1. 1 EHRI Goals and Objectives Eliminate the need for a paper Official Personnel Folder (OPF). Streamline and improve Government-wide workforce reporting and data analysis. Provide the capability for comprehensive knowledge management and workforce analysis, forecasting, and reporting (to further strategic management of human capital) across the Executive Branch. Enable expanded electronic exchange of standardized HR data within and across agencies.

2. 2 EHRI Government-wide Benefits Eliminate the need for paper records Enable electronic transfer of HR data among Federal agencies Timely access to HR data on active and separated Federal employees Currency and availability of Federal HR data Projected $72 million annual savings Government-wide by eliminating the paper folder alone.

3. 3 Agency Benefits Allows for consolidation of disperse paper OPFs from field offices into a single electronic system. Frees HR resources from pulling OPFs to focus on more strategic value added services. Virtually eliminates costs of filing, copying, faxing, and mailing personnel file documents. Provides a safeguard against fire and other damage to paper folders (COOP) Estimated savings of over $42 per employee folder. Access to workforce analysis and forecasting tools.

4. 4 DOT USAID EPA DoJ Anti-Trust NARA CPSC DHS – Phase II DOL OPM USDA – FS FAAW DOE NASA Treasury GSA DOC – Phase II SAHRC - NFC DoD USITC VA BOP US Courts VA Deployment Assessment HHS DHS – Phase I PBGC DOC – O/S DOC - NOAA USDA – ARS LOC DODEA ED ED-FSA USDA – Remainder USDA – OCFO USDA-FS Post Assessment Conversion Production Pre Assessment HUD Agency eOPF Status

5. 5 Change Management Why Change Management Responsible Parties Change Management for eOPF Goals, Objectives and Measures of Success eOPF Change Management Toolkit

6. 6 Change Management for eOPF A plan for implementing the human side of change Development of vision for the agency HR future A schedule of messages occurring in sequence A schedule of events with identified milestones that correspond with key technology process changes: Campaign starts HR Specialist meetings Town Hall meetings Access to “How do I do this?” and “What does this mean to me?”

7. 7 Goals, Objectives and Measures of Success Goals and Objectives Provide information and training to agency leadership, eOPF sponsors and HR personnel Use resources most effectively to reach the broadest audience in the most effective manner Obtain buy-in Clarify misconceptions Identify and remove user roadblocks Direct to additional resources to toolkit Measures of Success Vocal/visible buy in from labor unions Agency acceptance (use) of toolkit # of website hits? Progressive lessening of help desk calls regarding process

8. 8 eOPF Support Materials Development Plan 1.Define Goals and Objectives 2.Define measures of success 3.Collect and organize existing eOPF materials / assets 4.Define and categorize target audience(s) 5.Define the actions desired from each target 6.Develop messages for each target 7.Define materials for training, education and outreach 8.Define communications vehicles & schedule Written Communication Plan with detailed roll-out $___k Date Draft and EditProduce Deploy Develop standardized material templates and design elements Develop outlines for materials Assign key elements to team members for development Write and edit drafts Toolkit Outlines, drafts and edited versions of materials for approval $____k Produce Implementation Support Materials Produce eOPF PM Workshop Materials Produce eOPF Guides and Tutorials Produce Conference Support Materials Produce media support collateral All materials identified in the Plan Phase $____k Support conferences Conduct tutorials Obtain Feedback and measure effectiveness Adjust materials and delivery if needed All materials and deliverables cited in the Plan $______k Plan Date Presentation to key sponsors for sign-off Approval to Produce Standardized practices, presentations, and approaches for repeatable and predictable training, education and outreach Improve messaging and field execution Captured in a Web based toolset accessible by our team and target audiences Date

9. 9 eOPF Change Management Toolkit

10. 10 ActivitiesDeliverables Assess Business Drivers Presentations / Demos Services Selection Memo of Understanding Interagency Agreement Statement of Work Schedule: Complete ActivitiesDeliverables Readiness Assessment Perform eOPF Requirements Gathering Evaluate Data Capture Approach Evaluate Email Interface Evaluate Back-file Load Process Evaluate Agency Unique Requirements Obtain Organizational Information Kick-Off Meeting 11/07/2006 eOPF Assessment Project Plan Briefing on eOPF Deployment Strategy eOPF Requirements Analysis eOPF Implementation Plan Schedule: In Process ActivitiesDeliverables Employee Data Initial Load Load Existing Electronic 50 Data Establish Secure FTP Connection Training Sample Employee Notification Letters Data and Application Hosting Weekly Program Status Meetings Functional Agency eOPF System Based on Requirements Schedule: TBD Application Deployment Assessment Pre- Assessment eOPF Implementation Process

11. 11 ActivitiesDeliverables Box & Ship Log & Track Prep Folder Scan Folder Index QA Return Ship Electronic Documents Converted Based on Requirements Agency Dashboard Conversion Metric Reports Weekly Status Schedule: TBD ActivitiesDeliverables Help Desk Users Group Membership Technology Refresh Configuration Management Security Maintenance Application Monitoring Incident Reporting User Group Meeting Minutes Regular Status SLA Reporting Schedule: TBD Support Conversion eOPF Implementation Process

12. 12 High Level Business Process eOPF for Employees (at work or home) eOPF for HR Staff Personnel Folder Access Personnel Folder Maintenance Business Rules for HR Processes Scanned Forms HR Data Conversion to Forms Legacy HR Systems NFC HR Connect eZHR Others Electronic Information eOPF HR Forms Imported Forms Inputs Outputs NBC Servers

13. 13 Sampling Definitions The following definitions apply in the Assessment process: –Document – The record of an event or action that has occurred for an employee. A document can be either paper-based or electronic. A document can be single or multi-paged. –Page – A piece of paper that is either all or part of a paper-based document. A page can produce one or two electronic images. –Image – The resulting electronic equivalent of one side of a page. The number of images will always be higher than the number of pages. However, due to the removal of blank back-sides and / or instruction pages, the average ratio of images to pages will be less than two to one.

14. 14 eOPF Installation and Initialization Installation: Environment Setup at NBC Configure Servers and SAN Build Oracle Schemas Load e.POWER software suite Load eOPF software Accreditation Initialization: User Account Setup –Folder Creation Process* –Notify Employees via Letters* vs. Email (if email addresses provided for Folder Creation Process) –Pre-load Employee Data –Pre-load Email Addresses via Agency Data Feed* –Verify HR Connect interface for employee data and SF 50 data Go Live Strategy –Pilot (Limited Rollout) –Selected HR Personnel –Administrators –Full Deployment –Employee access * Dependent on agency requirements

15. 15 eOPF Customization Customization: Online Messages to Employees EHRI OPF Logon Page OPF Agency Welcome Page Welcome Letter Mailed with initial instructions Password Letters New employees Reset requests Frequently Asked Questions (FAQs) Baseline file provided Modifiable for agency specifics User Groups and Roles

16. 16 Sample Splash Screen

17. 17 eOPF Initialization & Customization Options Access Controls: Organization Structure –POID –Org Code –Activity Code Supervisor Flag User Roles: Types –User (Review their OPF) –Supervisor (Review Subordinates OPFs) –HR Specialist (Create, Review and Modify OPFs) –Investigator (Review specific OPFs for limited time frame) –Administrator (Perform system admin functions, reset passwords) Update Options –Changes By HR Specialists - Manual (Assumes Privileges) –Changes Via Employee Data Feed* - Automated * Dependent on agency requirements

18. 18 Sample Agency Structure HUD Personnel Office (A) Organization (1) Activity (A) Activity (B) Organization (2) Activity (A) Activity (B) Personnel Office (B) Organization (1) Activity (A) Activity (B) Organization (2) Activity (A) Activity (B)

19. 19 eOPF External Interfaces SF-50 Feeds: HR Connect Interface Pushed to NBC via Connect:Direct ICD XML format eOPF Employee Data Forms SF 50 SF 52 Other Impor t & Scan Backfile Conversio n Are additional interfaces required?

20. 20 eOPF External Interfaces (Con’t) Employee Data File Access to electronic employee data thru HR Connect Table Views or Interface Files Data files are in ICD defined XML format How will it be delivered? What is the Update Cycle? (e.g. Daily, Bi-weekly) Agency Rules for Updating eOPF (Special Processing Rules) –Create eOPF and accounts for new employees? –Notify employees via email? –Automatically change eOPF user roles and access privileges Agency SSN List: Used to validate SSN’s by the conversion vendor as part of inventory process

21. 21 eOPF Backfile Conversion Review Common Issues Agency Packing and Shipping Process Conversion Contractor Process Issue Folders Folder Access During Conversion Load Process

22. 22 Common Issues Purpose: Capture, digitize and index hardcopy OPFs Common Conversion Issues: Document Quality –Bleed-Through –Corners of Pages Torn or Missing –Odd Sizes – brochures, pin-feeds, scraps of paper, etc. Forms –Unknown Form Types –Invalid Form Numbers –Forms Found on Wrong Folder Side Data –Key Values Missing –Incorrect SSN on Form –NOA Missing, Out of Range, or > 2 Shown of Form –Many Others…

23. 23 Backfile Conversion – Physical Process Agency Packing and Shipping Process: Folder Purge* Folder Preparation –Agency reviews content and improves condition of OPFs* –Send SSN List to conversion vendor Conversion contractor provides boxes, box labels, bags and ties Tape is not provided to seal the boxes Packing and Inventory –Agency packs boxes –Agency records SSNs in Web Inventory Tool –Agency prints 2 copies of manifest for each box – one goes in box, one is retained by agency –Agency prints box label –Agency closes / secures box Shipping –Agency ships boxes to conversion vendor * Dependent on agency requirements

24. 24 Backfile Conversion – Physical Process Shipping Process: Shipping (when required) –Agency releases boxes to shipping vendor –Agency monitors shipper tracking system* –Need to factor in international shipping requirements if required Boxes and Pallets Approximately 15 OPFs can be held in one box (rough estimate) A single 4’x4’ pallet can hold 36 boxes Result = 720 OPFs per pallet Pallets CANNOT be stacked Pallets per Truck / Trailer Amount of pallets / truck varies based on the dimensions of the truck or trailer Number of trucks/trailers will be impacted by the total amount of OPFs and your agency’s shipping schedule TruckOPFsTruckOPFsTruckOPFsTruckOPFs 10’2,70017’4,41026’8,28048’17,280 14’3,46524’6,30040’TBD53’19,080

25. 25 Backfile Conversion – Physical Process Conversion Contractor Process: Shipping Receipt / Reconciliation –Scan box labels to confirm receipt –Match SSNs on manifests to contents of boxes Inventory & Segment –OPFs are opened and sides are “batched” –SSN data is dual-keyed to produce segment sheets for OPF batches –Folders are re-boxed Document Preparation and Unitization* –Paper corrections – unfold corners, handle scraps, etc. –Documents are de-unitized – staple removal, etc. –Separator sheets are inserted between documents * Dependent on agency requirements

26. 26 Backfile Conversion – Physical Process Scanning –Pages are scanned (duplex) in their entirety at 300 dpi –Review of image quality, check for misfeeds, etc. –Run de-speckle, de-skew processes –Automated detection / removal of blank pages –Folders are moved to document de-prep Unitization –Automated process defines document breaks* Coding –Performed according to Business Rules and Master Forms List –Record metadata for images: SSN, Form Number, Form Type, NOA Code (1), NOA Code (2), Effective Date Coding QC –Perform statistical sampling of representative data Delivery –Images converted to documents (.PDF) and associated metadata is attached –Post documents and metadata to physical transfer media –Upload data to eOPF Host Server/SAN from transfer media * Dependent on agency requirements

27. 27 Backfile Conversion – Physical Process Document De-Prep –Standard OPM practice is to leave separator sheets in place and rubber band the material back into the folder without reattaching the material to the Accobinder spines  Option: follow agency rules*  Removal of batch cover pages  Removal of separator sheets  Placement back in Accobinders –Validate OPFs against box manifests –Secure boxes for return to agency / storage location (NARA, etc.)* –Record tracking numbers in the system Document Release –Folders are returned to agency / storage location (NARA, etc.)* Reporting –Conversion metrics reports will be available  Total number of OPFs received, scanned, and delivered –Priority request and issue folder reports will also be provided * Dependent on agency requirements

28. 28 Backfile Conversion – Physical Process Issue Folders: Mismatched SSN Documents –Paperwork from Person X in Person Y’s folder –No independent effort is made to identify mismatched SSNs Identifier on Folder Does Not Match Top or Bottom Document –The SSN identifier on the outside of the OPF does not match the first nor last document within the OPF Folders Within Folders –OPFs received with other folders inside, with the same SSN or a different SSN Empty Folders –OPFs received with nothing inside Agency Response to Issue Folders –Recommend having a designated resource available to address issue folders as they come up There is work associated with Issue Folders for the conversion contractor. Any issue folder encountered during conversion will result in an additional charge to the agency.

29. 29 Backfile Conversion – Physical Process Folder Access During Conversion: Short Term Image Access –During conversion, OPF access may be required –Inventory Tool – Available following segment inventory and scanning steps.  Request is sent for access to a specific SSN  Limit on the number of requests which can be made per day (15)  No charge to the agency if within the specified per day limits Emergency Folder Return –Release of OPF to the agency –Interruption in process

30. 30 Backfile Conversion – Physical Process Host Load Process: Data Receipt –Monitor data deliveries from conversion vendor Data Loads –Execute eOPF load processes via eOPF Load Utility –Monitor error logs –Report conversion/indexing issues to OPM Data Availability –Employees Have Immediate Access to Documents* * Dependent on agency requirements

31. 31 eOPF Training Types: End User HR Specialist Administrator Train-the-Trainer Standard Approach ‘Train-the-Trainer’ (TTT) for a pre-defined number of HR Specialists and Administrators Offsite at the Integic Learning Center –Can be done at agency site if desired Number of attendees –HR Specialist TTT Training is a 3 day course  (1 Session, 12 Persons Max.)  Alternative provides 3 one day sessions with 12 persons attending each day for a total or 36 trainees. No TTT activities. –Sys. Admin TTT Training is a 1 day course  (1 Session, 8 Persons Max.)