Phase 4 Progress Review Discussion Template GSA, Office of

Phase 4 Progress Review Discussion Template GSA, Office of Shared Solutions and Performance Improvement Month, Year 1

Questions to be Answered This template is intended to guide a Progress Review discussion between a Customer, Provider and Key Stakeholders. Questions to Be Answered 4. Migration Are there still gaps between common business requirements? Are they warranted? What is the level of confidence in the comprehensive risk assessment of the health of the project to identify major challenges and a mitigation strategy? Is the provider adequately prepared and resourced to deploy the solution and support the customer during O&M? Is the customer adequately prepared and resourced to go-live and operate during O&M? Are adequate plans in place to address known issues that will arise during O&M? If there are changes to the total migration cost, are they reasonable? Current/future budget impact? Does the effort align with each office initiative? 2

Instructions for Completing This Template This template is intended to guide a Progress Review discussion between a Customer, Provider and Key Stakeholders. To use this template: Use the source documents included within each slide to develop summary-level information that will help guide the Progress Review Be prepared to discuss specific questions/content included on each slide before or during the Progress Review Once complete, schedule a Progress Review meeting 3

Documentation Required for Phase 4 Progress Review The following documentation is required in guiding a discussion to demonstrate readiness and gain approval for Phase 4. Agencies purchasing transaction processing services only will identify relevant activities and artifacts for their project using the M3 Services Tailoring Guide. Information Contained in Progress Review Discussion Phase 4 Documentation Baselined List of ID Credentials Business Process Reengineering Strategy Change Management Plan Change Readiness Assessment Change Request Form Change Request Log Communications Plan Configuration Management Plan Configuration Workbooks Contingency Plan Conversion Defect Log Cutover Plan Data Conversion Plan Decommission Plan Desk Guides/User Guide Go/No-Go Assessment Report Go/No-Go Readiness Criteria Independent Verification & Validation (IV&V) Plan Integrated Master Schedule (IMS) Interface Control Document Labor Relations Strategy M3 Risk Assessment Tool Mock Conversion Report O&M Governance Plan Privacy Documentation Program Management Plan Resource Management Plan Reports Design Document Requirements Traceability Matrix (RTM) Risk Management Plan Risks, Actions, Issues, and Decisions (RAID) Log Security Documentation Standard Operating Procedures Status Reports/Dashboards Target State Organization Design Target State Process Flows Target State Process Maps Targeted Cutover Communications Plan Test Defect Log Test Plan Test Results Report Target State Concept of Operations Test Scripts Training Evaluations Training Materials Training Plan Workforce Assessment Workforce Transition Strategy Business Operations Readiness Criteria Tasks and Status Contingency Plan Data Conversion Results M3 Risk Assessment Tool Organizational Readiness Criteria Tasks and Status Program Management Readiness Criteria Tasks and Status Risk and Issues Summary Technology Readiness Criteria Tasks and Status Test Results Exit Criteria (to move into Phase 5) Go/No-Go Criteria Met 4

M3 Risk Assessment Tool Determine the risk rating during Phase 4 using the M3 Risk Assessment Tool and submit with progress review material. ILL R T US E V I AT 5

Overview of Go/No-Go Decision Making Process Describe the process for assessing the program’s readiness per the criteria identified Readiness Categories Program Management: Program Management processes have been defined and are being followed Organizational: Human Capital components of the program are ready for end users to adopt new systems and processes Technology: Migration activities have been completed successfully and are ready for deployment Business Operations: Processes, infrastructure, and controls are in place for operational environment Source Documentation from Playbook 6 Go/No-Go Readiness Criteria

Health Indicator Definitions and Criticality Matrix Reference the Criticality/Health Indicator Matrix and definitions below to complete the Readiness Category Health Indicator Summary Category Criticality Definitions Approval All high criticality tasks meet success criteria; any medium and low tasks that have not met success criteria contain documented issues and corresponding, detailed action plans for resolution by deployment Approval Denied One or more high criticality tasks has not met the success criteria and are not expected to be complete by deployment, and/or the program/organization has open risks / issues that must be resolved before it can be considered operationally ready Category Health Indicator Definitions Green Successfully completed or on track to be successfully completed according to IMS with minimal risk Yellow Risk identified with mitigation plan documented and being tracked towards resolution for deployment Red Risk identified with no mitigation plan in place OR not on track to be resolved for deployment Category Criticality Definitions High Greater than 10% impact to budget, critical path milestones impacted, cannot meet program milestones Medium Greater than 5% and less than 10% impact budget, no impact to milestones Low Less than 1% impact to budget, no impact to schedule, no impact on ability to meet key dates Health Indicator Ratings (count) Green Yellow Red TOTAL High Criticality Rating Medium Low TOTAL Source Documentation from Playbook 7 RAID log Go/No-Go Readiness Criteria

Readiness Category Health Indicator Summary Provide the status of each task/artifact in each of the readiness categories listed below Program Management Readiness Health Indicator Ratings (count) Yellow Red Health Indicator Ratings (count) Green TOTAL High Criticality Rating Criticality Rating Green Organizational Readiness Medium Low TOTAL Low TOTAL Business Operations Readiness Health Indicator Ratings (count) Green TOTAL High Criticality Rating Criticality Rating Red TOTAL Medium Health Indicator Ratings (count) Yellow Red High Technology Readiness Green Yellow Medium Low TOTAL 8 Yellow Red TOTAL High Medium Low TOTAL Source Documentation from Playbook RAID log Go/No-Go Readiness Criteria

Justification/Action Plan for Unmet Criteria Provide additional justification or action plan to address readiness criteria that has been indicated as YELLOW or RED. Provide details of actions completed for items that were changed from yellow or red to GREEN Readiness Category No. Task Go / No-Go Success Criteria Program Management Readiness Health Indicator Justification / Action Plan Red Yellow Organizational Readiness Yellow Green Technology Readiness Yellow Red Business Operations Readiness Yellow Green Source Documentation from Playbook 9 RAID log Go/No-Go Readiness Criteria

Program Management Readiness Criteria Tasks and Status Program Program Management Management Readiness Readiness Organizational Organizational Readiness Readiness Technology Technology Readiness Readiness Business Operations Readiness Readiness Health Indicator Ratings (count) Green Yellow Red TOTAL High Criticality Rating Medium Low TOTAL No Task Owner Criticality Go/No-Go Success Criteria 1. Program Schedule/work breakdown structure (WBS): Are there any tasks that impact Go-Live that are late or at risk of becoming late? All tasks impacting Go-Live are on schedule or contain less than 10% variance 2. Risk/Issue Register: Have all High Severity risks/issues related to the program/release been closed or mitigated? All risks have been documented and tracked and no High severity risks / issues remain without mitigation 3. O&M Governance: Are postimplementation governance procedures in place? Governance procedures have been defined and approved The organization should tailor or add criteria based on the nature of the migration Indicates additional summary slide required in presentation 10 Health Indicator Status Source Documentation from Playbook RAID log Go/No-Go Readiness Criteria

Program Management Readiness Criteria Tasks and Status Program Management Readiness Organizational Readiness Technology Readiness Owner Go/No-Go Success Criteria No Task 4. Contingency Plan: Are all necessary implementation contingency plans in place for roll back procedures? Criticality Business Operations Readiness Health Indicator Status All contingency plans have been developed and approved Organization Defined Organization Defined Source Documentation from Playbook Indicates additional summary slide required in presentation 11 RAID log Go/No-Go Readiness Criteria Contingency Plan

Risk and Issue Summary Please provide a summary of the risks and issues of the program Risk Status (count) Closed/ Cancelled Deferred In Progress Grand Total High Risk Severity Medium Low Grand Total Issue Status (count) Closed/ Cancelled In Progress Grand Total High Issue Priority Medium Low Grand Total Source Documentation from Playbook 12 RAID log

Contingency Plan Describe the contingency plan in place if a No-Go decision is made or if rollback procedures need to be executed Describe impacts on systems, data, workforce, costs, and migration team Source Documentation from Playbook 13 Contingency Plan

Organizational Readiness Criteria Tasks and Status Program Management Readiness Organizational Readiness Technology Readiness Business Operations Readiness Health Indicator Ratings (count) Green Yellow Red Criticality Go / No-Go Success Criteria TOTAL High Criticality Rating Medium Low TOTAL No Task Owner Health Indicator 5. Union Agreement: Are all union negotiations and agreements regarding testing and training complete? Union agreements have met requirements of collective bargaining agreements for testing, training , and staffing 6. Training Delivery: Have training materials been developed? Have training sessions been planned and scheduled for end users? All training sessions have been planned and scheduled 7. Target State Business Processes: Have the business process changes about retained organization been documented? Business process changes have been documented Status Source Documentation from Playbook 14 RAID log Readiness Assessment Go/No-Go Readiness Criteria

Organizational Readiness Criteria Tasks and Status Program Management Readiness No Task 8. Communications Delivery: Have end user Go-Live communications on been drafted and scheduled? Have the future state process changes been communicated? Organizational Readiness Owner Technology Readiness Criticality Go/No-Go Success Criteria Business Operations Readiness Health Indicator Status All communications have been planned, drafted, and delivered per the work plan Organization Defined Organization Defined Source Documentation from Playbook 15 RAID log Communications Plan Go/No-Go Readiness Criteria

Technology Readiness Criteria Tasks and Status Program Management Readiness Organizational Readiness Technology Readiness Business Operations Readiness Health Indicator Ratings (count) Green Yellow Red TOTAL High Criticality Rating Medium Low TOTAL No Task Owner Criticality 9. Baselined Requirements: Have all requirements been baselined and placed under change control? All requirements have been baselined 10. Account Code Structure and Data Mapping: Is the new structure defined and applied to relevant data (e.g., interfaces or data conversion)? Account code structure and data mappings have been defined and approved 11. Configuration Changes: Have all configuration changes been documented (e.g., updated master data tables)? All configuration changes have been implemented and tested Indicates additional summary slide required in presentation 16 Go / No-Go Success Criteria Health Indicator Status Source Documentation from Playbook RAID log RTM Go/No-Go Readiness Criteria

Technology Readiness Criteria Tasks and Status Program Management Readiness Organizational Readiness Owner Technology Readiness No Task Criticality Go / No-Go Success Criteria 12. Interfaces: Have all interfaces been designed, developed, and tested? No critical issues remain after mock data conversion or user acceptance testing 13. Testing: Have all defects rated high or critical been closed? For those that remain open has a plan been established to address the requirement? All test cases have been completed and assigned an outcome. For defects that remain open, a workaround has been developed and approved to meet the business requirement 14. Data Conversion: Have all of the planned mock conversions been completed and met the exit criteria? Mock conversions have been completed and meet the exit criteria 15. Cutover Plan: Are all tasks identified in the cutover plan on track for completion? No issues have been identified in cutover activities 16. Change Management Log and Disposition: Have all change requests been tracked and dispositioned? All change requests have been tracked and dispositioned Business Operations Readiness Health Indicator Status Source Documentation from Playbook Indicates additional summary slide required in presentation 17 RAID log Interface Control Document Test Results Reports Conversion Defect Log Change Request Log Go/No-Go Readiness Criteria

Test Results Summarize the test results, including number of scripts executed and passed and outstanding high priority defects that remain Source Documentation from Playbook 18 Test Results Reports

Conversion Results Summarize the results of mock conversion of the number of records for conversion, percentage converted successfully, percentage not converted successfully, and outstanding high priority defects and issues that remain Source Documentation from Playbook 19 Test Results Reports

Business Operations Readiness Criteria Tasks and StatusOrganizational Program Management Technology Readiness Readiness Business Operations Readiness Readiness Health Indicator Ratings (count) Green Yellow Red TOTAL High Criti calit y Rati ng Medium Low TOTAL No Task Owner Criticality Go / No-Go Success Criteria 17. Customer Resource Readiness: Does Customer have resources in place and trained to perform O&M activities? Are contracts in place to supplement O&M resources? Customer organization has required resources identified and trained to support O&M processes 18. Provider Readiness: Does the provider have the people, facilities, equipment, training, and technology to support ongoing transaction processing based on anticipated volume? Provider resources and infrastructure are in place to support expected transaction volumes 19. O&M Contracts/Service Level Agreements (SLAs): Are the O&M contracts and SLAs defined and awarded? O&M IAA and SLAs have been defined and awarded Health Indicator Status Source Documentation from Playbook 20 Service Level Agreements

Business Operations Readiness Criteria Tasks and Status Program Management Readiness Organizational Readiness Owner Criticality Technology Readiness Business Operations Readiness Go/No-Go Success Criteria Health Indicator No Task 20. O&M Procedures: Have the O&M procedures been created? Are people in place to support these processes? O&M procedures have been establish and individuals have been identified and trained to perform O&M support processes 21. Help Desk: Have the Help Desk processes and procedures been defined? Is the provider Help Desk prepared for deployment? Do end users know how to access the help desk? Help Desk procedures have been established and individuals have been identified and trained to perform duties; end users have been made aware of how to access the help desk 22. Reporting: Have reports been designed and tested? Reports have been tested 23. System of Records Notice (SORN): Are all required notices in place? SORNs have been approved for required applications 24. Security Reviews/Authorization to Operate (ATO): Have all required security reviews, assessments, and approvals been completed and have any necessary ATO requests been received? ATOs have been approved for custom development (if applicable) Status Source Documentation from Playbook Indicates additional summary slide required in presentation21 Security Documentation Service Level Agreements

Business Operations Readiness Criteria Tasks and Status Program Management Readiness Organizational Readiness Owner Technology Readiness Criticality Business Operations Readiness No Task Go/No-Go Success Criteria Health Indicator 25. Business Continuity/Disaster Recovery: Are business continuity and disaster recovery plans defined and understood? Business continuity and disaster recovery plans have been defined 26. Personally Identifiable Information (PII): Are protocols in place to securely transfer PII? PII protocols are in place Status Source Documentation from Playbook 22 Privacy Documentation Readiness Assessment

Readiness Criteria Tasks and Status Program Management Readiness No Task Organizational Readiness Owner Technology Readiness Criticality Organization Defined Organization Defined 23 Go/No-Go Success Criteria Business Operations Readiness Health Indicator Status

Operations and Maintenance Procedures Describe the O&M Procedures in place to manage both systems and services, including resources from the customer and provider to support procedures Source Documentation from Playbook 24 Service Level Agreement

Help Desk Describe the help desk and customer care options available to end users for support and the escalation procedures in place for issue resolution Source Documentation from Playbook 25 Service Level Agreement