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A Statistical Report on State Archives and Records Management Programs in the United States

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A Statistical Report on State Archives and Records Management Programs in the United States THE STATE OF STATE RECORDS A Statistical Report on State Archives and Records Management Programs in the United States 2021 EDITION BASED ON FY2020 SURVEY JULY 2021 RECENT REPORTS AND PUBLICATIONS FROM THE COUNCIL OF STATE ARCHIVISTS These and other publications may be found at the CoSA website, https://www.statearchivists.org/ SERI Digital Best Practices Series Number 2: Developing Managing Electronic Communications in Government. 2019 Successful Electronic Records Grants Projects. May 2021 When is Information Misinformation? 2019. MoVE-IT: Modeling Viable Electronic Information Transfers. A collaborative publication of CoSA, the Chief Officers of State February 2021 Library Agencies (COSLA), and the National Association of The Modeling Viable Electronic Information Transfers (MoVE-IT) Secretaries of State (NASS), this handy infographic highlights project builds upon work surveying state and territorial archives common pitfalls for online users and offers five tips for regarding the efficacy of their electronic records management avoiding them. and digital preservation programs. This report analyzes seven electronic records transfer projects with regard to the elements State Archiving in the Digital Era: A Playbook for the that challenged them and, ultimately, made them successes. Preservation of Electronic Records. OctOber 2018 Published with support from Preservica and AVP. Developed by CoSA and the National Association of State Chief Information Officers, the playbook presents eleven “plays” Public Records and Remote Work: Advice for State to help state leaders think about the best ways to preserve Governments. SepteMber 2020 archives in the digital era. This report was supported in part by Social Media as State Public Records: A Collections Practices a National Leadership Grant from the Institute of Museum and Scan. May 2020 Library Services. This report clarifies current state archives collection First Steps in Managing Records: A Transition Priority. 2018 practices of state electronic records on social media Developed by CoSA and the National Governors Association, platforms, providing a window into how state, territory, and this document provides practical guidance for Executive the District of Columbia archives organize, retain, collect, and Offices as they transition into and out of office. This brief was manage state government social media records. supported by a National Leadership Grant from the Institute of Toward a Common Understanding: Insights on Inter-agency Museum and Library Services. State Electronic Records Transfer. DeceMber 2019 Social Media and Public Records: Developing a Social Media This report documents the genesis, implementation, and Use Policy. 2018 findings of a research project targeted at shedding light on Developed by CoSA and the National Governors Association, current practices associated with the inter-agency transfer of this document provides archives and records management permanent electronic records in state governments. guidance on working with social media in government. This State of State Records: A Statistical Report on State brief was supported by a National Leadership Grant from the Archives and Records Management Programs in the Unites Institute of Museum and Library Services. States. SepteMber 2019 A National Risk: The State of State Electronic Records Steps to Preserve State Electronic Records. 2019 Report. 2017 Developed by CoSA and the National Association of Secretaries of This report examines the impact of CoSA’s State Electronic State. This report was supported in part by a National Leadership Records Initiative (SERI) from its inception in 2011 while Grant from the Institute of Museum and Library Services. considering future directions for this program. This report was funded by a Laura Bush 21st Century Librarian Program grant Top Tips for Government Agencies Working with Electronic from the Institute of Museum and Library Services. Records. 2019 Developed by CoSA and the National Governors Association as part of a National Leadership Grant from the Institute of Museum and Library Services. Council of State Archivists PO Box 1583 VOice 502-229-8222 Frankfort, KY 40602-1583 eMail [email protected] July 2021. ©2021 Council of State Archivists Contents Foreword: Documenting Government/Promoting History/Securing Rights v Executive Summary vii HISTORICAL CONTEXT VII SURVEY SOURCE VII RESPONSE RATE VII Figure 1. Comparison of number of responses since FY2012 survey vii Figure 2. Survey responses by survey instrument vii Figure 3. Map of respondents by program type viii Section 1: Resources and Administration 1 CONFIGURATION AND PLACEMENT 1 Figure 4. List of Joint and Separate Archives and Records Management Programs 1 Figure 5. Breakdown of primary governing agencies for AO and JARM programs 1 BUDGETS 1 Figure 6. Funding sources 2 JURISDICTIONAL AUTHORITY, RESOURCES, AND ACTIVITY 2 Figure 7. Levels of Strong Authority | Fully Equipped | Activity for accessioning paper, electronic and audio-visual records 3 STAFFING 3 Figure 8. Breakdown of Full-time Employees compared to FY2018 3 Figure 9. Major changes in FTE staffing levels +/- 10% 4 Figure 10. Number of pay increases by type since FY2018 survey 4 Figure 11. Percentage of staff who devote some time to electronic records management/digital preservation since FY2016 4 Figure 12. Percentage of staff who devote some time to electronic records management/digital preservation since FY2018 5 Figure 13. Number of Program Directors/Administrators/State Archivists hired or appointed by year 5 Section 2: Collections 6 ARCHIVAL COLLECTIONS 6 Figure 14. Breakdown of non-electronic records by category 6 Figure 15. Breakdown of Electronic Records by Category 6 Figure 16. Percentage of collection material inaccessible due to insufficient processing 7 Figure 17. Count of archives by percentage of collections with online descriptions 7 Figure 18. Comparison of number of archives accessioning non-electronic records FY2018 to FY 2020, by volume groupings 7 RECORD CENTER HOLDINGS 7 Figure 19. Number of respondents to Record Center survey questions and number that assess chargeback fees 8 Section 3: Access and Engagement 9 REFERENCE INACTIONS AND TRAININGS 9 Figure 20. Comparison of reference interactions since FY2006 9 Figure 21. Records Management program support interactions for FY2020 9 ONLINE ENGAGEMENT 9 Figure 22. Social media platforms utilized by Archives and Records Management programs 10 Figure 23. Comparison of uses of social media platforms since FY2018 10 COUNCIL OF STATE ARCHIVISTS • THE STATE OF STATE RECORDS 2021 EDITION i NEWSLETTERS 10 Figure 24. Prevalence of newsletters 10 COMMUNICATIONS OFFICERS AND SOCIAL MEDIA COMMUNICATIONS 10 Figure 25. Total Communication Officers and Social Media Coordinators 11 Section 4: Special Projects 12 DIGITAL PRESERVATION 12 Figure 26. Possibility of only receiving electronic records 12 Figure 27. Relative market share of digital preservation repository services 12 Figure 28. Usage of supplemental digital preservation tools 13 STATE HISTORICAL RECORDS ADVISORY BOARDS (SHRABS) 13 Figure 29. Comparison of authorization status for SHRABs between FY2018 and FY2020 13 Figure 30. Comparison of timeliness of SHRAB appointments between FY2018 and FY2020 13 Figure 31. Primary authority who appoints SHRAB members 14 Figure 32. Comparison of activities SHRABs support since FY2016 14 Figure 33. Activities supported by Archives Only and Joint Archives and Records Management Programs 14 Figure 34. Organizations SHRABs collaborate with 15 Figure 35. Organizations and institutions SHRAB members represent 15 EMERGENCY PREPAREDNESS, RESPONSE AND RECOVERY 16 Figure 36. Comparison of status of emergency preparedness planning, by percentage, for Archives Only and Joint Programs 16 Figure 37. Frequency Archives Only and Joint Programs practice their emergency preparedness plans, by percentage 16 Figure 38. Components addressed in state Continuity of Operations plans by all institution types 16 SPECIAL INITIATIVES AND PLANNING 17 Figure 39. Rankings of top three priorities for JARM and AO programs in the next two years 17 Section 5: Our Stories 18 Appendix A: Resources and Administration A1 CONFIGURATION AND PLACEMENT A1 Table 1. Establishment of State and Territorial Archives and Records Management Programs A1 Table 2. Agency Placement A3 BUDGETS A5 Table 3. Budgets, Actual Expenditures and Funding Sources A5 Table 4. Budgetary Trends Since FY2006 A8 Table 5. Revenues and Appropriations Based on Fees Collected by Local Governments for Records Related Services A10 Table 6. Grants received during FY2020 A12 Table 7. Capital Expenses A14 Table 8. Electronic Records Management and/or Digital Preservation Appropriations A15 JURISDICTIONAL AUTHORITY, RESOURCES AND ACTIVITY A16 Table 9a. Authority, Resources and Activity in Support of Executive Branch Agencies A16 Table 9b. Authority, Resources and Activity in Support of Executive Branch Agencies A18 Table 9c. Authority, Resources and Activity in Support of Executive Branch Agencies A20 Table 9d. Authority, Resources and Activity in Support of Executive Branch Agencies A22 Table 10a. Authority, Resources and Activity in Support of Legislative Branch Agencies A24 Table 10b. Authority, Resources and Activity in Support of Legislative Branch Agencies A26 Table 10c. Authority, Resources and Activity in Support of Legislative Branch Agencies A28 Table 10d. Authority, Resources and Activity in Support of Legislative Branch Agencies A30 Table 11a. Authority,
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