Quarterly Report - Records Management ARPA SLFRF, Virginia Department of Health (December 2021)
Summary
The Records Management ARPA SLFRF Quarterly Report for December 2021, dated 12/29/2021, from the Virginia Department of Health (VDH) on its American Rescue Plan Act (ARPA) State and Local Fiscal Recovery Fund initiative. The executive summary says existing paper-based processes make it challenging to respond to requests for data, and that VDH is converting from a paper-centric records management process to a digitized and automated system. The project budget states a Total Budget of $30,000,000, with groups that include LHD Districts, the Office of Drinking Water and the Office of Vital Records, and a total of $632,949 in current obligations through December 31, 2021.
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“Quarterly Report - Records Management ARPA SLFRF, Virginia Department of Health (December 2021).”
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RECORDS MANAGEMENT
American Rescue Plan Act (ARPA) State and Local Fiscal Recovery Fund (SLFRF)
12/29/2021
Records Management
ARPA SLFRF Quarterly Report
December 2021
Page 2 of 8
Table of Contents
Report Mandate 3
Context for ARPA Initiatives 3
Executive Summary 3
Objectives 4
Overview of Quarterly Progress (Oct – Dec 2021) 4
Comments on Alignment to plan submitted in September 2021 5
Anticipated Next Quarter Activities (Jan – March 2022) 5
Risks and Risk Management 6
Risks 6
Change Management Considerations 7
Project Budget 8
Records Management
ARPA SLFRF Quarterly Report
December 2021
Page 3 of 8
Report Mandate
Chapter 1 Enactment Clause 1, paragraph B.2.P.9., of the amended 2021 Acts of Assembly states, “The
department shall communicate a detailed plan and implementation schedule to the Governor, the Chairs
of the House Appropriations and Senate Finance and Appropriations Committees, and the Director of the
Department of Planning and Budget by September 30, 2021. Additionally, the department shall report
quarterly to the Governor, the Chairs of the House Appropriations and Senate Finance and Appropriations
Committees, and the Director of the Department of Planning and Budget on progress made, with the first
progress report to be delivered not later than December 31, 2021.”
Context for ARPA Initiatives
The Virginia Department of Health (VDH) is excited about the opportunity presented by the appropriation
of ARPA State Fiscal Funds in the August 2021 Special Session II of the General Assembly to improve public
health in Virginia. VDH views this investment as a once in a generation opportunity and VDH will work
tirelessly to maximize use of funds to create and sustain these initiatives. Simultaneously, VDH is fully
engaged in responding to COVID-19 and protecting the health of Virginians. Currently, VDH is creating
project plans to minimize the impacts of the public health emergency on local health departments in the
first year and will be flexible in the implementation of these initiatives as dictated by the emergency
response. Modifications to VDH’s plans will be reflected in future quarterly reports.
Executive Summary
The existing paper-based processes make it challenging for the Virginia Department of Health (VDH) react
and respond to requests for data and information, and the appetite for data analytics has significantly
increased over the last eighteen months due largely to the ongoing pandemic. These inefficiencies result
in time consuming manual searches for records and result in processing delays. Moreover, compliance
with storage and records management policy requirements has created significant and growing physical
storage demands, which require budget and manpower resources and consumes valuable space which is
neither efficient nor cost effective.
A holistic and comprehensive refresh of the Virginia Department of Health (VDH) electronic health record,
administrative systems is vital to the transformation of records management processes. As such, VDH is
actively engaged in converting from a paper-centric records management process to a digitized and
automated system that when fully implemented, will make information and records across all offices more
accessible and interoperable.
Digitizing and automating outdated paper-based processes will enable employees to work more
effectively and efficiently, and better serve Virginians. Since records are currently only maintained in
paper form, there is no contingency plan should the records be lost or damaged by fire, flood, or other
natural disaster.
Records Management
ARPA SLFRF Quarterly Report
December 2021
Page 4 of 8
During Q2FY22, VDH conducted research on digitization vendors and cloud storage platforms, conducted
reviews with three priority offices for digitization (Office of Drinking Water (ODW), Office of Vital Records
(OVR), Office of Licensure and Certification (OLC)), to learn about ongoing and past digitization and cloud
storage efforts, completed an office record inventory assessment, and begun developing office-specific
digitization strategies. VDH expects this work to continue into the next quarter, and anticipates
implementation of office digitization strategies and procuring a digitization vendor/storage solution in the
fourth quarter and into the next fiscal year. The results of these interviews will be used to develop
requirements for these future procurements. These accomplishments in the first few months have set the
Records Management Initiative on the path to successfully digitize VDH’s paper records within the ARPA
SLFRF funding window.
Objectives
VDH aims to digitize existing paper records, destroy unnecessary paper records, and automate existing
paper-based record keeping processes to:
• Allow for easier and more efficient access to data across the organization and to customers
• Allow for integration and interoperability of data across central offices and local health districts
(LHD)
• Eliminate the time and effort associated with manually recording, filing, and retrieving data
• Free physical space in VDH sites by digitizing or destroying paper records and removing the file
storage containers
Overview of Quarterly Progress (Oct – Dec 2021)
Since developing an initial workplan that was submitted in September 2021, VDH has conducted
numerous activities that have advanced the Records Management Initiative and positioned VDH to begin
the digitization of the previously identified priority offices in the coming months. The key activities that
have been accomplished to date are summarized below:
Office Engagement
• Conducted initial scoping interviews for Office of Drinking Water (ODW), Office of Vital Records
(OVR), and Office of Licensure and Certification (OLC) to determine the scope of needs that best
suit each respective office when it comes to digitization and digital storage platforms. These
interviews informed the current state of physical records and the logistics of procuring a
digitization vendor while also aligning to a digital storage platform based on office workflow and
collaboration requirements.
• Provided each respective office with a records assessment guide for the purpose of capturing the
current state of their office records.
Records Management
ARPA SLFRF Quarterly Report
December 2021
Page 5 of 8
o The assessment guide was developed to gather the information necessary to complete
three major goals of FY22 Phase 1 from the September workplan: identify and procure a
contractor to digitize, identify and implement a digital storage system, and initiate and
complete the digitization process for the three priority offices (OVR, OLC, ODW)
o The assessment identified fields for Office Documents, Record Types, and Record Series
which are aligned with the Library of Virginia Record Retention Schedule. Access/security
requirements also helps align potential platforms with state retention requirements and
security considerations.
• Conducted working sessions with the three priority offices to complete the records assessment
guide and build requirements for future file storage systems
• Initiated development of office-specific digitization strategies outlining the path to digitization
vendor procurement, cloud storage platform implementation, and change management
communications, while mitigating disruptions to office staff
External Engagements
• Interviewed Library of Virginia subject matter experts to understand retention policy
requirements, digitization best practices, and Library of Virginia capabilities
• Assessed cybersecurity considerations with VDH’s Chief Information Security Officer
regarding digitization vendors and storage platforms to ensure that vendors meet
cybersecurity requirements
• Captured leading practices and lessons learned from VDOT and VDH LHD staff members who
have undergone past records digitization projects
• Collaborated with Virginia Correctional Enterprises (VCE) Records Digitization staff to evaluate
VCE’s records scanning offerings and the standard processes
Comments on Alignment to plan submitted in September 2021
The procurement of digitization vendors, physical state assessments, and alignment with digital storage
platforms is currently ongoing and on track for FY22.
Anticipated Next Quarter Activities (Jan – March 2022)
The following outlines the activities and tasks planned from January through March 2022:
• Finalize digitization strategy development by engaging with offices to identify the priority order
and approach to digitizing the documents to mitigate disruptions to daily business
o Identify and suggest a digitization vendor based on each office’s record considerations
Records Management
ARPA SLFRF Quarterly Report
December 2021
Page 6 of 8
o Identify and suggest a digital storage platform based on each office’s record
considerations
• Select a digitization vendor
• Select digital storage platforms consistent with VITA requirements and appropriate to the
document sensitivity in each program
• Begin scanning/destruction/digital workflow implementation
• Develop and begin a change management plan
o The change management plan will include communications, trainings, etc.
• Identify next priority offices for digitization efforts and begin the engagement effort with them
Risks and Risk Management
Risks
• Risk 1: Availability of a solution that can scale to the volume needed by each office over three
years
o Mitigation Strategy: Evaluate vendors on the capacity to meet VDH needs and
timeframes. The Records Assessment inform the specific needs of each office records.
• Risk 2: Ability to develop a system infrastructure to effectively store documents prior to the
procurement of a vendor and the initiation of digitization
o Mitigation Strategy: Proactively coordinate with VITA and learn best practices from other
agencies who have undergone similar projects. The Records Assessment completed by
each office will inform the digital storage platform recommended for each office in
conjunction with the research and insight gathered from other VDH offices and VITA.
These actions will mitigate the risk of an inefficient system infrastructure by building
requirements into the digitization strategy for each office.
• Risk 3: Ability to coordinate with local offices in assessing their records’ current state during the
digitization process
o Mitigation Strategy: The Records Assessment to be completed by each office was created
in a way that can be conducted hands-on or hands-off, enabling VDH to maximize
information gathering from offices and LHDs that are less responsive. Additional concerns
about responsiveness will be escalated within VDH as needed, and timelines for each
office can shift based on their ability to begin the process at a given time.
• Risk 4: Ability to digitize records without hindering VDH’s ability to conduct business while still
allowing for access to vital records
Records Management
ARPA SLFRF Quarterly Report
December 2021
Page 7 of 8
o Mitigation Strategy: By coordinating actively with each office about their specific
business needs and time constraints, a digitization strategy tailored to each office or LHD
will factor in the required access to files and note any specific needs based on the file
type. By constructing this plan in collaboration with each office, the potential for file
access limitations while the digitization is underway should be mitigated.
• Risk 5: Ability for VDH staff to adjust to a new records management system and process
o Mitigation Strategy: Each office will have a specific digitization strategy tailored to their
office needs and each plan will incorporate anticipated training, education, and
communication materials to ease transition into new business processes and digital
platforms. Each office will have specific needs identified and communications deliverables
outlined to address those needs to onboard staff into the new way of working with digital
files.
Change Management Considerations
VDH understands that transformation initiatives are successful not only with the right technology,
processes, and resources, but also with people who are properly equipped for the changes. Successfully
navigating transformation in a highly complex environment requires effective management of business
process changes, communications, and stakeholder management to create buy-in at early stages.
VDH has identified that digitization activities that may impact VDH employees’ day-to-day activities in
each priority office. As each office is digitized, VDH plans to develop and implement change management
and communications strategies that include communication of goals, preparation and alignment of the
changes, and confidence-building exercises promoting the benefits of the changes.
The change activities will also accommodate the needs of offices to retain access to files while they are in
the process of being digitized and stored offsite. All communications will be structured to mitigate impacts
to state and office activities.
Records Management
ARPA SLFRF Quarterly Report
December 2021
Page 8 of 8
Project Budget
The following budget is broken down by the project categories defined in the work plans submitted on
9/30/2021. Please refer to this documentation for further clarification.
Total Budget: $30,000,000
Cumulative Expenditures, Obligations, and Budget, through December 31, 2021
Project Group Current Current Projected FY22 Total Budget
Expenditures Obligations Budget
LHD Districts $0 $0 $0 $11,525,000
Other Central VDH Offices $0 $0 $0 $6,075,000
Office of Drinking Water $0 $210,983 $3,150,000 $3,450,000
Office of Licensure and $0 $210,983 $3,150,000 $3,450,000
Certification
Office of Vital Records $0 $210,983 $3,150,000 $3,450,000
Overall Records Management $0 $0 $550,000 $2,050,000
Total $0 $632,949 $10,000,000 $30,000,000
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