Electronic Records Management System Proposal for the VA

Introduction

The Department of Veterans Affairs (VA) remains a vital entity in the provision of key services to veterans across the country. The Veteran Benefits Administration (VBA) concerns itself primarily with the administration of U.S. Department of Veterans Affairs programs, particularly the provision of various forms of support to veterans, survivors, and their dependents. The main programs that VBA administers include, but are not limited to, pension and compensation, rehabilitation and employment, loan guaranty, and insurance.

In 2016, the National Archives and Records Administration (2016) released a records management inspection report that was categorical in finding that "the VA Records Management Program lacks several basic records management fundamentals." The relevance of VA records cannot be overstated when it comes to veterans' benefits and government accountability. It is therefore prudent to implement a robust electronic records management system to address these documented deficiencies.

Organizational Fit and Mission Alignment

"The mission of VBA, in partnership with VHA and NCA, is to provide benefits and services to Veterans and their families in a responsive, timely, and compassionate manner in recognition of their service to the nation" (Veteran Affairs, 2012). The importance of accountability, efficiency, and effectiveness in the promotion of veteran wellbeing cannot be overstated, and the keeping of meaningful, proper, and accessible records is fully in line with this mandate.

However, in a 2016 assessment of VA's records management conducted by the National Archives and Records Administration (2016), it was found that "the VA has a large volume of unscheduled records, particularly those residing in electronic information systems." Aziz, Mohammad, Mokhtar, and Ambari (2017) point out that "electronic document and records management system (EDRMS) is designed to enable organizations to manage their documents and records throughout their life cycle" (p. 10733). The authors further observe that an EDRMS ought to be considered critical infrastructure when it comes to protecting valuable information and enabling its efficient utilization at the organizational or agency level. A robust, efficient, and effective records management system would therefore directly advance VBA's core mission.

Implementation Plan

The implementation plan outlined here is rooted in the recognition that deploying a robust electronic records management system is a complex process that must be managed in a deliberate and effective manner. The various stages of the implementation process are described below.

The most critical tasks in implementing an electronic records management system include: implementation committee recruitment; estimation of implementation costs; data migration; testing activities; and evaluation. This constitutes the roadmap that defines the entire implementation plan.

The implementation committee will comprise members drawn from several stakeholder groups: the sponsor stakeholder group; the end-user stakeholder group; the solution development stakeholder group; the implementation stakeholder group; and the evaluation stakeholder group. Key committee roles will include project manager, program office advocates, application analyst, and super users — the last group consisting of early adopters of the ERM system.

Figure 1.0 below highlights the most critical cost elements associated with implementing the ERM system.

Figure 1.0 — ERM Implementation Cost Estimates

Consultancy costs: $7,000
Hardware and software requirements: $40,000
ERM vendor consultancy (for customization): $9,000
Training fees (payable to vendor): $3,000
Cloud ERM costs (storage and backup): $1,500
Total: $60,500

The most important data migration undertakings will include: (a) converting hardcopy records into electronic records; (b) verification of data; (c) creation of an ERM database; (d) transfer of the relevant data to the ERM system; and (e) legacy data verification and testing.

The importance of user training in the implementation process cannot be overstated. Insufficient training is likely to result in unsatisfactory user adoption of the ERM system. Training will be role-based and will be supported by an efficient feedback loop. It will also be essential to ensure that clear communication channels are maintained between users and the vendor throughout the training process.

Several challenges have been identified in relation to ERM implementation.

Implementation Cost. As the cost estimates above indicate, this could be a significant financial undertaking. However, the processes outlined relate to the selection, implementation, and optimization of the system — all of which are critical to overall outcomes. One solution to this challenge is to execute the implementation in multiple phases, spreading costs over several budget periods.

Staff Resistance. Resistance to change is common when new systems and processes are introduced in organizational settings. As Daft and Marcic (2008) observe, "people have trouble developing a vision of what life will look like on the other side of a change" (p. 103). One effective way to minimize resistance is the active involvement of all users in both the formulation and implementation stages.

Privacy of Data. Data privacy is a serious ethical consideration in the adoption of an ERM system. The migration of veteran data and other confidential information to electronic records introduces the risk of data leakage as a result of hacking attempts — a risk that grows as cyber criminals become increasingly sophisticated. To minimize the chances of a data breach, the security of the ERM system must be prioritized. Recommended approaches include data encryption, user education on data security best practices, and the active use of anti-malware protection (Morgan and Boardman, 2012).

The implementation stage requires a full understanding of the complexity of stakeholder involvement and its impact on successful outcomes. Active stakeholder management is therefore essential. The key stakeholder groups are identified below.

Sponsor Stakeholder Group (U.S. Department of Veterans Affairs). The primary interest of this group is ensuring that veterans are able to access their benefits and other services efficiently.

End-User Stakeholder Group (staff in various program offices, specifically records management personnel). This group is interested in improved efficiency in information storage, retrieval, and distribution.

Solution Development Stakeholder Group (a team comprising database administrators and ICT officers). The mandate of this group is to set up an ERM system that serves as the driver of change in the creation, storage, sharing, tracking, and protection of information at VBA.

Implementation Stakeholder Group (VBA management). This group seeks to ensure that staff have effective access to needed information while facilitating the effective management of ERM implementation and operationalization.

Evaluation Stakeholder Group (information systems auditors and quality assurance auditors). This group is focused on minimizing opportunities for unauthorized access, alteration, or modification of electronically stored information.