October 22, 2008 1

Wednesday, October 22, 2008

Records Management Integrated Project Team

Kick-Off Session1:30 pm – 3:00 pm

HHS Auditorium

October 22, 2008 2

Agenda

• Agenda Overview: Vision, Goals and Objectives Terry Nicolosi, Director, OCIO Office of Resources Mgmt

• Welcome and AcknowledgementsCharlie Johnson, Assistant Secretary for Resources and Technology

• Records Management Program Status and FutureCo-Leads: Integrated Project Team (IPT)Larry Gray, HHS Departmental Records OfficerVickie Robey, CMS Records Officer

• OMB Chief Architect on Enterprise Architecture and Records ManagementIntroduction by HHS Deputy CIO John TeeterKshemendra N. Paul, OMB Chief Architect

• Embedding Records Management into Agency Business ProcessesLaurence Brewer, CRM; NARA Director of Lifecycle Management

• Records Management (RM) Enterprise Architecture (EA) Quarterly Goals and Objectives

Mary Forbes, Lead Enterprise Architect• Next Steps

Terry Nicolosi, Director of ORM

3October 22, 2008

Vision: HHS will facilitate the quality, coordination and effectiveness of building a Department-wide electronic records management system;

Goals: Define and implement simplified standard processes and standard data definitions for records management; protect the confidentiality and integrity of HHS records while providing appropriate access and availability of these records; Standardize and improve the efficiency of the collection of HHS records, reduce the financial burden storage of HHS resources across the department.

Objectives: Meet the NARA Bulletin 2006-02 (government-wide deadline of September 30, 2009) for agencies to identify and schedule all existing records;Meet the EA RM IPT Quarterly milestones for FY 2009.

Vision, Goals and Objectives

4October 22, 2008

Assistant Secretary for Resources and Technology

Charlie Johnson

Welcome and Acknowledgements

5October 22, 2008

Larry Gray, Departmental Records OfficerWhat are we doing?

Current and Future of HHS RM Program

• The Department RM Program has taken the lead to standardize Record Keeping Policies, Practices, and Guidelines across the organization.

• Created the HHS Records Management Council.• Revised RM Policies.• Documenting the Functions being performed.• Department Wide-Inventory conducted.• Cross walk mission statements and organization charts to a Records

Schedule.

6October 22, 2008

RM Council (Partnership with IPT)

Current and Future of HHS RM Program

RM Charter requires members to establish continuous program improvement by ensuring that RM issues are addressed in:

•Strategic Planning

•Business Process Design

•Capital Planning and Investment Control

•Solutions Development Lifecycle

•Enterprise Architecture

•Information Security

•E-Government

7October 22, 2008

Current and Future of HHS RM Program

Records Officers as the subject matter experts in Records Management play an integral role in the successful transformation to a successful department wide records management program.

The Partnership will allow the RM community to push forward with not only the normal end of year requirements but also meet the additional requirements for an Administration change.

8October 22, 2008

Current and Future of HHS RM Program

Vickie Robey, CMS Records Officer

• Working with IT and EA to identify RM processes.

• Pioneered Electronic Filing of E-mail

• Developing E-Recordkeeping Business Process Management (BPM)

• Completed records management piece for a FOIA and Correspondence BPM

• Submitted to NARA our electronic systems inventory.

9October 22, 2008

HHS Deputy Chief Information

OfficerJohn Teeter

Introduction of OMB Chief Architect

10October 22, 2008

OMB Chief Enterprise Architect

Kshemendra N. Paul

Enterprise Architecture and Records Management

11October 22, 2008

Embedding Records Management into Agency Business Processes

Laurence Brewer, CRM

Director, Lifecycle Management Division

National Archives and Records Administration

12October 22, 2008

Adapting to the current business environment requires IT & RM collaboration to ensure:

A systematic approach to managing records

Coordinated records, information, and knowledge management strategies

Technology is utilized effectively

RM requirements are addressed early in the life cycle

Goals

13October 22, 2008

Agency records management procedures do not integrate people, policies, processes and technology well

Agency enterprise architectures (EA) do not systemically address records management requirements

Agency planning and execution of IT investments often overlooks the value of records management (RM)

Systems are often funded, designed and implemented without adequate thought about how those records will be managed over their entire lifecycle

Challenges

14October 22, 2008

NARA Bulletin 2006-03 Availability of Federal Enterprise Architecture (FEA) RM Profile, released December 23, 2005 http://www.archives.gov/records-mgmt/bulletins/2006/2006-03.html

A framework for embedding records management into IT governance and development processes

A resource to guide integrating records management seamlessly into agency business processes

Strategies

15October 22, 2008

Establish a common Government-wide framework for identifying records management requirements

Identify records management issues and requirements and link them to their implementing technologies and business processes

Build records management requirements into agency IT governance processes for enterprise architecture (e.g., CPIC, BPD, SDLC)

Strategies

16October 22, 2008

Conceptual view

17October 22, 2008

Continue to socialize and implement RM Profile

Planning Webinar in early 2009

Leverage related tools and technologies (e.g., Toolkit for Electronic Records, Records Management Services)

Next Steps

18October 22, 2008

Laurence Brewer, CRMDirector, Lifecycle Management DivisionNational Archives and Records Administrationlaurence.brewer@nara.gov(301) 837-1539

Contact information

19October 22, 2008

Records Management (RM) Enterprise Architecture (EA)

Quarterly Goals and Objectives

Mary ForbesHHS Lead Enterprise Architect

October 22, 2008 20

Architecture is the Plan for Realizing Your Vision

Gaps

October 22, 2008 21

Records Management EA Approach

• Leverage work of NARA and other federal partners

• Use structured methodology for collection and analysis of segment-related information

– HHS Architecture Development Methodology (ADM)

– Federal Segment Architecture Methodology (FSAM)

ADM &

FSAM Methodology

Data Collection Templates

Tools Guidelines

FEA Records

Management Profile

NARA Toolkits

Provides

RM Transition Plan

October 22, 2008 22

EA Quarterly Objectives and Goals:First Quarter (ending December 2008)

• Identify and Document Current Records Management Business Process Activities

– Review Existing Records Management Business Process Models

– Conduct Stakeholder Interviews

– Develop Current RM Business Process Models Applicable to HHS and all OPDIVs

– Validate Findings with Integrated Program Team

Validate and

Finalize

Develop Draft Models

Conduct Stakeholder Interviews

IPT

October 22, 2008 23

EA Quarterly Objectives and Goals:Second Quarter (ending March 2009)

• Develop Gap Analysis

– Review Existing Documentation including

• RM Self Assessment Survey Results

• NARA CRF 36

– Conduct Interviews with OPDIVs to identify Target State of RM

– Develop Gap Analysis Document

– Review and Validate Findings with IPT

ValidateAnd

Finalize

Develop Gap Analysis Document

Conduct Stakeholder Interviews

IPT

October 22, 2008 24

EA Quarterly Objectives and Goals:Third Quarter (ending June 2009)

• Develop Target RM Business Process Activities

– Incorporate Gap Analysis Findings into Target RM Business Process Models

– Develop Target RM Business Process Models

– Validate Findings with IPT

ValidateAnd

Finalize

Develop Target RMBusiness Process

Models

Incorporate Gap Analysis Findings

IPT

October 22, 2008 25

EA Quarterly Objectives and Goals:Fourth Quarter (ending September 2009)

• Create RM Segment Transition Plan

– Incorporate Baseline and Target Artifacts Created From ADM and FSAM

– Develop RM Segment Transition Plan

– Review and Finalize with IPT

ValidateAnd

Finalize

Develop RM Segment Transition Plan

Incorporate Baseline and Target Artifacts

IPT

October 22, 2008 26

RM EA Approach – Development of the Transition Plan

• The RM Segment Transition Plan will:

– Provide HHS an Overview of the Key Elements

Necessary to Successfully Transition from the

Current State of the Segment to the Desired

State

– Identify Cost Saving, Efficient, and Timely

Strategies for Transitioning the Segment

– Minimize the Impact on Personnel, Current

Operations, and Operating Divisions (OPDIVs)

October 22, 2008 27

EA Quarterly Objectives and Goals:Fourth Quarter (ending September 2009)

EA Team

IPT

OB

JEC

TIV

E

RM TRANSITION PLAN

Management

SupportsSupports

October 22, 2008 28

The “So What?”

• The way we work has changed. • The way we manage the records of that work has not kept

pace.• Systems are often funded, designed and implemented

without adequate thought for the records they create and how those records will be managed across time.

• Critical electronic records can be:– buried with marginally important information– difficult, time consuming and expensive to find or worse—– deleted, destroyed or overwritten before their time– stored in obsolete formats and no longer accessible

• Business processes with poorly managed records are often more costly, more risky, harder to defend and slower.

• Enterprise Architecture and The Records Management Profile are key to catching up and keeping pace.

L. Reynolds Cahoon, 2006

29October 22, 2008

Next Steps

•Sign up for being a member of the Integrated Project Team at our registration table;

•Send me your questions, comments, suggestions regarding IPT at terry.nicolosi@hhs.gov;

•First IPT member working session to be held the week of January 26, 2009 to review and finalize first quarter milestone;

•All presentations and information will be posted on our OCIO Records Management internet site;

Thank you all for being with us today and thanks to our speakers. We look forward to working with all of you on Records Management.

30October 22, 2008

Terry Nicolosi Director, Office of Resources Management, Office of the CIODepartment of Health and Human ServicesTerry.Nicolosi@hhs.gov(202) 690-6162

Contact Information

31October 22, 2008

Name:___________________________________

Email:____________________________________

Comments, Questions, Suggestions:_____________________________________________________________________________________________________________________________________________________________________________

Comments, Questions, Suggestions