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Managing records for the State of California
The State Records Program has two main program elements: (1) the California Records and Information Management (CalRIM) program and (2) the State Records Center (SRC).
- CalRIM establishes guidelines for state agencies to manage their records programs, including the management of electronic records and using technology such as imaging. CalRIM provides training, Master Service Agreements to streamline the contracting process for records and imaging technologies and consultation, and other services to help customers establish and maintain effective records programs. CalRIM also reviews and maintains all State agency Records Retention Schedules.
- The SRC offers low cost storage of vital records and semi-active and inactive records, and includes the Document Destruction Center that provides destruction of confidential records, including plastic items. The SRC also maintains a vault for storage of vital records on microfilm and other media.
- For more details, please select from the links, below.
Table of Contents:
MISSION
To assist state agencies in solving their records management issues, enhancing program awareness and services, and streamlining their business process through development of successful and appropriate information technology and records management projects.
VISION
Empower government optimization of various record media facilitating a record solution that balances needs and resources. Strive to develop the full potential of staff to meet the expectations of our customers through quality, timely, effective, and efficient services for information and records management. Lead the way for other States and local government to improve the status quo.
CALIFORNIA RECORDS AND INFORMATION MANAGEMENT PROGRAM (CalRIM)
PROGRAM INFORMATION
What is a "Record"?
Records are simply information that we preserve and manage and they aren't just paper "documents". They exist independent of form. Not all information generated by state agencies are significant "records" and need to be managed. The records of California State government are an important resource for citizens as well as public officials. State records may provide proof of a particular action, contain evidence to protect the rights of individuals or the government, and provide decision support, which is valuable to the progress of state business. Whatever the content, records created and received in the course of government are significant to Californians. The task is to know what information is important to an agency's mission; what affects its customers and taxpayers; what laws, regulations or good business practices require that records be retained? We publish a procedure for state agencies that includes Record Retention Guidelines to make it simple and consistent for agencies to manage common records.
Technology has an increasing role to play. Various automated systems store information. More and more, documents are converted from paper to microform, optical disks, video disks, compact disk-read only memory (CD-ROM); and electronic files. Even a "paperless office" has records that need to be managed. We offer consulting services to help guide agencies to technology solutions that meet their needs and we have established Master Service Agreements to make contracting for technology and consulting support easy. We can also refer agencies to California Multiple Award Schedule (CMAS) contracts and small business suppliers for imaging and other document management technology solutions.
One of the hot topics currently in the profession is how to manage email. The first thing to understand is that not all email is a "record" and needs to be managed. Some are. Our program offers guidelines for management of electronic records. See our Electronic Records Management Handbook
What is Records Management?
Records Management is the professional management of information in the physical form of records from the time records are received or created through their processing, distribution, and use to placement in a storage and retrieval system until either eventual elimination or identification for permanent archival retention.
Records play a vital role in managing and operating California state government. They serve as the memory of the organization, a record of past events, and the basis for future actions. Records managed systematically are complete, easily accessible, and properly arranged to serve current and future management needs, enhance program effectiveness and economy of operations. The job of records managers is to identify what records they have from their creation, how they are or should be maintained through their life and how they are maintained or destroyed at the end of that life. For instance, records managers identify and retain records with archival or historical significance.
Effectively managing the accumulation of state records requires a system of procedures, standards, and facilitative controls. Without proper management of the state's vast quantity of recorded information, necessary data remains inaccessible on paper, microfilm, computer media, and other documentation. This accumulation expands until even more expensive storage equipment and facilities are needed. Each taxpayer in California pays for such costly mismanagement.
Records management emphasizes the value of knowledge and information as a resource. State agencies can expect benefits derived from increased efficiency, improved productivity, and cost savings. The complex and intricate government organization we face today calls for a more systematic, facilitative concept of records access and control. A structured approach to records creation, retention, and disposition yields faster retrieval of needed knowledge and information. Faster and easier access frees personnel from searching for knowledge and information and allows them to devote more time to essential tasks. The documentation associated with systematic records access and control provides proof of disposition as well as retention policies. Cost benefits are realized in the reduced demands on time, staff, funds, and space requirements.
When maintained and controlled systematically, records are an asset; when managed in a haphazard manner, they are a liability. Providing the principles and policies necessary to establish and administer a legal and efficient statewide records management program is essential in successful government.
The scope of records management in California has evolved from uncontrolled growth to an area involving the legislature, statewide laws, and state agencies having greater information management responsibility. Many records that were at one time kept by hand in bound volumes are today found in computers or stored in a humidity-controlled microfilm vault. Regardless of the format, state records are as valuable now as they have ever been, and control of these records is the statutory responsibility of each state agency.
Why does the State need Information and Records Management?
The success or failure of government programs relies heavily on the records and information used as a basis for decisions made by state officials and for compliance with regulations. There are costs associated with not being able to locate needed records in a timely manner, especially during litigation, as well as risks and costs associated with records being retained long past their usefulness. Costs include staff time to find and review records; facility costs to store records and many other "hidden" costs that nonetheless affect the bottom line of each agency.
Effective records management systems help reduce costs and risks in today's fluctuating business environment. A modern, efficient records management program provides government and business tangible benefits such as:
- Executive effectiveness
- Cost savings
- Enhanced revenues
- Faster and improved services
- Less records volume
- Vital records protection
- Appropriate use of technology
- Legal compliance
- Preservation of California's rich heritage
Historical Synopsis
The concern and management for records in California State government began with the establishment of the State Archives in 1850 under the Secretary of State. Until 1963, with the passing of the Records Management Act, bits and pieces of the function had been scattered in various agencies (i.e., Records Centers were under the Secretary of State; approval of records destruction under the Audits Division, Department of Finance; and general records management studies and the Standards Forms Program, under Management Analysis, Department of General Services).
In passing the Records Management Act in 1963, the Legislature decided to apply controls to the ever increasing proliferation of the State's records collection. If such a program were to be successful it must address itself to the entire spectrum of the records problem and be a comprehensive and coordinated statewide effort. Accordingly, the Records Management Act consolidated responsibility for administration of the program within one department, the Department of General Services.
After passage of the Records Management Act, responsibility for the program was further consolidated by creation of a separate unit within General Services-the State Records Service Division, later the Office of Records Management and the Office of Information Services, and today, the Procurement Division. This consolidation and unification was a major factor in the success of the records management program.
For the first time, state agencies were able to look to one office for answers to their records problems and concerns. The State's two records centers were consolidated and thoroughly integrated with the total records disposition program under control of the Department of General Services. It was now possible to consider the total life cycle of an agency's record making and disposition processes. From the creation of records (forms design, printing, duplicating, and procurement of forms) through use of the records (processing, filing, microfilming, etc.) to final disposition or permanent retirement of records (records centers, Archives, sale as waste paper).
This ability to bring together and regulate these various elements of records management is an objective sought by many private enterprises and other governmental jurisdictions. It has given its business manager, the Director of General Services, the tools to create and operate the most efficient type of administration of a records program. In comparison, most other states have burdensome laws and traditions, which require administration of the records program to be shared by Archivist, State Records Commissions, Historical Societies, and Legislative Committees.
Statutory Requirements and Program Responsibilities
The "State Records Management Act" contained in Government Code Sections 14740-14774 describes the duties and responsibilities of the Director of DGS, the Secretary of State, California State Archives, and of state agencies in managing the state's records. Within DGS, the Procurement Division (PD) has been assigned the overall development and coordination of the State's Records Management Program. Within PD, the CalRIM Program is responsible for the direct administration of the State of California Records Management Program. The Director of DGS is required to:
"Establish and administer, in the executive branch of government, a records management program which will apply efficient and economical management methods to the creation, utilization, maintenance, retention, preservation, and disposal of state records."
DGS is mandated to oversee the management of state records and to establish policies necessary for the efficient operation of the statewide records management program. DGS, through the CalRIM Program, acts also as a consulting body to assist state agencies in carrying out the policies.
As stated in the Government Code 14746, the duties of the Director of DGS, shall include but not be limited to:
- Establishing standards, procedures, and techniques for effective management of records.
- Providing appropriate protection for records designated by state agencies, with the concurrence of the director, as essential to the functioning of state government in the event of a major disaster.
- Obtaining from agencies reports required for the administration of the program
The CalRIM Program provides training and consultation services. It provides Master Services Agreements to speed contracting in the full area of Records Management. Specialized services are also provided in Electronic Records Management, Annual Forum on Imaging and Records Management, Records Management Technologies, Program Updates, Records Management Customer Council, and scheduled agency Records Management Meetings to inform, clarify, share, and discuss, program polices, procedures, concerns and issues.
DGS also administers the State Records Center and Document Destruction Operations. Records accession, storage and destruction services are provided to state agencies for records stored at the State Records Center, and, destruction services of confidential type records is provided by the Document Destruction Operations.
As statutorily required, all agencies must conform to records preservation requirements as reflected in approved and current records retention schedules when disposing of, or erasing electronic media that store the only copy or the official copy of the record. All executive branch agencies are statutorily required to participate in the State's Records Management Program.
SERVICES AND EVENTS:
- Review of Agency Records Management Programs
Our CalRIM staff are available to consult with agencies to evaluate the effectiveness of existing programs and recommending strategies for improvement. We review Records Retention Schedules and help agencies achieve their objectives.
- Consultation by our Staff
We are available to help agencies establish a records management program, develop records retention schedules, transfer authority of record series, provide vital records protection, create a disaster recovery plan for records, evaluate the preparation needs of records for imaging, create a records plan and/or file plan, create correspondence management and directives management, imaging consultations, etc.
- Records Management Training
We offer one class per month for records management coordinators:
- The class for coordinators is one day and provides an overview of the CalRIM program, the complete life cycle of records and all aspects of the development and preparation of Records Retention Schedules. Classes are the third Wednesday of every month except December. Class Schedule
Contact CalRIM to register.
- Consulting Master Services Agreements (MSA's)
Several different consulting agreements have been competitively awarded offering a wide variety of established consulting service firms for records and document management activities. These established contracts offer a streamlined contracting process for an agency to meet the demanding records management business challenges by purchasing expert consulting services at the lowest competitive prices.
Expert records management consulting services can assist agencies in developing and implementing an organizational Records Management Plan. The services provided help in areas such as record creation and use, records systems, storage and retrieval, appraisal, retention, protection and disposition, while meeting legal and ethical guidelines. Consultants also provide evaluation and analysis for proposed legislation, policies, operating procedures and/or guidelines for government-wide or agency-wide records management programs. Consultants advise on electronic records management as well as quality assurance and office filing equipment. Consultants assist in the management and operation of record centers.
- California Multiple Award Schedule (CMAS) Contracts
In addition to the MSAs, CMAS offer another contracting method to obtain technology solutions and consulting assistance for records and document management needs.
- CalRim Records Management Quarterly Meeting
Primarily conducted for all state agency records management representatives and interested state staff, these meetings share information about the CalRIM Program and provide on-the-job training. The meetings address concerns, issues and questions, clarify policy, make recommendations, announce program updates, and seek input on how to improve customer service. Panel includes members of the CalRIM, the State Records Center, the Forms Management Center, Office of State Publishing, and State Archives and guest panelists and industry experts, from the both the government and private sector that present the latest on records, information and management document technologies.
Details about upcoming scheduled meetings will be posted on our Events web page, or contact:
- Imaging and Records Management Forum
Each year we gather internationally renowned speakers on current topics and trends in records and document management and technologies, such as imaging. Suppliers are on hand to discuss their offerings to meet agency needs. (Due to staff reduction, CalRIM can no longer organize this event)
STATE RECORDS CENTER
The Department of General Services is statutorily required by Government Code 14767 to provide a facility for the storage, processing, and servicing of records. Although agencies are not currently required to use the SRC, it has been providing state agencies with low-cost storage of semi-active and inactive records for nearly thirty years.
The SRC has evolved into a full service facility, which handles accessions, disposals, requests on a 24-hour turn around basis, rush requests, refiles, and interfiles for low and semi-active records, and a vital records vault.
- Capacity of the State Records Center (SRC)
The State Records Center is located in West Sacramento in two buildings. Storage capacity at its 3240 Industrial Blvd. location is 691,844 cubic feet. The locations at 1501 Cebrian Street, has 366,156 cubic feet of storage. The total combined storage capacity is 1,058,000 cubic feet, making California's records center the second largest in the nation, second only to the Federal government.
For SRC Information and Services Contact:
Roman Zeltvay, Manager, State Records Center at (916) 375-7427 or
Joanne Simonetta, State Records Center at (916) 375-6760.
Transfer of boxes within the Sacramento area can be arranged by contacting the Interagency Mail and Messenger Service at 916-327-5203. State entities located outside of the Sacramento area can obtain help in locating approved common carriers to move their records to the SRC by contacting the DGS Transportation Management Unit (TMU) at (916) 376-1888, CalNET: 8-480-1888, or e-mail TransportationManagement@dgs.ca.gov . Information is also available on the web at www.pd.dgs.ca.gov/traffic .
- Document Destruction Center (DDC)
The DDC destroys confidential paper records, microfilm, cassette tapes, magnetic tape, and related material by shredding on-site at the SRC located at 3240 Industrial Blvd., West Sacramento.
For DDC Information and Services, Contact:
Roman Zeltvay, Manager, Document Destruction Center at (916) 375-7427 or
Joanne Simonetta, SRC/DDC at (916) 375-6760
LINKS TO OTHER ORGANIZATIONS WITH RECORDS RESPONSIBILITIES
THE STATE RECORDS PROGRAM TEAM
Jack Fort, Records Management Consultant
Ramona M. Gutiérrez Scholz, Records Management Consultant
Javier C. Sánchez, Records Management Consultant
Roman Zeltvay, Manager, State Records Center
Pat Sheehan, Supervisor, Cebrian Operations
Shawn Prigmore, Supervisor, Industrial Operations
William Forbes, Supervisor, Document Destruction Center
Department of General Services California Records and Information Management Program 344 North 7th Street Sacramento, CA 95814 http://www.dgs.ca.gov/osp
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