1. October 22, 20081 Wednesday, October 22, 2008 Records Management Integrated Project Team Kick-Off Session 1:30 pm – 3:00 pm HHS Auditorium

2. October 22, 20082 Agenda Agenda Overview: Vision, Goals and Objectives Terry Nicolosi, Director, OCIO Office of Resources Mgmt Welcome and Acknowledgements Charlie Johnson, Assistant Secretary for Resources and Technology Records Management Program Status and Future Co-Leads: Integrated Project Team (IPT) Larry Gray, HHS Departmental Records Officer Vickie Robey, CMS Records Officer OMB Chief Architect on Enterprise Architecture and Records Management Introduction by HHS Deputy CIO John Teeter Kshemendra N. Paul, OMB Chief Architect Embedding Records Management into Agency Business Processes Laurence 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

3. 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

4. 4October 22, 2008 Assistant Secretary for Resources and Technology Charlie Johnson Welcome and Acknowledgements

5. 5October 22, 2008 Larry Gray, Departmental Records Officer What 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.

6. 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

7. 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.

8. 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.

9. 9October 22, 2008 HHS Deputy Chief Information Officer John Teeter Introduction of OMB Chief Architect

10. 10October 22, 2008 OMB Chief Enterprise Architect Kshemendra N. Paul Enterprise Architecture and Records Management

11. 11October 22, 2008 Embedding Records Management into Agency Business Processes Laurence Brewer, CRM Director, Lifecycle Management Division National Archives and Records Administration

12. 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

13. 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

14. 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 http://www.archives.gov/records-mgmt/bulletins/2006/2006-03.html Strategies

15. 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

16. 16October 22, 2008 Conceptual view

17. 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

18. 18October 22, 2008 Laurence Brewer, CRM Director, Lifecycle Management Division National Archives and Records Administration laurence.brewer@nara.gov (301) 837-1539 Contact information

19. 19October 22, 2008 Records Management (RM) Enterprise Architecture (EA) Quarterly Goals and Objectives Mary Forbes HHS Lead Enterprise Architect

20. October 22, 200820 Architecture is the Plan for Realizing Your Vision Gaps

21. October 22, 200821 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) FEA Records Management Profile NARA Toolkits Provides RM Transition Plan

22. October 22, 200822 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

23. October 22, 200823 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 Validate And Finalize Develop Gap Analysis Document Conduct Stakeholder Interviews IPT

24. October 22, 200824 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 Validate And Finalize Develop Target RM Business Process Models Incorporate Gap Analysis Findings IPT

25. October 22, 200825 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 Validate And Finalize Develop RM Segment Transition Plan Incorporate Baseline and Target Artifacts IPT

26. October 22, 200826 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)

27. October 22, 200827 EA Quarterly Objectives and Goals: Fourth Quarter (ending September 2009) EA Team IPT OBJECTIVE RM TRANSITION PLAN Management Supports

28. October 22, 200828 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

29. 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; 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.

30. 30October 22, 2008 Terry Nicolosi Director, Office of Resources Management, Office of the CIO Department of Health and Human Services Terry.Nicolosi@hhs.gov (202) 690-6162 Contact Information

31. 31October 22, 2008 Name:___________________________________ Email:____________________________________ Comments, Questions, Suggestions:_________________ ____________________________________________________ ____________________________________________________ ____________________________________________________ Comments, Questions, Suggestions