Finding

Archives-Provided Training Is

Limited In Amount and Scope

Improved training and outreach can reduce the mismanagement of records.

While WSA provides some formal training to state employees, its  training and outreach effort is limited in amount and the focus does not extend to local government agencies.  It is likely that without proper training, agencies and local entities mismanage their records.  Mismanagement includes the misfiling, losing, improperly destroying, saving unnecessarily, or otherwise mishandling records.  Mismanagement of records has several consequences that may be costing the state both time and money, such as the state being held liable during litigation or paying for more space than necessary. 

Improved training and outreach can reduce the mismanagement of records.  However, developing a comprehensive way to train state agencies and local entities has been problematic for WSA, as it claims a lack of resources necessary to carry out an effective training program.  With the reconstitution of SHRAB and guidance from professional standards and other states, WSA can implement a more effective training and outreach program.

WSA Can Be More Proactive

In Providing Training

Statute charges WSA with providing information about records management to interested agencies.

Formal training is limited in quantity and focused on state agencies.

The results of the SHRAB survey indicate a need for additional training and outreach on the part of WSA

W.S. 9-2-406 (a)(vi) charges WSA with "gathering and disseminating to interested agencies information on all phases of records management and current practices, methods and procedures for efficient and economical management of records."  WSA has chosen to interpret interested parties as those that ask for information or training. 

As a result, most of the training that takes place between WSA and an agency or local entity is one-on-one informal consultation.  WSA becomes involved when an agency calls asking what to do with a particular set of records.  This often happens when the agency finds it is running short on space.  Individualized consultation of this sort is repeated with each new call and transfer of records.  In this manner, WSA has been responsive, but has offered few proactive training activities.

WSA’s strategic plan states it will provide two trainings per year.  Formal training is not only limited in quantity, but is narrowly focused on state agencies.  Most of the programs offered are geared primarily for state agencies, and normally, only a small number of state employees participate.  While these trainings are also open to local entities, few attend. 

The results of a survey done in 1995 for the SHRAB report, which is still considered valid by WSA officials, help describe conditions in the offices where records originate.  According to the survey, twenty-nine percent of all state agencies did not have a records officer, or a person who is responsible for the management of records.  Forty percent of state agencies did not use consultation or training provided by WSA on how long to keep records or how to store them.  Local entities faced similar problems.  Thirty-five percent of local entities did not have a records officer.  Only twenty-six percent used consultation or training on how long to keep or store records. 

Also according to the survey, a great concern to both local entities and state agencies was the lack of education regarding records management, especially in the area of electronic records.  Overall, the results of the survey indicate a need for additional training and outreach for both state agencies and local entities. 

Mismanagement of Records

Can Cost the State

Without proper training, records could be damaged or lost.

Electronic storage is not an approved medium for permanent records.

Several potential legal costs can accompany the mismanagement of records.

WSA says records managers often do not systematically file and destroy records.

 Storing and managing records in the Records Center or the Archives is inexpensive. 

Without a proper records management program, records could be damaged, lost, or simply never properly maintained.  The consequences for the state could include being held liable during litigation, paying for more office space than is necessary, and having to provide additional funding for an archives that is running out of space.

As discussed in Chapter 2, the electronics age has made records management more challenging for WSA because every employee has become both a records creator and a records manager.  Further, some agencies are scanning and storing documents on computer, and using electronic records without WSA guidance.

These practices may cause problems with long-term storage of records and could lead to their loss.  With the rapid progression of technology, a storage medium can quickly become outdated, creating a vacuum from which information cannot be retrieved.  Electronic storage is not an approved medium for permanent records, and there are no national standards.  While standards have been developed for long-term storage of paper records, microfilm, and photo negatives, none exist for electronic storage, and professional organizations are just beginning to acknowledge the need for them. 

Loss of records can be critical.  Records provide context for policy decisions, as well as accountability for government actions.  In the past, many discussions about policies and decisions took place through official memos that were properly archived.  Today, many of these discussions take place over e-mail, creating an environment of virtual records that are difficult to catalogue and can be easily lost. 

Several potential legal costs can accompany the mismanagement of records.  Records provide an efficient means to support litigation.  Without proper documentation, an agency could experience adverse results in litigation.  A lack of proper records management may also lead to a loss of time.  For example, to prove its case, an agency may need to use staff time searching for records or serving as witnesses.  Worse, an agency could be subject to legal sanctions if it cannot produce records.  To avoid that, it would be essential to be able to prove that records historically have been destroyed according to a retention schedule and that the records in question were treated like all others in the program.

Mismanaged Records May Occupy Prime Office Space.  Agencies that are not aware of WSA services and do not have a properly implemented records management program can create cost for the state in terms of expensive office space.  Without a proper records management program, WSA says records managers often do not systematically file and destroy records. 

We calculated the cost of storing records in state agency office space using cubic feet as a measure because a standard office file cabinet has a capacity of six cubic feet of records.  The cost to the state to store records within an agency varies.  If the agency occupies state-owned space, annually, storage can cost the state $39.60 per six cubic feet, while if the agency occupies rented or leased space, it can cost up to $84.00 per six cubic feet.  These costs do not include the additional expenses of file cabinets, folders, or staff to manage the records. 

Storing and managing records in the Records Center or in the permanent archives, on the other hand, is significantly cheaper.  Transferring records from an agency to the Records Center or Archives South can save the state between $10.50 and $62.52 for each standard file cabinet of records transferred, depending on the agency’s space costs.  Transfers of large quantities of semi-active or inactive records may free up expensive office space for more productive uses.  For example, Game and Fish recently transferred large quantities of records, freeing up a significant amount of space for other office uses.

Some of these savings are offset if agencies transfer records to WSA without first culling them.  WSA suspects there is a low compliance rate with its rules regarding records management and transfer for storage.  Based on its experience, WSA estimates that ten percent of the records in permanent archives should not be there, but are there as a result of agencies not adequately culling their records before transfer.  However, the permanent archives only account for half of the space at Archives South, and WSA has no estimate for the amount of mismanaged records that are brought to the Records Center.  Consequently, the total volume of mismanaged records could be greater than this estimate.

Professional Organizations Stress

the Importance of Training

The SHRAB report recognized that local entities need stronger support and guidance.

Archives must provide agencies with sufficient guidance and training for records management.

Laws and regulations requiring good record keeping practices are not enough.

An active outreach and training program is an essential part of a state records management program.   

The SHRAB report made several recommendations regarding training.  It recognized that a lack of knowledge is critical, especially in the area of electronic records, and that local entities also needed stronger support and guidance.  The report recommended that a coordinated and ongoing training program be developed, with leadership from the SHRAB, by September 1996 and implemented by June 1997.  However, nothing has been accomplished in that regard since the report was issued. 

Meanwhile, other organizations and states have developed recommendations and models that could help the WSA develop an effective training and outreach program.  The NHPRC, along with the National Records and Archives Association (NARA) and the Council of State Historical Records Association (COSHRC) released a report in 1996 containing several recommendations for state archives about training and outreach:

·         State archives and records programs must provide records creators in state and local agencies with sufficient guidance and training on long-term requirements for records management in all media.

·         Archivists and Records Managers must promote the identification and adoption of best practices among all government archives and records programs.

·         Agency personnel need guidelines and training to implement programs effectively.  Laws or regulations requiring good record-keeping practices are not enough.  To have a real effect on the proper creation and maintenance of records, archivists and records managers must make a concerted effort to provide ongoing guidance and training to all employees throughout the state.  Telling agencies and organizations they must do something will not produce the desired results unless staff is shown how to do it.

The State of Texas' Records Management Program appears to have recognized the importance of training within the past few years.  Their reorganization in 1998 made it possible to dedicate additional staff and resources to consulting and training.  The goal was to offer regularly scheduled classes and consulting services as needed to implement uniform retention schedule procedures.  According to their figures, management consulting costs were calculated at $75 per hour, while training was $20 per hour.  Consulting and training activities provided by the Records Management Division have resulted in savings to state agencies conservatively estimated at nearly one million dollars over a three-year period.

An active outreach and training program, like that of Texas, is an essential part of a state archives records management program.  Training can improve the processing of records, or the steps that an archives goes through to acquire material.  Processing should begin years before a transfer, with the establishment of records management procedures with the records creators.  When the transfer of materials is the culmination of an orderly process of records management, all subsequent processing becomes easier and more efficient.  Effective training is the key element in these processes.

WSA Has Not Prioritized Training

WSA could potentially train 51,500 people within Wyoming in effective records management.

Considering that it has a potential audience of all government records creators in the State of Wyoming, WSA’s current plan to provide two trainings a year is inadequate.  As of 1999, Wyoming employed 13,300 state employees and 38,200 local government employees.  Thus, WSA could potentially train 51,500 people within Wyoming in the area of effective records management.  But, WSA has claimed it does not have the resources to make training a priority, and as a result, does not have a comprehensive plan to implement such a program. 

The absence of a SHRAB has created problems for WSA in the area of training and outreach.  The SHRAB report recommended that training be addressed jointly by the leadership of  SHRAB and support from WSA.  Shortly after the report’s release, however, SHRAB funding ended and renewed funding was not immediately sought.  Without SHRAB, not only has there been an absence of leadership, but certain funding opportunities have been unavailable.  SHRAB will be reconstituted again in the Spring of 2000, and it can be an important way of generating support for records, as well as gaining the perspective of people in the state. 

Recommendation: WSA should seek temporary funding to develop and implement a comprehensive training program.

WSA may be able to obtain funding for a temporary position to implement a training program.

A comprehensive training and outreach program can save WSA time, money, and space.  Developing and implementing such a program should be a priority for WSA.  An effective training program should eventually free up resources that could be focused on other projects.

WSA has a unique opportunity as SHRAB is reconstituted.  Through SHRAB and the NHPRC, WSA may be able to obtain funding for a temporary position.  This position could develop and implement a comprehensive training program for state and local entities.  During the period of funding, a consultant could create lesson plans, develop train-the-trainer programs, and travel throughout the state to assess the needs of local entities.  We believe an effective training program will eventually free up resources which could help support the program.