLA monitoring, contract negotiations, service requests/change requests management after system Go-Live (S) Implement processes and integrated governance meeting cadence and reporting timelines for customer and provider (S) Update charter 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) 5. Review IAAs/contracts and SLAs at least once annually and determine if updates need to be made (C) Inputs O&M SLAs O&M Interagency Agreement (IAA)/Contracts Stakeholders Business Owners (C, P) O&M Team (C, P) Outputs Integrated O&M Governance Charter O&M SLA Performance Reports Change Request Log 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 0 1 2 3 4 5 Workforce, Organization & Stakeholders 5.4 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 (P) Provider (S) Shared Activities 1. 2. 3. 4. 5. 6. 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 training for employees during the stabilization period (S) Assess the impact of the training for employees through elevations and metrics (S) Document lessons learned from Training Evaluations and stakeholder feedback on communications (S)

Develop a new Communications and Training Plan for O&M (S) 7. 8. Conduct training on a regular basis and 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) Inputs Change Management Plan Training Materials Training Assessment and Metrics Targeted Cutover Communications Plan Stakeholders O&M Team (C, P) Outputs Completed Training Evaluations O&M Communications and Training Plan Communications Materials Training Materials 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 0 1 2 3 4 5 Technology 5.5 Maintain Applications Post Go-Live Objective: Support and maintain application post go-live to address system and users concerns for operational effectiveness Responsible Party: (C) Customer (P) Provider Activities 1. 2. 3. 4. Provide HyperCare (e.g., service desk, incident management, event management, access management) for 90 days after Go-Live (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 SLAs and sustain an agreed upon level of operation performance (P) Plan and perform future modernization efforts to improve operational effectiveness (P) Inputs Requirements Traceability Matrix (RTM) Target State Systems Environment

Integrated Technical Strategy Cutover Plan Stakeholders O&M Team (C, P) Outputs Post Implementation and Evaluation Report Best Practice Engage 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 (S) Shared 0 1 2 3 4 5 Technology 5.6 Decommission Legacy Systems Objective: Retire legacy systems including hardware, software, licenses, interface, and close out support contracts Responsible Party: (C) Customer (P) Provider Activities 1. 2. 3. 4. 5. Once the Cutover Plan is complete, execute the Decommissioning Plan (C) Develop 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 Decommissioning Report (C) Inputs Cutover Plan Decommissioning Plan Outputs Decommissioning Report Stakeholders Best Practice Build decommissioning plan into the overall migration program to capitalize on cost reduction and operational improvements Program Manager (C) Business Owners (C) Functional Lead (C) Technical Lead/Solution Architect (C)

Security SMEs (C) Network SMEs (C) O&M Team (C) PMO Lead (C) (S) Shared 0 1 2 3 4 5 Process and Service Delivery 5.7 Conduct Continuous Process Improvement Objective: Monitor operational performance to identify and implement process improvement opportunities Responsible Party: (C) Customer (P) Provider (S) Shared Activities 1. 2. 3. 4. 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 SOPs (S) Communicate changes to stakeholders and train end users as necessary (S) Inputs Target State Process Flows SOPs O&M SLAs Stakeholders O&M Team (C, P) Outputs Updated Process Flows Updated SOPs Updated O&M SLAs 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 Provider and Customer agencies should work together to correctly report shared services activity on the annual Government-wide benchmarking exercise hosted on MAX Collect 0 1 2 3 4 5 Process and Service Delivery 5.8 Manage Integrated Contact Center Objective: Provide service and assistance to customers in O&M Responsible Party: (C) Customer (P) Provider

Activities 1. 2. 3. 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 O&M SLAs Contact Center Strategy Outputs Updated O&M SLAs Best Practice Define mandatory requirements clearly and align with SLAs Stakeholders Business Owners (C, P) Program Manager (C ,P) PMO Lead (C, P) PMO Team (C, P) Functional Lead (C, P) Functional SMEs (C, P) Training Lead (C, P) Change Management Lead (C, P) Communications Lead (C, P) (S) Shared 0 1 2 3 4 5 Process and Service Delivery 5.9 Monitor and Update SLAs Objective: Update the agreement on the level of service provided by the provider to the customer during operations and maintenance for a defined period of time Responsible Party: (C) Customer (P) Provider (S) Shared Activities 1. 2. 3. Create reports based on ongoing tracking/managing of performance against established 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 O&M SLAs

Outputs Updated O&M SLAs Best Practice Establish SLAs with proper monitoring where both customer and provider responsibilities are clearly defined Stakeholders Executive Sponsor (C, P) Business Owners (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 SMEs (C, P) Functional SMEs (C, P) Abbreviations Abbreviation Definition Abbreviation Definition ATO Authority to Operate PMO Program Management Office BI Business Intelligence PWS Performance Work Statement CBA Collective Bargaining Agreement QASP Quality Assurance Surveillance Plan CooP Continuity of Operations RAID Risks, Actions Items, Issues, and Decisions CPIC Capital Planning and Investment Control RACI Responsible, Accountable, Consulted, Informed CRP Conference Room Pilot RFI

Request for Information ERP Enterprise Resource Planning RFP Request for Proposal FAQ Frequently Asked Questions RFQ Request for Quote GSA General Services Administration ROI Return on Investment HR Human Resources ROM Rough Order of Magnitude IAA Interagency Agreement RTM Requirements Traceability Matrix ID Identification SLA Service Level Agreement IMS Integrated Master Schedule SME Subject Matter Expert ICAM Identity, Credentials, and Access Management Framework SOP Standard Operating Procedure IT Information Technology SORN System of Records Notice ITIL Information Technology Information Library USSM Unified Shared Services Management ISSO Information Systems Security Officer

IV&V Independent Verification and Validation LCCE Lifecycle Cost Estimate O&M Operations and Maintenance OMB Office of Management and Budget PIV Personal Identification Verification Glossary - Stakeholders Stakeholder Definition Stakeholder Definition Budget or Financial Analyst Individual who conducts budget or financial analysis Business Owners Responsible leader for particular business functions on customer side, e.g., CFO, CHCO Line of Business - Managing Expert from a particular Line of Business who Partner/Line of Business represents that Line of Business Sponsor Individual with network subject matter Network SME expertise Change Management Lead Responsible leader for change management activities for the program O&M Team Group of individuals who run O&M for customer and provider Communications Lead Responsible leader for communications activities for the program Program Manager Individual who manages the overall program and integration of activities Contracting/Procurement Officer Individual responsible for procurement for the organization and managing contracts Requirements Lead Responsible leader for the process of defining and managing requirements Data Conversion Lead Responsible leader for data conversion for the program Risk Lead

Responsible leader for risk management processes Data SMEs Individuals with data subject matter expertise Development Team Group of individuals responsible for developing the technical solution Risk Manager Individual who manages risk management processes Security Lead Responsible leader for security management Executive Sponsor Executive who sponsors the program Security SME Functional Lead Responsible leader for the functional aspect of solution implementation Individual with security subject matter expertise Functional SMEs Individuals with functional subject matter expertise Technical Lead/Solution Architect Responsible leader for the technical aspects of solution implementation Technical SMEs Interface Lead Responsible leader for managing interfaces during the solution implementation Individuals with technical subject matter expertise Test Lead Responsible leader for testing Information Systems Security Officer (ISSO) Individual who is responsible for information systems security Test Team Group of individuals who run testing Responsible leader(s) for labor relations with the Union(s) Training Lead Responsible leader for running training Labor Relations Leader(s) Workforce Lead Responsible leader for workforce planning Glossary Term Definition

Input An artifact (usually created in a prior activity) or an event recommended to support completion of activities Output An artifact or event that is produced by an activity to facilitate robust planning and migration activities in comprehensive program artifacts Exit Outcome An outcome that should be achieved by the time a phase is complete but is not necessarily a tollgate Guidance Item A supporting tool for agencies to evaluate their plans and program artifacts against leading practices; guidance items can be used to shape the content of agency specific documentation when not using a template Tollgate A checkpoint to assess risk and inform budget/funding decisions for the migration Tollgate Review Discussion A summary review that must be submitted at the end of a tollgate with key components to inform risk review and budget/funding decisions for the migration

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