2.126.2 Transition Management Process

Manual Transmittal

July 23, 2015

Purpose

(1) This transmits new IRM 2.126.2, Enterprise Transition Management, Transition Management Process.

Material Changes

(1) This is a new IRM that defines the practices of the Enterprise Transition Management Process.

Effect on Other Documents

None

Audience

The provisions in this manual apply to all IRS organizations.

Effective Date

(07-23-2015)

Terence V. Milholland
Chief Technology Officer
Information Technology

Process Description

  1. Enterprise Transition Management Office

Introduction

  1. Introduction

Administration
  1. All proposed changes to this document should be directed to the Enterprise Transition Management Office (ETMO) process owner of this process description and be pursued via the Integrated Process Management (IPM) process to clearly define interfaces, roles, responsibilities, and coordinate participation and collaboration between stakeholders.

Purpose of Process Description
  1. This Transition Management (TM) process description (PD) describes what happens within the TM process and provides an operational definition of the major components of the process. This description specifies, in a complete, precise, and verifiable manner, the requirements, design, and behavior characteristics of the TM process. The PD is a documented expression of a set of activities performed to achieve a given purpose. Tailoring of this process in order to meet the individual needs of each project is covered in the Tailoring Guidelines section of this document. For the purpose of this document, roles such as TM Lead, Receiving Organizations, and Transition Management POC etc. are provided to describe a set of responsibilities for performing a particular set of related activities. Roles and/or responsibilities should fit your business terminology.

Document Overview
  1. This document describes a set of interrelated activities, which transform inputs into outputs, to achieve a given purpose and states the guidelines that all projects should follow regarding the TM process. The format and definitions used to describe each of the process steps of the TM process are described below:

    • Purpose – The objective of the process step

    • Roles and Responsibilities – The responsibilities of the individuals or groups for accomplishing a process step

    • Process Activity – The list of activities that make up the process step

    • Entry Criteria – The elements and conditions (state) necessary to trigger the beginning of a process step

    • Input – Data or material needed to perform the process step. Input can be modified to become an output

    • Output – Data or material that are created (artefacts) as part of, produced by, or resulting from performing the process step

    • Exit Criteria – The elements or conditions (state) necessary to trigger the completion of a process step

Process Overview

  1. Work Products

Work Products
  1. Work Products

Work Products Produced by This Process (Inputs)
  1. Used by This Process (Inputs)The following work products are used to assist in the implementation of the TM process:

    • Transition Management Plan (TMP)

    • Project Gap Log

    • Continual Service Improvement

    • Work Breakdown Structure (WBS)

Work Products Produced by This Process (Outputs)
  1. Work Products Produced by This Process (Outputs)

    • Gap Logs

    • TMP

Roles and Responsibilities
  1. Many roles are involved in the TM process. The figure below shows the roles and responsibilities used throughout this document.

    Role Description Definition of Responsibility
    Receiving Organizations (RO) The ROs play the most crucial role in the success of transition as they are going to use, operate and/or maintain new or enhanced systems. ROs also identify gaps and are accountable for closing or mitigating gaps. Several types of RO personnel are instrumental to the success of transition.
    Developing Organizations This includes any organization responsible for the design, development and deployment of the application. The developing organization is usually managed by the project and can be developers from AD, contractors or both.
    ETMO TM Manager The ETMO plays a unique role and is listed separately. At Level 1 support, they provide guidance, training, and facilitation. At Level 2 support, the ETMO and PO agree on what tasks each is responsible for. At Level 3 the ETMO leads most activities and ensures they are accomplished.
    TM Lead The TM POC for the project office who works with the TM manager and support personnel assigned to TM
    Transition Management Implementation Team The TMIT is made up of POCs from all the impacted organizations by transition management. They work with their organizations to close and/or mitigate gaps
Transition Management Process Flow Diagram
  1. Process Flow Diagram

    Figure 2.126.2-1

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Transition Management

  1. Transition Management

Getting Started
  1. Getting Started: Insert flow chart

Purpose
  1. The purpose of this step is to begin the TM process. The activities initiate the Memorandum of Understanding (MOU) for services, the WBS for activities and funding identification. Also, this step includes the level of support ETMO will provide.

Roles and Responsibilities
  1. The project manager and their TM lead coordinate with the TM Manager for accomplishing this step.

  2. The figure below shows the TM process flow.

Entry Criteria
  1. Generally, Getting Started occurs after the following events have occurred:

    • A project has been approved and is following the ELC

  2. The figure below shows the steps in the Getting Started phase

    Figure 2.126.2-2

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Input
  1. The following are inputs to this process step:

    • Project budget for TM Project Tailoring Plan

Process Activity
  1. Determine TM Applicability and Identify TM Manager: The information provided on the check list will be helpful in determining applicability and other project information. The check list is located on the ETMO website . Contact the ETMO and a TM Manager will be assigned to your projet.

  2. Determine ETMO level of Support and issue MOU: The MOU is the agreement between the Project Management Office (PMO) and the ETMO identifying the support that will be provided. Early in the project life cycle, the PM should meet with a TM Manager and decide what level of TM support will be provided.

  3. Develop WBS for TM Activities: The project manager and the TM Manager will work together to develop a draft WBS for TM activities. It will be used to identify key TM activities and the resources required to support TM. This information will be used to develop the MOU.

Output
  1. he following are outputs to this process step:

    • MOU

    • Tailoring Plan

    • WBS

Exit Criteria
  1. This process step is complete when:

    • WBS is developed

    • TM funding is provided

    • MOU is signed by all parties

Organizational Alignment
  1. Organizational Alignment

Purpose
  1. The purpose of Organization Alignment is to identify all organizations, both Business and IT, responsible for (or participating in) the use, operations, and/or maintenance of new or enhanced processes and technology.

Roles and Responsibilities
  1. This section defines the roles and responsibilities used throughout this document:

    • Project Management Office - coordinate and participate in the TM process

    • Executive Alignment - agree to provide support to TM activities and provide a POC

    • RO POC - identified by the executive to provide support and resolution of gaps

    • ETMO - provide TM leadership to ensure ROs are ready for new or enhanced systems

  2. Many roles are involved in the TMG procedure. This section defines the overall roles used throughout this procedure in terms of their responsibilities

    TM Manager Role Description Definition of Responsibility
    TM Manager Leads the transition process for the ETMO and provides guidance and direction to projects using the TM process.
    Executives Own gaps identified for their organization. Make decisions as appropriate regarding TM activities
    Receiving Organization Representatives (POC) Primary contact for impacted receiving organization. Coordinate closure or mitigation of gaps in their organization. Member of the Transition Management Implementation Team (TMIT)
    Project TM Liaison Primary contact for the project office regarding transition activities.
    TM Team Usually consists of TM Manager and Project Office Liaison who provide leadership of the TM process
    Transition Management Implementation Team (TMIT) Made up of impacted organization POCs who ensure gaps are closed/mitigated for the organizations they represent
  3. The figure below shows the steps in Organizational Alignment

    Figure 2.126.2-3

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Entry Criteria
  1. The Getting Started step has been accomplished

  2. Funding has been provided for TM

Process Activity
  1. Identify Impacted Organizations: It is important to identify all the Receiving Organizations (ROs) and stakeholders who may be impacted by the transition. The ROs will be directly impacted by the system because they are responsible for using, operating and/or maintaining the new or enhanced system.

  2. Confirm RO POCs: In order to have an effective Executive Alignment meeting and subsequent Transition Readiness Assessments (TRAs), POCs from the ROs need to be identified. These individuals are key to identifying and resolving or mitigating gaps.

  3. Gain commitment to TM: The purpose of organizational alignment is to gain commitment and support of the RO(s) executives and stakeholders on the scope of activities and resource requirements associated with TM.

  4. Define Current/Future State: Identifying the current/future state is important as it provides the baseline on changes that will occur when the new or enhanced system is deployed.

  5. Identify Transition Management Implementation Team (TMIT): This team consists of the POCs in each RO that will ensure that the gaps for the organization they represent get closed or mitigated prior to system deployment.

Output
  1. Output:

    • TMIT Charter

    • Executive Alignment Meeting

Exit Criteria
  1. Executives are committed to TM and provide the resources necessary for a successful transition

Gap Identification
  1. Gap Identification

Purpose
  1. The objective of the Gap Identification phase of the TM process is to uncover RO readiness gaps between the RO current and future states. These readiness gaps are typically identified by conducting TRAs. Gaps captured in the TRAs are documented and maintained in the TM project gap log, and must be resolved (closed or mitigated) prior to the transition for it to be considered successful.

Roles and Responsibilities
  1. Roles and responsibilities are outlined as follows:

    • Project Management Office – coordinate and participate in the TM process

    • Executive Alignment – agree to provide support to TM activities and provide a POC RO POC – identified by the executive to provide support and resolution of gaps

    • ETMO – provide TM leadership to ensure ROs are ready for new or enhanced systems

  2. The figure below shows the steps in the Gap Identification Phase

    Figure 2.126.2-4

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Entry Criteria
  1. Completion of Organizational Alignment step

Process Activity
  1. Prepare and conduct Transition Readiness Assessments (TRA): The TRA is the forum for the RO(s) and the Project TM Team to identify RO readiness gaps. TRAs may be assembled in several ways such as interviews, workshops, focus groups, etc., depending upon the type of project and whether or not mechanisms exist to convene ROs for the transition.

  2. Complete Gap Analysis and Gap Log: Once the TRA has been completed, the data captured is analyzed and used to identify gaps between the current and future state in all readiness categories for each RO.

  3. Develop TMP: The TMP documents the results of the various activities required for a successful transition. It documents the readiness of the ROs and provides a gap log for tracking readiness. The TMP is developed by following the TM process and entering the resulting information in the designated section of the template.

  4. Review, Approve and Deliver the TMP: Determine who the reviewers are and route for their review and comment(s). Resolve all comments and issue the TMP.

Output
  1. Listed below are outputs:

    • Gap Logs

    • TMPs

Exit Criteria
  1. Completion of all activities

Gap Closure
  1. The purpose of Gap Closure is to close or mitigate all the gaps between current and future state for each RO in all areas of transition (people, process, assets, and financials).

Roles and Responsibilities
  1. Project Management Office – coordinate and participate in the TM process

  2. Executive Alignment – agree to provide support to TM activities and provide a POC RO POC – identified by the executive to provide support and resolution of gaps

  3. ETMO – provide TM leadership to ensure ROs are ready for new or enhanced systems

  4. The graphic below shows the steps in Gap Closure

    Figure 2.126.2-5

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Entry Criteria
  1. Completion of step 3 and gap logs have been developed

Input
  1. Gaps Logs

    • TRA questions and answers

Process Activity
  1. Manage Gaps to Closure or Mitigation Conduct TMITs and resolve or mitigate Gaps

  2. Monitor gap closure activities and escalate issues Using the TMIT info and TM activities monitor gap closure process

  3. Conduct Continual Service Improvement

Output
  1. Completed TM process Updated

  2. Develop Continual Service Improvement

Exit Criteria
  1. Gaps closed or mitigated

Definitions, References
  1. An IT Glossary is available in the IPM Process Asset Library (PAL).

  2. The following resources are either referenced in this document or were used to create it.

    • TMG V8.0

    • TMP V8.0

Process Measurement
  1. ETMO is in the process of developing measurements and metrics for both the projects supported and program level activities. These have not been completed at this time.

Procedure Measurement
  1. Procedure Measurement Management will regularly review quantifiable data related to different aspects of the TM procedure in order to make informed decisions and take appropriate corrective action, if necessary.

    • Time/Schedule: Compare planned and actual completion of TM steps

    • Change Management: Manage changes to TM processes and procedures. Capture on a monthly basis

    • Training: Track the number of participants in training and the projects they represent. Review their feedback and make changes, as appropriate, to the training

    • Dashboard: Track level of support, milestone, status, owners and training statistics on a monthly basis

Training
  1. ETMO provides TM training for all Steps. Personnel can schedule classes on-line and are available quarterly.

Introduction to ETMO Procedure

  1. ETMO Procedure

Administration
  1. All proposed changes to this document should be directed to the Enterprise Transition Management Office (ETMO) owner of this procedure and pursued via the IPM process to clearly define interfaces, roles, responsibilities, and coordinate participation and collaboration between stakeholders.

Purpose of Procedure
  1. This document defines the step-by-step instructions on how to conduct the activities used to implement the Transition Management Guide (TMG) procedure in the ETMO. The purpose of a procedure document is to institutionalize and formalize the preferred method of performing tasks that staff is using. The objective is to have everyone using the same tools and techniques and follow the same repeatable steps so that the organization can quantify how well the procedure is working and train future staff members who may not currently know the routine. Ensuring consistency is a critical component for ensuring optimum efficiency.

  2. Tailoring of this procedure in order to meet the individual needs of each project is covered in the Tailoring Guidelines section of this document.

  3. For the purpose of this document, roles such as TM Manager and Receiving Organization POCs are provided to describe a set of responsibilities for performing a particular set of related activities.

Transition Management Procedure Overview
  1. Transition Management Procedure Overview

Purpose
  1. The purpose of this procedure is to outline the steps required to accomplish the Transition Management process and ensure that receiving organizations are ready to use, operate and/or maintain new or enhanced systems. This is accomplished through a series of work sessions, meetings and development of artifacts to determine readiness activities. The process is used during all phases of the ELC milestones.

Related Process Artifacts
  1. Enterprise Life Cycle (ELC)

  2. Project Work Breakdown Structures (WBS)

  3. Project Government Equipment List (GEL)

Related Directives
  1. ELC directives

Entry Criteria
  1. Generally, the TMG procedure occurs after the following events have occurred:

    • Project has been selected to proceed

    • Project is required to use the ELC

    • Project enters Milestone 1 or 2

    • Project answers TM applicability questionnaire

Input
  1. The following are inputs to this TM procedure:

    • Operation and Maintenance (O&M) information

    • Impacted organizations

    • Milestone dates

    • Current/Future state definitions

Activities
  1. This Procedure covers activities as follows:

    Activity Steps
    A1 Getting Started
    • TM Applicability is determined

    • TM WBS is developed showing all activities to complete TM

    • MOU developed between PMO and ETMO

    A2 Organization Alignment
    • TM Applicability is determined

    • TM WBS is developed showing all activities to complete TM

    • MOU developed between PMO and ETMO

    A3 Identify gaps (difference between current state and future state)
    • Gap Identification meetings are held with impacted organizations

    • Gap Logs are developed

    • Transition Management Implementation Team is developed and meetings to discuss gaps scheduled

    A4 Close or mitigate all gaps
Output
  1. The primary outputs of this TM procedure are:

    • Transition Management Plan (TMP)

    • Transition Gap Logs

Exit Criteria
  1. This TMG procedure is exited when:

    • All gaps are closed or mitigated

    • All TM WBS activities are completed

    • Continual Service Improvements are completed and distributed

Procedure Flow Diagram
  1. Getting Started

  2. Organization Alignment

  3. Gap Identification

  4. Gap Closure

Activity and Steps
  1. The TM process consists of a four-phased approach.

    A2) Organization Alignment is a positioning activity.
    • Identify impacted organizations that will use, operate and/or maintain the new or enhanced system

    • Executive owners are contacted and committed to support the TM Process

    • Organizational POCs are identified and briefed




    • TM Team


    • TM Team

    • Impacted Executives


    A3) Gap Identification Identify gaps (difference between current state and future state)
    • Gap Identification meetings are held with impacted organizations

    • Gap Logs are developed

    • Transition Management Implementation Team is developed and meetings to discuss gaps scheduled




    • TMIT

    • TMIT

    • TM Team

    A4) Gap Closure Close or mitigate all gaps
    • TMITs are conducted to close or mitigate gaps

    • Problem gaps are escalated as necessary to get resolution

    • Conduct Continual Service Improvement



    • TMIT

    • Executives

    • TM Team

Policy and Standards

  1. The Transition Management Guide describes the process used to prepare ROs to own, use, operate, and/or maintain new applications, programs and capabilities for IT, Business and Functional IRS divisions. Accordingly, the purpose of this document is to:

    • Define the scope of TM including major activities, ROs/Stakeholders and expected outcomes

    • Define processes to plan, evaluate and communicate ROs’ readiness and implement appropriate activities to ensure post deployment RO readiness

    • Provide guidance on the development of TMPs

  2. A TM Memorandum of Understanding (MOU) is the agreement between the Project Office and the ETMO identifying the level of TM service which will be provided. Once an ETMO TM Manager is assigned, a TM MOU will be initiated documenting the roles of the Project Office and ETMO based upon the level of service needs from the ETMO.

TM Standard Contract Language
  1. For the purpose of organization readiness to own, use, operate, and/or maintain new applications, programs and capabilities for IT, Business and Functional IRS divisions, IT organizations and/or their respective projects that award contracts to implement the Transition Management process, shall insert in the requisition the following paragraph

    • The contractor and/or Project Office shall complete the TM process in accordance with the Transition Management IRM and the Transition Management Guide located on the ETMO SharePoint site HERE. The guidance and authority for the TM process will apply to all IT projects as outlined in this IRM. The resulting deliverable is a Transition Management Plan (TMP)

  2. The objectives of the TM process are to:

    • Enhance chances for successfully achieving the desired business change

    • Standardize the approach for managing and governing business change, and supporting information system projects and programs throughout IRS

    • Help ensure project and program success by reducing risk and ensuring compliance with applicable internal and external standards and mandates

    Should the contractor propose a different process, ETMO shall review that process prior to contractor initiation of TM activities. To approve the contractor’s process, the contractor will need to demonstrate how the IRS ELC ETMO requirements will be met. A Transition Management Plan (TMP) is still required.

TM Contract Clause Terms
  1. This section describes the steps in complying with the ETMO TM clause outlined in section 2.126.1.1.4(1).a. All awards issued under a work request order or task order of which a statement of work (SOW) includes efforts to provide Transition Management (TM) services as outlined in IRM 2.126.1.1, and the Transition Management Guide (TMG) will follow these procedures.

    1. Insert as an addendum to the SOW (i.e., work request/task order) the TM clause in IRM 2.126.1.1.4(1).a.

    2. Insert in the Requisition attachment tab the TM clause in IRM 2.126.1.1.4(1).a

    3. The requestor shall issue an email to the ETMO Front-Door notifying them that the clause was added; “TM Guidance added to requisition/work request.” Provide the following in the email

    • Requisition number

    • Name of Project

    • Project Office

  2. The email is registered and assigned a TM Manager.

  3. The ETMO will monitor the project.

  4. The TM Manager assigned will provide project support when needed, and require the following;

    1. Work Breakdown Schedule

    2. Status update

    3. Mile-stone exit date

    4. List of Stakeholder Organizations

    5. Copy of Gap log

    6. Periodic review of the TMP

Tailoring Guidelines

  1. This procedure may be tailored to meet specific project requirements. If is permitted, refer to the tailored approach according to what has been documented in the TMG procedure owner’s Tailoring Plan. At a minimum, acceptable execution of the TM procedure specifies that the following mandatory activities be completed: Conducting Transition Readiness Assessments, Gap Logs, Transition Management Plans and Current and Future state definitions all specified in the TMG Sections 2 and 3. All tailoring requests, with supporting rationale, should be submitted in writing to and approved by the ETMO TM Manager.

CMMI, ITIL, PMI Compliance

  1. The Capability Maturity Model Integrated (CMMI) can be used to judge the maturity of an organization’s processes and related process assets and can be used to plan further improvements. CMMI sets the standard for the essential elements of effective and mature processes, improved with quality and efficiency. The Information Technology Infrastructure Library (ITIL) contains a collection of best practices, enabling organizations to build an efficient framework for delivering IT Service Management (ITSM) and ensuring that they are meeting business goals and delivering benefits that facilitate business change, transformation, and growth. The Project Management Institute (PMI) organization advances the project management profession through globally recognized standards and certifications. This process asset is used to indicate that all artifacts are developed or acquired, incorporating CMMI, ITIL, and PMI requirements, to meet the business objectives of the organization and that they represent investments by the organization that are expected to provide current and future business value to the IRS.

Definitions, References

  1. Definitions, References

Definitions

  1. A Glossary is available on the IPM Process Asset Library (PAL).

References

  1. The following resources either are referenced in this document or were used to create it.

    • IPM Procedure Template

    • IRM 2.16.1 ELC, ELC Guidance

    • Transition Management Guide V.8

Exhibits

  1. Definitions, References

Exhibit A: Glossary

  1. Glossary

    Term Definition
    Entry Criteria The elements and conditions (state) necessary to trigger the beginning of a process step
    Exit Criteria The elements or conditions (state) necessary to trigger the completion a process step
    Tool Job aid for a specific purpose, e.g., Checklist, template, application, etc.
    Artifact A work product created by a process or procedure step, e.g., plans, design specifications, etc.
    Level of Support Type of TM support that will be provided by the ETMO. There are three levels
    Milestones The ELC definition of development phases

Exhibit B: Abbreviations and Acronyms

  1. Abbreviations and Acronyms

    AD Applications Development
    BOD Business Operating Division
    BSAR Business System Architecture Report
    BSRR Business System Requirements Report
    BSP Business System Planning
    BU Bargaining Unit
    CII Configuration Identification Index
    CMMI Configuration Maturity Model Integration
    COH Computer Operating Handbook
    DSR Design Specification Report
    ELC Enterprise Life Cycle
    EOps Enterprise Operations
    ETMO Enterprise Transition Management Office
    FD Functional Division
    FY Fiscal Year
    HCO Human Capital Office
    HR Human Resources
    IMS Integrated Master Schedule
    IPM Integrated Process Management
    ITIL Information Technology Infrastructure Library
    IT Information Technology
    ITRACS Item Tracking Reporting and Control System
    L&E Learning and Education
    MOU Memorandum of Understanding
    O&M Operations and Maintenance
    OR Organization Readiness
    PAL Process Asset Library
    POC Point of Contact
    PM Project Manager
    PMI Project Management Institute
    PMO Project Management Office
    PMP Project Management Plan
    RO Receiving Organization
    SLA Service Level Agreement
    SME Subject Matter Expert
    TM Transition Management
    TMG Transition Management Guide
    TMIT Transition Management Implementation Team
    TMP Transition Management Plan
    TRA Transition Readiness Assessment
    UNS User & Network Services
    WBS Work Breakdown Structure