BILL ANALYSIS                                                                                                                                                                                                    Ó



                                                                            



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                                    THIRD READING


          Bill No:  SB 479
          Author:   Block (D)
          Amended:  4/4/13
          Vote:     21

           
           SENATE GOVERNMENTAL ORGANIZATION COMMITTEE  :  9-0, 4/23/13
          AYES:  Wright, Nielsen, Berryhill, Calderon, Cannella, Correa,  
            De León, Hernandez, Lieu
          NO VOTE RECORDED:  Galgiani, Padilla

           SENATE APPROPRIATIONS COMMITTEE  :  7-0, 5/6/13
          AYES:  De León, Walters, Gaines, Hill, Lara, Padilla, Steinberg


           SUBJECT  :    State government:  Secretary of State:  duties

           SOURCE  :     Office of the Secretary of State


           DIGEST  :    This bill makes substantive changes to existing  
          provisions of law relating to the management and archiving of  
          state records within the Department of General Services (DGS)  
          and the Secretary of State's Office (SOS).

           ANALYSIS  :    

          Existing law:

          1. Requires the SOS to appoint a competent person to the  
             position of Keeper of the Archives; and specifies that the  
             Keeper of the Archives is responsible for the preservation  
             and indexing of material deposited in the State Archives, and  
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             shall make the material readily available for use. 

          2. Under the State Records Management Act, provides for DGS to  
             manage state records, as specified.

          3. Provides that the Workers' Compensation Appeals Board may,  
             with the approval of the Department of Finance (DOF), destroy  
             or otherwise dispose of a file kept by it in connection with  
             a proceeding regarding workers' compensation and insurance,  
             as provided.

          This bill makes the following substantive changes to existing  
          provisions of law relating to the management and archiving of  
          state records:

          1. Changes the name of the "Keeper of the Archives" to the  
             "Chief of Archives."

          2. Transfers the responsibility of state records management from  
             DGS to SOS.

          3. Provides that DGS will continue to operate the State Records  
             Center (SRC), retaining its staff and its responsibility for  
             storing records for state agencies, as specified.

          4. Makes it explicit that any person, other than a temporary  
             employee, serving in the state civil service and employed by  
             DGS in the California Records and Information Management  
             Program (CalRIM) shall remain in the state civil service and  
             be transferred to SOS. 

          5. Modifies an existing provision of law that allows the  
             Workers' Compensation Appeals Board, with the approval of the  
             DOF, to destroy or otherwise dispose of any file kept by it  
             in connection with a proceeding and instead substitutes DOF  
             with SOS for that approval.

          6. Makes other technical, nonsubstantive, conforming, and code  
             maintenance changes, as specified.

           Background
           
          California's first Legislature, meeting in 1849-50, charged SOS  
          to receive "?all public records, registered maps, books, papers,  

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          rolls, documents and other writings?which appertain to or are in  
          any way connected with the political history and past  
          administration of the government of California?" 


          The State Archives collects, catalogs, preserves, and provides  
          access to the historic records of state government and some  
          records of local governments.  The State Archives collection is  
          primarily composed of records from California state agencies,  
          the Governor's office, the state Legislature, and the Supreme  
          Court and Courts of Appeal.  The collections also include some  
          private papers that have been donated to the State Archives.   
          The State Archives is part of the SOS Office complex (completed  
          in 1995) and occupies six floors of environmentally controlled  
          stacks, including a number of specialized vaults. 

          Until 1963, SOS also had responsibility for records management.   
          The Central Records Depository was moved from the Office of the  
          SOS when DGS was created (AB 2006 (Marks), Chapter 1786,  
          Statutes of 1963).

          The state records program within DGS is comprised of two program  
          elements:  the CalRIM program, and the SRC.  Among other things,  
          CalRIM establishes guidelines for state agencies in records  
          management and retention, including the management of electronic  
          records.  CalRIM also provides training and other technical  
          services to help customer agencies establish and maintain  
          effective records programs.  

          CalRIM and the State Archives review and approve records  
          retention schedules prepared by state agencies.  The State  
          Archives staff determines whether records identified on an  
          agency retention schedule have archival value and should  
          therefore be transferred to the Archives at the end of the  
          record lifecycle.  

          The SRC stores vital records and semi-active and inactive  
          records prior to their destruction or archiving.  The Document  
          Destruction Center destroys confidential records, including  
          plastic items.  The SRC also maintains a vault for storage of  
          vital records on microfilm and other media.

           FISCAL EFFECT  :    Appropriation:  No   Fiscal Com.:  Yes    
          Local:  No

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          According to the Senate Appropriations Committee, there are  
          first year costs of $303,000 and annually of $288,000 for the  
          transfer of three staff positions from DGS to SOS.  This is an  
          interagency funds transfer and except for $15,000 in  
          transitional expenses, it will not result in any new costs.   
          Personnel being transferred from the CalRIM program consist of  
          three personnel years (Records Management Analyst II).

           SUPPORT  :   (Verified  5/7/13)

          Office of the Secretary of State (source)
          California Historical Records Advisory Board
          Council of State Archivists

           OPPOSITION  :    (Verified  5/7/13)

          Innoventure Technology Group

           ARGUMENTS IN SUPPORT  :    According to the author's office, the  
          state's existing program for creating, managing, and preserving  
          records is not a cohesive one and results in significant  
          duplication of efforts and missed opportunities for efficiency  
          between the State Archives and DGS/CalRIM.  Simply put, the  
          separation of these two government functions has resulted in  
          operational inefficiencies.  The author's office notes that  
          there is also a high likelihood that records that have permanent  
          administrative, legal, and historical value to state government  
          and the public are being lost, perhaps at great cost to the  
          state and its citizens.  Additionally, many departments are  
          retaining records longer than necessary and incurring  
          unnecessary storage costs.  The author's office believes that  
          DGS/CalRIM lacks expertise and authority to gain better records  
          management compliance.  Thus, this bill has been introduced to  
          reunify California's archives and records management systems  
          under the SOS's office.  The author's office emphasizes that  
          this bill intends to reduce state costs and improve the ability  
          of California to retain and preserve its most valuable records.

          The bill's sponsor, Secretary of State Debra Bowen, states that  
          "SB 479 will provide a more efficient records management  
          program, housed under the State Archives, with an eye toward  
          long term preservation of records with archival value.  Under  
          the bill, CalRIM's responsibilities and three staff members will  

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          be transferred to the Secretary of State, while the function of  
          state records storage will remain under DGS."

           ARGUMENTS IN OPPOSITION  :    The bill's opponent, Innoventure  
          Technology Group, opposes this bill unless amended, and writes,  
          "SB 479 does not explain how it will reduce costs, when in fact  
          it most likely increases costs and reduces effective records  
          management for a number of reasons; not the least of which is a  
          bifurcation of the existing program.  CalRIM has an excess of  
          funds every year, thus retention of an elevated CalRIM at DGS  
          will promote improved records management with no fiscal impact.

          Lastly, this bill would reverse Governor Edmond [sic] G. Brown's  
          1963 important innovation intended to remove records management  
          from control of the State Archives, further retarding the State  
          of California's ability to respond to the informational  
          governance demands of the twenty-first century."  
           

          MW:d  5/8/13   Senate Floor Analyses 

                           SUPPORT/OPPOSITION:  SEE ABOVE

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