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Wednesday, October 22, 2008

Records Management Integrated Project Team Kick-Off Session

1:30 pm – 3:00 pm

HHS Auditorium

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  • 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

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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.

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Assistant Secretary for Resources and TechnologyCharlie Johnson

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Larry Gray, Departmental Records OfficerWhat are we doing?

  • 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.

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RM Council (Partnership with IPT)

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

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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.

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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.

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HHS Deputy Chief Information OfficerJohn Teeter

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OMB Chief Enterprise Architect Kshemendra N. Paul

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Embedding Records Management into Agency Business Processes

Laurence Brewer, CRM

Director, Lifecycle Management Division

National Archives and Records Administration

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Adapting to the current business environment requires IT & RM collaboration to ensure:A systematic approach to managing recordsCoordinated records, information, and knowledge management strategiesTechnology is utilized effectivelyRM requirements are addressed early in the life cycle

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Agency records management procedures do not integrate people, policies, processes and technology well Agency enterprise architectures (EA) do not systemically address records management requirementsAgency 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

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NARA Bulletin 2006-03 Availability of Federal Enterprise Architecture (FEA) RM Profile, released December 23, 2005 framework for embedding records management into IT governance and development processes A resource to guide integrating records management seamlessly into agency business processes

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Establish a common Government-wide framework for identifying records management requirementsIdentify records management issues and requirements and link them to their implementing technologies and business processesBuild records management requirements into agency IT governance processes for enterprise architecture (e.g., CPIC, BPD, SDLC)

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Continue to socialize and implement RM ProfilePlanning Webinar in early 2009 Leverage related tools and technologies (e.g., Toolkit for Electronic Records, Records Management Services)

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Laurence Brewer, CRMDirector, Lifecycle Management DivisionNational Archives and Records [email protected](301) 837-1539

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

Mary ForbesHHS Lead Enterprise Architect

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Architecture is the Plan for Realizing Your Vision Quarterly Goals and Objectives


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Records Management EA Approach Quarterly Goals and Objectives

  • 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)


RM Transition Plan

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EA Quarterly Objectives and Goals: Quarterly Goals and ObjectivesFirst 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


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EA Quarterly Objectives and Goals: Quarterly Goals and ObjectivesSecond 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


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EA Quarterly Objectives and Goals: Quarterly Goals and ObjectivesThird 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


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EA Quarterly Objectives and Goals: Quarterly Goals and ObjectivesFourth 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


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RM EA Approach – Quarterly Goals and ObjectivesDevelopment 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)

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



EA Team





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The “So What?” Quarterly Goals and Objectives

  • 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

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

  • Send me your questions, comments, suggestions regarding IPT at [email protected];

  • 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.

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Terry Nicolosi Director, Office of Resources Management, Office of the CIODepartment of Health and Human [email protected](202) 690-6162

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Name:___________________________________Email:____________________________________Comments, Questions, Suggestions:_____________________________________________________________________________________________________________________________________________________________________________