State Archives: Limited Space for a Growing Collection

State Archives: Limited Space for a Growing Collection MAC TAYLOR LEGISLATIVE ANALYST JANUARY 2018 analysis full gutter AN LAO REPORT LEGISLATIVE ANALYST’S OFFICE analysis full gutter AN LAO REPORT Executive Summary State Archives Holds Record of Government. The State Archives—a part of the Secretary of State’s Office—preserves state government records of historical significance. Its large collection includes both physical and digital records. The collection grows annually. Current Facility Will Run Out of Space in the Coming Years. Under current practices, the State Archives will eventually run out of space for storing physical records. In this report, we examine two scenarios for the growth of the State Archives’ collection: a fast-growth and a slow-growth scenario, as summarized in the figure below. We conclude the State Archives’ capacity will be exhausted at some point within the next 15 years. Key Decision Point on Future Course of the Archives. In the coming few years the Legislature’s decisions will determine how the state retains records for decades to come. In setting state policy for the future of the State Archives, the Legislature could: • Increase Physical Capacity. This alternative would keep archival practices similar to the status quo. Increasing physical storage capacity would require the state to begin a planning process within the next few years. Archives Likely to Run Out of Space by Late 2020s Remaining Capacity or Shortfall in Thousands of Cubic Feet Actual Projected 50 40 Remaining Capacity 30 20 Slower Growth 10 Faster Growth -10 -20 -30 Shortfall -40 -50 04-05 06-07 08-09 10-11 12-13 14-15 16-17 18-19 20-21 22-23 24-25 26-27 28-29 30-31 32-33 www.lao.ca.gov 1 analysis full gutter AN LAO REPORT • Increase Digital Capacity. This alternative would require the Legislature to direct the State Archives to rely principally on digital records in the future. The State Archives would, as part of its record management process, direct departments to transmit records with archival value digitally. The digital alternative could limit or delay the need for a new building, but would involve changes in state processes and new information technology systems. Recommend Legislature Decide on Future of Archival Practices. We recommend the Legislature decide over the next few years on its preferred direction for future archival practices: increased physical capacity or increased digital capacity. After deciding which alternative to pursue, we recommend the Legislature direct the administration to produce a report that describes the costs and benefits of options for the selected alternative. We note that the longer the Legislature waits to make a decision on this policy, the more likely it seems the Archives will require additional building space for incoming physical records. 2 LEGISLATIVE ANALYST’S OFFICE analysis full gutter AN LAO REPORT INTRODUCTION California’s first legislative session took place in In this report, we describe the State Archives’ San Jose from December 1849 to April 1850. In current capacity and discuss alternatives to address this session, the Legislature established the State limited space. First, we provide background on the Archives as part of the Secretary of State’s Office under State Archives’ collection and the process for archiving California’s first chaptered law (Chapter 1, Statutes of records. We then provide estimates of the State 1850). Today, the State Archives collects, catalogs, Archives’ available space for archived records, noting preserves, and provides public access to state that if current practices continue, the State Archives government records with historical significance. These is likely to run out of space within the next 15 years. records are collected from the Legislature, the State Last, we outline two possible courses of action that the Supreme Court and Courts of Appeal, the Governor’s Legislature could take to address the future shortfall. Office, and state departments (including boards and We recommend the Legislature determine a course commissions). Through the preservation of these of action and then direct the administration to report records, the State Archives maintains the legal history on the costs and benefits of potential options for the of state government. selected alternative. STATE ARCHIVES COLLECTION All entities of state government—including the types of digital records: records that were originally Legislature, courts, the Governor’s office, departments, created in a digital format and physical records that are boards, and commissions—create records as part “digitized.” of everyday government work. Any product that a 50 Terabytes (TB) of Digital Records. Digital government entity produces is considered a government records are those that were created, stored, and record, although not all records have historical value. transmitted to the State Archives in an electronic Any records with historical value should eventually be format. For example, an e-mail, text file, spreadsheet, or archived—in other words, permanently preserved in the other file created and saved on a computer is a digital collection of the State Archives. This section describes record. The State Archives holds about 50 TB of digital the records included in the State Archives’ collection. records—roughly enough data to fill 68,000 standard CD-ROMs. As state government entities increasingly Physical Records use digital formats to store and communicate Collection Includes Many Physical Records. information, the State Archives has collected more The State Archives has records dating back to the late digital records. 1700s. The collection now has over 122,000 cubic 10 TB of Digitized Records. Physical records— feet of physical records, which would fill about including paper and three-dimensional artifacts—can 35 semi-trucks. Physical records take different forms, be digitized by capturing an image of the record using including: printed documents (such as memos, letters, specialized scanners and cameras. The State Archives’ court documents, minutes from meetings, and inmate collection includes about 10 TB of digitized records. In records), maps (for example, maps of land grants general, the State Archives digitizes physical records established before California joined the United States), to preserve frequently accessed records or to make a photographs, blueprints, and artifacts that have record of broad interest accessible to the public online. historical significance. For example, the State Archives has an online collection of digitized 19th century trademarks registered under Digital and Digitized Records California’s Trademark Registration Act of 1863 (ten Over the last decade, the State Archives has begun years before federal trademark legislation). Once a archiving digital records. The State Archives holds two physical record is digitized, the State Archives generally www.lao.ca.gov 3 analysis full gutter AN LAO REPORT retains the original physical record. In other words, the digitized many records that it sees as marketable digitized record does not take the place of the physical to genealogists. The State Archives also has a document. Digitization requires resources and time, and similar relationship with FamilySearch, a nonprofit so the State Archives has been able to digitize only a genealogy research organization. FamilySearch has small number of select records in its collection. duplicated State Archives records on microfilm. In Public-Private Digitization Partnerships. Many the future, FamilySearch may digitize records and government archives around the world, including make them available online. national archives—for example, the one in the United • The Google Cultural Institute. The Google Kingdom—digitize records in house. In the United Cultural Institute makes select State Archives’ States, however, it is common for government digitized records available online. The State archives—including the National Archives and the State Archives selects and digitizes records— Archives—to rely on public-private partnerships for photographs, posters, documents, and other such efforts, thereby limiting increases in government records—associated with a common theme. costs. Examples of private entities which have Digitized records are posted on a Google website partnerships with the State Archives are: as an online exhibit accompanied with narrative text discussing the record’s place in California history. • Ancestry.com. Many State Archives records— Currently, there are 11 such exhibits covering including prison records and Spanish land grants— topics like California’s Franciscan missions, the are of interest to genealogists. Ancestry.com, a state’s involvement in World War I, and a history of subscription service for family history research, has the California Legislative Black Caucus. STATE ARCHIVES USE State Archives Is Open to the Public. The State Largely Accessed by Government Employees. Archives is open to all members of the public. People Government employees—including those who work can access physical and digital records at the State for state departments, the Legislature, courts, the Archives with the assistance of reference staff. Users federal government, and local government entities— can either visit the State Archives’ collection in person make up the largest share of people that use the State in Sacramento or access records remotely via e-mail, Archives. As Figure 1 shows, more than one-third of fax, or mail. Access to Digital Records. Most of the State Figure 1 Archives’ digital records are not publicly accessible Most Users of State Archives online. As a result, users must adhere to the same Are Government Employees process to access digital records as they do for 2015-16 physical records. That is, they must visit the collection in person or correspond with reference staff remotely. For Profit A small portion of records digitized by public-private Government partnerships are publicly available online, but with certain conditions. Records digitized for Google are only Media available through the Google Cultural Institute website (the State Archives’ website provides a link for access). Genealogist Only people paying for an Ancestry.com subscription can access and search the Ancestry.com records from a personal computer. Members of the public can visit Other the State Archives and view these digitized records on Not for Profit the agency’s computers. 4 LEGISLATIVE ANALYST’S OFFICE analysis full gutter AN LAO REPORT people who used the State Archives in 2015-16 (the Figure 2 most recent year for which data are available) were Most State Archives Users government employees. The second largest share of Request Departmental Records users are for profit entities, which includes research 2015-16 services, copy services, private law firms, and other for profit businesses. The nearby box describes how Legislative Records government employees, or other individuals, might use records at the State Archives. Local Departmental Records Are Most Commonly Government Records Accessed Records. Most of the records at the State Departmental Archives come from state departments. Figure 2 shows Governors' Records Records the most frequently requested records are those from Other state departments—accounting for nearly 70 percent Court Records of the records accessed. Among departments, the California Department of Corrections and Rehabilitation (CDCR) records are the most commonly used, accounting for 16 percent of total departmental records accessed. An example of a type of record that often in the State Archives after CDCR maintains them is requested from CDCR is an inmate case file. These for 25 years. These records often are accessed by files include information about individuals who were genealogists seeking insight into a family’s history. incarcerated by the state and are permanently stored LIFE CYCLE OF A RECORD In this section, we discuss the State Archives’ Criteria for Determining Archival Value of process for determining which records are archived Departmental Records and the process for archiving them. First, we describe the criteria the State Archives uses to determine which Only Records With Archival Value Are departmental records should be archived and which Permanently Preserved. A department’s record— should be destroyed. Then, we describe the process either physical or digital—is only archived if it has by which departmental records are archived. Last, we “archival value.” Archival value means that a record has discuss the process for archiving records from other enough historical significance for state government entities, including the Legislature, courts, and the to be permanently included in the State Archives’ Governor’s Office. collection. The vast majority of records created by How Are Records at the State Archives Used? A state employee might access past records at the State Archives to inform governmental decisions and actions under consideration today. For example, an employee of a state board might refer to records at the State Archives related to a past board action—including minutes from the meeting where a decision was made or related correspondence—to understand the context of an issue being considered by the board today. In addition to government employees, it is common for private law firms and other for profit entities to use the State Archives on behalf of their clients. For example, a law firm might use court or legislative records held by the State Archives to research legal precedents, legislative intent, or the history of a law. www.lao.ca.gov 5 analysis full gutter AN LAO REPORT departments are not considered to have archival value memos, and meeting minutes) is a common example and are destroyed. of a record. In fact, anything a department produces Archival Value Is Determined by Policies is considered a record of government. Records can and Professional Standards. The State Records be formal government documents such as published Appraisal Program Unit (part of the State Archives) reports, signed letters, or contracts, but also can be determines which records have archival value. To less formal documents created in day-to-day work like make this determination, staff rely on internal collection e-mails, phone logs, and staff calendars. management policies and archivist professional Working With Archivists to Determine What standards. In general, records are archived if they: Happens to Records. State Archives’ staff collaborate with departmental representatives to develop “record • Have Research Value. The State Archives keeps retention schedules” for both digital and physical records with current or future research value. For records. A record retention schedule is a policy example, information on bills (such as written document that specifies what will happen to a record testimony and analysis) have research value for after it is created. Specifically, for each type of record, those in the legal profession seeking to interpret the record retention schedule will state: its type, a the law. brief description of it, how many years it will be stored, • Document a Policy Decision. Consistent with where it will be stored, and when it should be destroyed its mission, the State Archives includes in the or if it should be archived. A record retention schedule collection any record that provides insight into can be modified after it is created. Most departments how a policy decision was made. For example, comply with this process, but some do not, particularly board meeting minutes are archived because in the case of digital records. they serve as a record and reference of board What Happens to a Record Depends on Its Type decisions. and a Department’s Needs. As shown in Figure 3, • Have Been Collected in the Past. The State there are four paths a record can take under a record Archives will keep a record if it is typical of retention schedule. For example, Record A is stored the type of records that have been previously temporarily (on site and then at a storage center) and collected. For example, the State Archives has later archived. Departments keep records for logistical historically collected books with CDCR inmate reasons (for example, to inform an audit) or because “mug shot” photos and continues to do so. they believe a record will be useful in their future work. Departments Store Records Temporarily. Most Process for Archiving records are stored temporarily and then destroyed Departmental Records (Records B and C in Figure 3). Before a record is destroyed or archived, it can be temporarily stored by a Below, we describe the process by which department in one of two locations. These are: departmental records are archived. (This process applies to both physical and digital records.) First, • On-Site Facilities. A record can be stored on-site we describe record management decisions made by at a department-controlled facility—typically a departments. Then, we discuss the common storage department’s headquarters or field office—if the options departments use for records before they are department has storage space available. This sent to the State Archives or destroyed. The process provides the easiest access for departments, described below refers to both digital and physical so they typically prefer this alternative when a records unless otherwise noted. record is useful for daily operations or accessed Departments Create Records Every Day. frequently by their personnel. Records typically are Departmental staff create records every day as a stored on-site with the department for a number part of daily work. In any given day, a government of years, but the exact number depends on the employee may send multiple e-mails, draft a memo department’s storage availability and needs. with implications for future decisions, or record a public • State Records Center. Many departments meeting with typed minutes. Each of these (e-mails, rent space for their physical records from the 6 LEGISLATIVE ANALYST’S OFFICE analysis full gutter AN LAO REPORT Department of General Services’ (DGS) State might store general administrative correspondence Record Center. A department typically stores on-site for four years, while the State Treasurer’s records with DGS if—based on perceived or Office might store this type of correspondence on-site actual needs—a record needs to be in the for only one year before it is stored at DGS’ State department’s possession for a specific reason Record Center for four additional years. The length (such as the potential of an audit), but the a department will opt to keep a record also depends department does not intend to reference the on the type of record. For example, a department record on a regular basis. DGS also is in the pilot could hold a travel itinerary for one year and an stage of developing a digitization center where inmate casefile for 25 years. For each record type and departments can rent space for records to be department, the specific temporary storage timing held in digital form. should be specified in the record retention schedule. Some Records Permanently Preserved by State How Long Records Held Varies. Each department Archives. Only a small number of records that are may hold the same kinds of records for different periods temporarily stored are later archived. When a record of time based on how long the record is useful to the retention schedule indicates the record should be department’s operations. This means that the same archived, a department transfers its records to the State type of record might be treated differently by different Archives and the State Records Appraisal Program Unit departments. For example, the Air Resources Board Figure 3 Examples of a Departmental Record’s Life Cyclea RReeccoorrdd AA Minutes from an executive Stored on-site for Stored in State Archived staff meeting two years Records Center for two years RReeccoorrdd BB Copies of budget-related Stored on-site for Stored in State Destroyed correspondence and two years Records Center for working documents two years RReeccoorrdd CC Copies of travel policy and Stored on-site for Destroyed procedure correspondence two years RReeccoorrdd DD Documents from a high-level Archived appointed agency official a Non-exhaustive list of types of records. Record life cycle dependent on department protocol. www.lao.ca.gov 7 analysis full gutter AN LAO REPORT acquires and evaluates the record to confirm its archival about records that have archival value and the types of value. Once archival value is confirmed, the record is records the State Archives is interested in including in archived. In rare cases, as shown with Record D in the collection. In each instance, the State Archives and Figure 3, records are immediately archived, instead of legislative staff develop a process to transfer records— temporarily stored. both digital and physical—to the State Archives. State Archives Occasionally Removes Records State Archives Determines Archival Value of From Collection. On occasion, State Archives’ staff Legislative Records. Once legislative records are reevaluate a record’s archival value. As a result of the received by the State Archives, the State Records evaluation, staff occasionally determine a record no Appraisal Program Unit evaluates each one to longer has archival value. In these cases, the record determine its archival value. There are two broad will be removed from the collection and destroyed. categories of legislative records that the State Archives Although rare, the State Archives’ staff will destroy a considers to have archival value. They are: record in the collection when they decide not to keep a • Legislative Process Records. The bill record of its type anymore. In this scenario, staff would making process produces a variety of records go through their collection and destroy any record that including bill analyses, recordings of committee met a specific criteria. Staff would also stop archiving proceedings (transcripts or audio/video records that met those criteria and adjust record recording), committee agendas, and committee retention schedules as necessary. This process is rare reports. because it can require substantial staff resources. • Personal Records. Legislators and their personal Process for Archiving Other Records staff produce many records, including constituent correspondence, internal memos, and calendars. State laws and policies establish different standards Unlike committee records, these personal records for archiving records created by the Legislature, the are not considered public. Although not required, State Supreme Court, the Courts of Appeal, and the legislators often will gift these records to the State Governor’s Office. The State Archives generally does Archives at the end of their time in the Legislature not collect records from local government entities, but because of the records’ historic value. A legislator the nearby box discusses some exceptions. who gifts these records to the State Archives may Legislature Transfers Its Records to State restrict access to specific records. Archives. A variety of records are created through the legislative process. These records are created by State Archives Receives Governors’ Records. legislators, committees, legislative staff, and members The State Archives holds Governor’s Office records, of the public. State Archives’ staff work directly with including proclamations, executive orders, pardons, legislators and their staff to determine which records press releases, and speeches. As a result of legislation, should be archived. For example, toward the end of a the State Archives has systematically collected these Senator’s or Assembly Member’s term, State Archives’ records since 1991, but also has received donations staff reach out to the legislator’s staff to inform them of pre-1991 records from Governors Earl Warren and State Archives Holds Select Local Government Records The State Archives has some special arrangements with local governments to hold records on their behalf. The State Archives sometimes enters into these arrangements because of the records’ potential research value. For example, the State Archives holds records from 28 counties, either in original or microfilm form. These include court records, deeds, birth records, bonds, voter registrations, and marriage licenses. The State Archives also holds the Los Angeles Police Department’s Robert F. Kennedy assassination investigation records because of their high research value and the city’s limited preservation resources. 8 LEGISLATIVE ANALYST’S OFFICE analysis full gutter AN LAO REPORT Goodwin Knight. The State Archives only receives these actions that establish legal precedent. In recent years, records when a governor leaves office. This means the the State Archives has worked with the courts to State Archives receives a large quantity of records in establish a policy that specifies which types of records those years. the courts should submit to the State Archives and Courts Routinely Transfer Records to State the timing of these submissions. For example, under Archives. The State Archives collects court records this process, the State Archives receives relevant court from the State Supreme Court and Courts of Appeal. documents five years after the date of the last action on In particular, these include case files, minutes, registers the case. In addition, compared to state departments, of actions associated with decisions, and other court the courts also have greater flexibility to use private storage facilities to store records. ARCHIVAL STORAGE PRACTICES In this section, we discuss archival practices used digital files unreadable—for example, WordStar, a word to maintain the records stored in the State Archives’ processing software widely used in the 1980s, is no collection. In particular, maintaining the collection longer maintained by its owners. requires specific conventions to preserve both physical The State Archives has adopted maintenance and and digital records. management practices to store digital records with Conventions for Physical Records. Physical the intention of permanently preserving and accessing records, particularly paper records, naturally deteriorate them. For example, the State Archives saves digital over time as they are exposed to light, heat, and records in a specific format that is meant for archival humidity. The State Archives uses specific measures to purposes (referred to as a “PDF/A” format).This format slow this deterioration process and increase the usable ensures the record can be opened across multiple life of a record. These measures begin with design devices and specific features are saved with the file so features of the facility that houses the records. To this it can open for many years. To store digital records, the end, the State Archives’ building has: (1) climate control State Archives uses: features that allow staff to control temperature and • Internal Storage. The State Archives holds humidity levels, (2) a strong foundation and reinforced up to roughly 45 TB of digital records on the floors to withstand the heavy weight of paper and Secretary of State’s internal server. These files are artifacts, (3) a specialized fire prevention system to maintained in conjunction with all of the broader prevent record damage in the event of a fire emergency, needs of the department. and (4) windowless storage areas to prevent record • External Storage (Preservica). The State exposure to sunlight. In addition to these features of the Archives also subscribes to a “cloud” storage building, staff routinely monitor and regulate a record’s system called Preservica to store digital records. exposure to light, heat, and humidity and store records The system uses redundancy to preserve digital in acid-free boxes. files by saving three copies of each record in the Conventions for Digital Records. Digital records cloud. The system self-checks each record with also require specific preservation conventions to its copies. If there is an issue with one of the increase their usable lives. Digital records may come copies, the program will duplicate a usable copy to the State Archives on physical devices after many and destroy the unusable copy. This process years in storage. Such devices deteriorate over attempts to mitigate against external tampering or time or otherwise become obsolete if not properly technology files becoming obsolete or corrupted. maintained—for example, the data on a floppy disk can The State Archives currently rents 50 TB of become unreadable. The conventions we discuss in storage space from Preservica for $50,000 per this section are related to the preservation of the digital year. file itself. Technological changes to software can render www.lao.ca.gov 9 analysis full gutter AN LAO REPORT ARCHIVAL SPACE In this section, we describe the past, current, and More Than Four-Fifths of Existing Physical projected future storage capacity of the State Archives. Capacity Filled. Currently—with six stories of nine foot tall shelving—the facility has the capacity to hold over History of Archives Facilities 146,000 cubic feet of records in the general storage Records Originally Stored at State Capitol. Before area. The collection currently takes up 83 percent of the 1930s, the State Archives was located in the State this capacity and is growing. Capitol. At various points in the state’s history, the Secretary of State Has Used Existing Funds to Capitol has been located in Monterey, San Jose, Vallejo, Increase Capacity. Beginning in 2008, the Secretary Benicia, San Francisco, and Sacramento. Whenever of State periodically has used existing funds to increase the state capitol moved, the State Archives collection the capacity of the State Archives by replacing static (although much smaller than it is today) moved with it. shelving with mobile shelving. Modifying the shelving, Archives Housed at Current Location Since by installing tracks where the shelves can move closer the 1950s. From the late 1930s until 1956, the State together, allows the State Archives to store more cubic Archives’ collection was located in a warehouse on feet of records using the existing building. As of 2014, R Street in Sacramento. In 1956, the State Archives the Secretary of State has spent roughly $800,000 moved to a building that had previously housed the from existing funds to convert static shelving to mobile State Printing Office at the intersection of 10th Street shelving. These improvements have increased the State and O Street (the location of the current State Archives storage capacity by nearly 20,000 cubic feet. Archives’ building). The original building at this location Future Storage and Facility Capacity was critiqued for its small storage space, lack of environmental controls, and lack of a fire prevention Secretary of State Plans to Expand Storage system. These critiques provided the impetus for Further. The Secretary of State plans to spend an legislative action in the late 1980s to the early 1990s, additional $400,000 to install mobile shelving for the which authorized the construction of a new State remainder of the storage area—increasing total storage Archives and Secretary of State complex on this site. capacity to over 155,000 cubic feet. Once the mobile During construction, the State Archives temporarily shelving installation project is complete, there are moved to Roseville in 1992 and moved into its new no other building modifications available to increase building on O Street in 1995. storage capacity. Current Facility Will Run Out of Space, but Current Storage and Facility Capacity Timing Is Uncertain. Even with expanded storage, Current Facility Designed According to Archival under current practices, the State Archives will Standards. The current facility was designed and eventually run out of space for storing physical records. constructed to improve the State Archives’ ability to Figure 4 compares the Archives’ planned total capacity preserve a growing collection. To this end, the building to its projected remaining capacity. Under the two has a number of features, including humidity control, a scenarios shown in Figure 4 (described below), the strong foundation, a specialized fire prevention system, State Archives likely will run out of space sometime in and windowless storage. The State Archives’ facility the next 7 to 13 years (between 2025 and 2031). Both also has a number of specialized vaults that each scenarios depicted in Figure 4 assume the Secretary hold a specific subset of the collection. These include: of State will spend additional funds to install mobile the high-security vault that holds the state’s founding shelving. documents and other precious records, a media vault, Projecting Facility Capacity Dates. In Figure 4, the and a photographic vault. The State Archives’ general fast growth scenario (in which capacity is exhausted storage area is held at a constant temperature of 65 in 2025) assumes the collection grows by a fixed degrees Fahrenheit and the specialized vaults are held percentage each year. The slow growth scenario (in at colder temperatures for optimal preservation. which capacity is exhausted in 2031) assumes the 10 LEGISLATIVE ANALYST’S OFFICE analysis full gutter AN LAO REPORT collection grows annually by a fixed number of records. Collection Growth Depends on Some Both the percent and the fixed number increases are Unpredictable Factors. There are a number of based on historical averages over the last decade. additional factors that make it difficult to project when An estimate produced by the State Archives, which the State Archives’ physical collection will reach assumes an increase in records of 2.7 percent annually, capacity. These factors include: is the faster growth scenario. This method results in • Implementation of Law Change. The State faster growth because a larger number of records are Archives expects the number of Governor’s Office archived each year. The slow growth scenario, which records archived to be significantly lower in the our office produced, assumes a fixed number of record future. That is because a change in law in 2011 growth. This method results in slower growth because granted the State Archives more authority to it assumes a constant number of records are archived retain only Governor’s Office records it determines every year. Both of these scenarios assume increased to have archival value. The exact number of these numbers of records will be archived in the years when additional records in upcoming years is difficult to a governor is expected to leave office. There are, predict. however, reasons to believe the growth rate of the State • Growth of Digital Records. Some departments Archives’ collection could be even slower than our slow may opt to use and store digital records instead growth scenario as departments increasingly transition of physical records. This factor has influenced toward the use of digital records. Taking these factors recent growth rates of physical records and could into account, we currently think it likely that the State affect future growth as well. If more departments Archives’ capacity will be exhausted at some point opt to have digital record management, the within the next 15 years. Figure 4 Archives Likely to Run Out of Space by Late 2020s Remaining Capacity or Shortfall in Thousands of Cubic Feet Actual Projected 50 40 Remaining Capacity 30 20 Slower Growth Faster Growth 10 -10 -20 -30 Shortfall -40 -50 04-05 06-07 08-09 10-11 12-13 14-15 16-17 18-19 20-21 22-23 24-25 26-27 28-29 30-31 32-33 www.lao.ca.gov 11 analysis full gutter AN LAO REPORT current facility will have slower record growth, lead to increased departmental costs and a greater extending the capacity of the facility. likelihood that records are damaged, lost, or otherwise • Department Compliance. State departments do unavailable to the public. not all perfectly comply with archival practices. Future Needs for Digital Storage Also Expanding. If more departments comply with the State In the coming years the State Archives also will need Archives’ records management policy, the State to acquire a permanent solution for its storage of Archives will likely collect more physical records, digital records. As departments and others entities exhausting the capacity in their facility sooner. within state government increase their technology use, they are likely to store increasing numbers of records Timing Uncertain, No Plan in Place. There is digitally, rather than physically. The State Archives no plan in place to archive new records in the event currently uses 60 TB of storage capacity for its digital that the State Archives facility reaches full capacity. records using internal servers and Preservica, but could As a default, departments and other contributors access more internal storage temporarily if needed. to the State Archives’ collection likely would store Additionally digital storage may require added spending records with archival value internally or externally until or redirection of spending from other Secretary of State the State Archives had additional space. This could activities. ALTERNATIVES TO ADDRESS FUTURE FACILITY NEEDS As discussed earlier, the State Archives’ collection maintain the current record management process for is likely to run out of space sometime within the both physical and digital records. next 15 years. In our view, the Legislature has two Alternative Would Require New State Archives alternatives to address the State Archives’ future Facilities. Based on our discussions with the State storage capacity needs. First, the Legislature could Archives, there appear to be no options to significantly leave unchanged the longstanding policy of relying increase the storage capacity of the existing facility primarily on physical storage of archival records. (beyond modifications already reflected in Figure 4). If Eventually this would require the acquisition or the Legislature chooses to continue the State Archives’ construction of new State Archives facilities. Second, reliance on physical record storage, the collection of the Legislature could opt to significantly expand the physical records will grow, eventually requiring the state State Archives’ digital storage capacity, transitioning to secure a new building to provide additional physical much of the collection over time to a digital format. We storage capacity. discuss the requirements and implications of each of Two Options for Securing a New Building. If the these alternatives in more detail in this section. Legislature chooses this alternative, the state has two main options for securing a new building for the State Alternative to Continue Use of Archives. The Legislature could appropriate funds from Physical Record Storage the General Fund or a future state bond issuance to Under the first alternative, the state would continue either: to rely on physical storage as the primary means for • Construct a New Building. The Legislature preserving archival records. As under current policy, could pursue the construction of a new building departments and other entities would continue to for the State Archives to store physical records transmit these documents to the State Archives in using its typical capital outlay process. Under physical formats. The State Archives would also this option, DGS, in collaboration with the State continue to collect increasing numbers of digital Archives, likely would need to oversee the design records as departments generate more records using of the new building to ensure it has the specific computers and other devices. The State Archives could conditions necessary for archival preservation. Alternatively, the state could pursue a build-to-suit 12 LEGISLATIVE ANALYST’S OFFICE analysis full gutter AN LAO REPORT lease approach where the private sector new building could be located outside of downtown constructs the building to state specifications, (potentially at a lower cost to the state) but somewhere including the conditions necessary for archival in the greater Sacramento region (so that State preservation. Archives’ staff or users could travel frequently between • Modify and Lease an Existing Building. the two locations). However, the site selection and Alternatively, the Legislature could appropriate facility design should take into consideration building funds to lease an existing building that could be features for optimal preservation. Design considerations modified to meet the State Archives’ needs. As could include the building’s natural ability to regulate we discuss in a nearby box, this approach was temperature and humidity, a strong foundation, and the used for the California Department of Parks and ability to regulate incoming light. Recreation (DPR), which leases a facility at the Digital Record Capacity Would Also Require former McClellan Air Force Base northeast of Expansion. The State Archives currently maintains Sacramento to house that department’s archives its digital record collection using a combination of and artifacts. As was the case with DPR’s facility, internal and external storage. As departments continue lease agreements can be arranged to include to increase their use of computer technology for provisions with a purchase option allowing the communication, they will transmit increasing numbers cost of building modifications to be spread over of digital records to the State Archives. Under this time. alternative, while the state would need to build more physical record storage capacity, the growth of digital Characteristics of a New Building. If the records would likely still require an expansion of the Legislature chooses this alternative, the new building State Archives’ digital record storage capacity. would need specific characteristics to add capacity to Cost of Expanding Physical Storage Could Be the current archive facility and to provide preservation Significant. The primary cost of expanding physical and public access. The State Archives probably would storage is related to constructing or modifying a new have to add capacity at a separate location while building, which could include costs related to planning, maintaining its existing facility in Sacramento. The Department of Parks and Recreation (DPR) Facility Similar to the State Archives, DPR preserves artifacts from parks across the state in its Statewide Museum Collection Center (SMCC). Artifacts include Native American baskets, historic wagons, furniture, and clothing. DPR centrally preserves artifacts in the SMCC to (1) support artifact preservation efforts, (2) allow their parks to share exhibit items across the state, and (3) protect artifacts when certain parks are threatened from natural disasters like fires or floods. For example, one state park can temporarily borrow a chair from another park if the chair is located in the SMCC. New Warehouse in 2013. For many years, DPR used a warehouse facility in West Sacramento to store these artifacts. In the early 2000s, the West Sacramento facility began running out of space and lacked environmental controls. DPR began the search for a new location outside of the flood plain, where it could optimally preserve the collection. DPR found a military facility at the former McClellan Air Force Base to house the SMCC. DPR currently has a 30-year lease with the option to purchase the facility. The facility was built for military purposes, and so it required minimal modifications to make its conditions appropriate for preservation. For example, the SMCC building has a strong foundation that can hold heavy artifacts and the walls are thick, which allows for more energy efficient temperature regulation. DPR’s Unique Relationship With the State Archives. DPR has permission from the State Archives to permanently store DPR records with archival value. DPR is the only agency that has this agreement with the State Archives because of the unique capabilities of its own environmentally controlled facility. www.lao.ca.gov 13 analysis full gutter AN LAO REPORT construction, and leasing. This alternative would also This would apply to physical records printed on involve ongoing additional staffing costs to support the standard letter or legal paper rather than more unusual operations of the new building and the costs of storing documents, like maps and blueprints or physical paper in a temperature controlled environment, which documents of notable historic value. increase as the physical storage area expands. Expansion of Digital Record Capacity Necessary. To implement this alternative, both departments and Alternative to the State Archives would need more digital storage Expand Digital Record Storage capacity. If the Legislature chooses this alternative, the state has three main options for securing additional Under a second alternative, the Legislature would digital storage space. Specifically, the Legislature could direct the State Archives to increasingly rely on digital appropriate funds to: records as its primary archival mode. Under the new policy, departments and other entities would transmit • Contract With Digital Storage Vendor. The records to the State Archives in a digital format. For Legislature could authorize funds for the State example, a departmental letter would not be printed, Archives to extend its existing contract with but rather maintained in a digital format and transmitted Preservica, a vendor that specializes in archival to the State Archives through a digital portal. Physical digital storage, and/or other vendors. As records would still be archived, but only under special discussed earlier, such companies use practices circumstances (for example, for artifacts, maps, and that improve the long-term viability of digital blueprints). This policy change could either delay or records. Alternatively, the State Archives could eliminate the need for a new building depending on the contract with a vendor such as Amazon Glacier, level of implementation. Below, we discuss how this which offers low-cost cloud storage services but alternative could be implemented. charges to access records. This option does not Transition Incoming Records to Digital Records. offer specialized archival digital storage, but could Under this alternative, the State Archives would be suitable for records that do not get accessed transition primarily to archiving departmental records frequently. in digital form. Temporarily, while departments • Expand Internal Storage Capacity. The transition to the new system, the State Archives could Secretary of State could expand some of its digitize incoming physical records. For example, if a current internal server capacity. If this option department sent the State Archives a printed memo, were implemented, the system would require State Archives’ staff could scan and digitally store that specific technological modifications so that it memo. Over time, as the State Archives communicated could maintain the records for long-term use. the new policy and departments changed storage These technology solutions would likely require a and transmission practices, departments could contract with a firm to build the system. transmit nearly all of their records digitally through a • Use State Data Storage Services. The California portal and digitization would no longer be necessary. Department of Technology (CDT) maintains This transition might also decrease the time elapsed a state data center that provides a variety of between when a record is created and archived. services to departments. The Office of Technology The State Archives could follow a similar strategy for Service, as the state data center is known, incoming records for other state entities. provides departments with data storage services. Address Existing Inventory. For existing records These services do not adhere to specialized that are currently stored as physical documents in the archival digital storage practices. Under this collection, the State Archives could gradually digitize option, the State Archives would pay CDT for and destroy many of its records. This would free up storage services through rates set by CDT. currently used space for future incoming physical records. Under this alternative, the State Archives could Records Management Process Could Be decide that a select record has archival value, but does Streamlined. Under this alternative, departments may not need to be held in paper form. Archivists would no longer need to store records in storage facilities decide which records would be digitized and destroyed. until records are ready to be archived. Instead, digital 14 LEGISLATIVE ANALYST’S OFFICE analysis full gutter AN LAO REPORT records with archival value could be transmitted includes the scanning of a physical document in through a portal without a time lapse to assure proper addition to cataloging the record and adding key words maintenance of the record. that make a document searchable. Expanding Reliance on Digital Records Could Need for a New Building Could Be Eliminated Involve Significant Costs. This alternative would or Significantly Delayed. Under this alternative, the require additional resources to increase storage Legislature could eliminate or significantly delay the date capacity, provide additional State Archives’ staff to at which the State Archives would run out of space, digitize incoming and existing records, and acquire essentially removing the necessity for a new building specialized equipment (such as scanners and cameras) in the coming decade. This could be accomplished by to allow the staff to complete that digitization. In simultaneously slowing the flow of new physical records the past, the State Archives estimated that, with its and decreasing the collections of existing physical current levels of resources, it would cost approximately records, allowing the current building’s existing capacity $1 per page to digitize a physical record. This estimate to be used for the highest priority physical records. LAO COMMENTS Key Decision Point Trade-Offs to Consider Decisions in Near-Term Will Determine Future As the Legislature determines which course to take Course of State Archives. In the coming few years for the future of the State Archives, there are a few the Legislature’s decisions will determine how the state trade-offs to consider, as discussed below. retains records for decades to come. As discussed Physical Records Could Be More Reliable. An earlier, the Legislature could increase physical capacity, advantage of relying on physical records is that archival keeping archival practices similar to the status quo. standards have been developed over centuries and Increasing physical storage capacity would require are known and reliable. Conversely, digital record the state to begin building plans within the next few technology is newer and less tested. For example, years. Alternatively, the Legislature could increase digital files could become obsolete and unusable digital capacity. This requires the Legislature to change between the time a record is created and the record policies by directing the State Archives to rely on digital is archived. Even if a record is usable, digital records records as the primary archival mode. The digital require maintenance to prevent them from becoming alternative could limit or delay the need for a new obsolete, corrupted, and unusable in the future. For building depending on resources and implementation these reasons, the state’s professional archivists and compliance. some users may have a strong preference to continue Decision in Near Term Is Optimal. The optimal to primarily store physical records. time for the Legislature to decide between these Digital Records Likely More Publicly Accessible. alternatives is in the next few years—well before the Digitizing records is the first step to providing online State Archives’ current facility has reached capacity. public access. If the Legislature provided additional Leaving current policy unchanged is likely to necessitate funding for the acquisition or development of new a new building because transitioning policy to expand technology, the State Archives could expand online digital record storage would be difficult to implement access of digital records. This expansion would allow if the facility has reached or is near full capacity. The users to search for digital records and access them longer the Legislature waits to make a decision on this from a personal computer. As such, anyone, anywhere policy, the more likely it seems the State Archives will in the state could access the collection—rather than require additional building space. physically traveling to Sacramento. www.lao.ca.gov 15 analysis full gutter AN LAO REPORT Either Alternative Will Involve Significant Costs. storage options. For example, the report should Providing a new physical structure for the State address how much it would cost to procure Archives would involve a major commitment of one-time sufficient digital equipment and personnel to resources—at least in the tens of millions of dollars. transition much of the physical collection to (These costs could be spread out over time by using digital formats. The cost estimates should include leasing or bond financing.) The alternative of switching the costs of additional cubic feet or TB where to a mostly digital archival format would also involve relevant. financial commitments to purchase new equipment and • Public Access to Records. The report should implement new processes for accepting, storing, and also mention how the proposed option would cataloguing digital information. (As we have seen from change public access to historically relevant other state information technology projects, these types documents. of projects also carry various risks.) While it is likely If the Legislature Decides to Continue Use of that the state would save money by avoiding the cost Physical Record Storage . . . If the Legislature decides of a building, either alternative will involve new state the State Archives should continue to rely on physical spending. records, we recommend it direct the administration to LAO Recommendations report specifically on options for increasing physical record capacity. The administration’s report should Recommend Legislature Decide on Future of include the perspectives of the Secretary of State and Archival Practices. We recommend the Legislature the State Archives, in collaboration with DGS. The decide within the next few years on its preferred report should include costs and benefits of locations for direction for future archival practices. We have constructing a new building or leasing and modifying suggested two possible alternatives—continued an existing building. In the latter case, the report should physical storage or expanded digital storage options. detail the modifications likely to be needed to meet the After deciding which alternative to pursue, we State Archives’ needs. (For example, the report could recommend the Legislature direct the administration address how typical buildings available in the area to produce a report that states the costs and benefits would have to be modified to install shelving or reinforce of options for the selected alternative. For either foundations, if applicable.) alternative, the administration’s report should address If the Legislature Decides to Expand Digital the following: Storage . . . If the Legislature decides the State • Timing. Any report should provide an estimated Archives should change policy and increasingly time frame over which the proposed option rely on digital records, we recommend it direct the could be implemented and how long the administration to report specifically on options for proposed option is expected to meet the state’s increasing digital record capacity. The report should preservation needs. If the Legislature wishes address the digital storage options (for example, using to increase physical record capacity, the report a contract with an external company or expanding should address how long it would take to acquire internal storage options) and the extent to which a new building or retrofit an existing building. For these options meet the state’s archival needs. The the digital alternative, the report should address administration’s report should include the perspectives how long it would take, with various levels of of the Secretary of State and the State Archives in resources, to transition various quantities of the collaboration with CDT. physical collection. • Cost of Alternatives. The report should include the estimated cost of the physical and digital 16 LEGISLATIVE ANALYST’S OFFICE analysis full gutter AN LAO REPORT www.lao.ca.gov 17 analysis full gutter AN LAO REPORT LAO PUBLICATIONS This report was prepared by Sara Cortez and reviewed by Ann Hollingshead and Nick Schroeder. The Legislative Analyst’s Office (LAO) is a nonpartisan office that provides fiscal and policy information and advice to the Legislature. To request publications call (916) 445-4656. This report and others, as well as an e-mail subscription service, are available on the LAO’s website at www.lao.ca.gov. The LAO is located at 925 L Street, Suite 1000, Sacramento, CA 95814. 18 LEGISLATIVE ANALYST’S OFFICE