Transcript Managing Your Records And The “Local Records Act”
Managing Your Records And The “Local Records Act”
Are You Running Out Of Room To Store Your Records?
If so the Local Records Act provides a way for you to systematically and legally dispose of your records.
History of the Local Records Act
Before the local records act, records management among local units of government had no uniformity. Each unit of local government decided how long to keep its records. Because the officials of each unit of government were elected and changed fairly frequently, many did not even know what records they possessed or where those records were located. Some looked at old records as a nuisance and either stored them poorly or discarded them. The problems of such a system were obvious, especially in terms of legal considerations, public access, and historical concerns.
The Local Records Act (50 ILCS 205)
The Local Records Act was passed in 1961 to provide a method for local government agencies to legally dispose of their records.
What Types Of Agencies Are Subject To The Local Records Act?
Municipalities Junior Colleges School Districts County Agencies Townships MEG Units Special Districts Such As Mosquito Abatement Districts, Local Airport Authorities, Fire Protection Districts, Library Districts
Local Records Commission Members
A Chairman of a County Board, who shall serve as the Chairman of the Commission.
A County Auditor A State’s Attorney
A Mayor or President of a City, Village, or Incorporated Town
All of the aforementioned are appointed by the Governor
Local Records Commission Members
The State Archivist and
The State Historian
Local Records Commission of Cook County Shall Consist of:
The President of the Cook County Board The Mayor of the City of Chicago The Cook County State's Attorney The Cook County Comptroller The State Archivist and The State Historian .
Local Records Commission of Cook County
The president of the county board shall be the chairman of the Local Records Commission of Cook County (Commission).
A member of the Commission may designate a substitute
.
Local Records Commission Meetings
Meetings of the Local Records Commission are held monthly in the Norton Building and the Cook County Commission meets on the 2 nd Tuesday of each month via Video Conference.
The Norton Building is located in the Capitol Complex in Springfield.
The CMS Video Conference Centers are located in the James R. Thompson Center in Chicago and on W. Mason Street, in Springfield.
Both meetings are open to the public.
Norton Building
How Does The Office of the Secretary of State Become Involved In This Process?
The Secretary of State serves as the State Archivist.
One of the duties of the State Archivist is to provide the support staff to the Local Records Commissions and the State Records Commission.
What is a public record under the “Local Records Act”?
"Public record" means any: book paper map photograph digitized electronic material, or other official documentary material,
Public Records
regardless of physical form or characteristics, made, produced, executed or received by any agency or officer pursuant to law or in connection with the transaction of public business and preserved or appropriate for preservation by such agency or officer, or any successor thereof, as evidence of the organization, function, policies, decisions, procedures, or other activities thereof, or because of the informational data contained therein.
Non-Records
Library and museum material made or acquired and preserved solely for reference or exhibition purposes, extra copies of documents preserved only for convenience of reference, and stocks of publications and of processed documents are not included within the definition of a public record. (Source: P.A. 89-272, eff. 8-10-95.)
Are faxes, videos, emails, and instant messages records, etc.?
Yes, depending on the information contained in the fax, email or instant message or the information recorded on the dvd, cd, video, or cassette tape, etc.
If the information fits the aforementioned definition, it is a public record subject to the provisions of the “Local Records Act” regardless of the media in which the data is maintained.
Can We Scan Our Documents?
Yes, effective January 1, 2001, the Local Records Act (50ILCS205) was amended to allow Local Government agencies to reproduce existing public records in a digitized electronic format with the intent to dispose of the original records.
What type of media is acceptable for storage of electronic records
?
They must be reproduced on a "durable medium that accurately and legibly reproduces the original record in all details," and "that does not permit additions, deletions, or changes to the original document images.”
Disposing of Original Records and Replacing Originals With Digitized Records
Each agency is also under the obligation to file a Records Disposal Certificate with the appropriate Local Records Commission before any original record may be disposed of and before the reproduced digital record is disposed of.
Digitized Records
Agencies must remember that any information that was a public record when produced in paper remains a public record when produced or maintained in any digital format, and that any information created as, or converted to, an electronic format is a government asset and must be retained for any period required by law or Local Records Commission regulations.
“Freedom of Information Act” & Digitized Records
In addition, the digital records must be "retained in a trustworthy manner so that the records, and the information contained in the records, are accessible and usable for subsequent reference at all times while the information must be retained."
FOI Act
For more detailed information about the “Freedom of Information Act” please contact the IL General’s Office (217)782-1090 Attorney
http://www.ag.state.il.us/
What if I do not want to have an application done?
Disposing of any public record, regardless of format, before its retention is complete and notification given to the Local Records Commission is a Class 4 felony.
720 ILCS 5/32-8
Why Is It Important To Have A Records Inventory?
The records inventory is vital to an effective records management program because it identifies the scope and quantity of the records of an organization.
The information that comes from the records inventory serves as the basis for all decisions concerning the direction your records program will follow.
Other Reasons You May Find Having A Records Inventory To Be Beneficial
The inventory provides your agency with a ready-made FOI List.
If you have a disaster, the inventory will help you determine what records may have been lost.
It is the first of 2 steps to provide your agency with a way to legally dispose of your records.
Preparing For Our Visit
Make Sure The Area Where The Records Are Maintained Is Easily Accessible
Provide Easy Access To Records That Are To Be Inventoried
What Information Is the Field Representative Looking For?
The earliest date for each record series.
The annual accumulation in cubic feet.
The total volume of each series in cubic feet.
The arrangement of each series.
How Does A Local Records Unit Field Representative Inventory Our Records
?
The inventory may be a hands-on inventory of the records in your office and storage areas.
It may be done by question and answer.
Or a combination of the two.
After The Inventory
The field representative will prepare all the necessary documentation for submission to the Local Records Commission for you.
Application For Authority To Dispose of Local Records
This form is the final, typed version of the inventory worksheets that were prepared by the Local Records Unit field representative.
The cover sheet for the application must be signed by the head of the agency prior to submission to the Local Records Commission.
Records Listed On The Application May Be Disposed Of Providing:
the individual retention period is complete, and providing any local, state, and federal audit requirements have been met
no litigation is pending or anticipated
the records are correctly listed on a Records Disposal Certificate submitted to and approved by the appropriate Local Records Commission sixty (60) days prior to the intended destruction date
There May Be Other State And/or Federal Statutes or Regulations
If so, the records retention schedule approved by the Local Records Commission does not relieve local governments of retention requirements mandated by other state and federal statutes and regulations.
When such an obligation does exist, then the longer retention period takes precedence.
Digitizing or Microfilming Records
Agencies can digitize or microfilm records and dispose of the originals in accordance with the standards of Local Records Commission Rules and if the film or the digitized record is retained for the prescribed retention period.
Disposal of records after microfilming or digitizing must be noted on the Records Disposal Certificate.
What Will My Records Retention Schedule Look Like?
The Item No. And the Record Series Title:
Item No.
Description of Items or Record Series
12.
Disbursing Orders
What Was The Earliest Date Of The Record Series, The Field Representative Found At The Time of Inventory?
Dates: 1986-
Dates: (1895-1911) Item No.
12.
Description of Items or Record Series
Disbursing Orders Dates: 1986-
What Was The Total Volume Of The Series At The Time Of The Inventory?
Volume: Negligible Volume: 36 ½ Cu. Ft.
Estimating Cubic Feet:
1 Full Letter Size Drawer = 1.5 Cu. Ft.
1 Full Legal Size Drawer = 2.0 Cu. Ft.
1 Full Lateral File Size Drawer or Banker Box = 2.5 Cu. Ft.
Miscellaneous Measurements
If you just have a few file folders (less than .25 Cu. Ft. then “Negligible” will be entered.
A box about the size copy paper is received in generally holds approximately 1 Cu. Ft.
Annual Accumulation:
Annual Accumulation: Negligible Item No.
Description of Items or Record Series
12.
Disbursing Orders Dates: 1986 Volume:Negligible Annual Accumulation: Negligible
How Was The Series Filed?
Arrangement: Chronological and Numerical by Project No.
Arrangement: Alphabetical Arrangement: Numerical Arrangement: Alpha-numerical Item No.
12.
Description of Items or Record Series
Disbursing Orders Dates: 1986 Volume: Negligible.
Annual Accumulation: Negligible Arrangement: Chronological by Year
The Minimum Retention Period
Recommendation:
Retain for five (5) years, then dispose of.
How Does The Commission Determine How Long A Record Should Be Retained?
The values that should be considered in appraising records are: Administrative Value Fiscal Value Legal Value Historical or Archival Value
Appraisal Process
A sound records disposition program requires a realistic appraisal of the records in relation to their period of usefulness and value to the agency that created them as well as their usefulness to the public.
By appraising records you:
Establish reasonable retention periods
Identify records that can be destroyed after your retention schedule has been approved and a disposal certificate processed
Identify records with lasting value that should be retained permanently
Administrative Value
The primary administrative use of most records is exhausted when the transactions to which they are related have been completed. From that point on they lose their value rapidly.
Administrative Value
However, some administrative records contain basic facts about an agency’s origin, policies, functions, organization, and significant administrative decisions.
These types of records should be preserved to provide adequate documentation of an agency’s operations.
An example of a record with a permanent administrative value: agency rules, regulations, policies, and procedures
Legal Value
Records have legal value if they contain evidence of legally enforceable rights or obligations of the agency such as legal decisions and opinions; fiscal documents representing agreements, such as leases, titles and contracts; and records of action in particular cases, such as claim papers, legal opinions, and legal dockets.
Fiscal Value
(Financial Transactions) After records have served their basic administrative function, they may still have sufficient fiscal value to justify their retention in storage for a time to protect the agency against court action or to account for the expenditure of funds.
Research, Historical or Archival Value
Some records have enduring value because they reflect significant historical events or document the history and development of an agency. The importance of preserving such records is obvious.
Special Note
The word "permanent" for archival and retention purposes means forever. Such records are assessed as having permanent historical value.
The term should not be confused with "indefinite" nor should such a recommendation be made
Retention periods of 20 or 40 years are not uncommon for records, yet such retention periods are not referred to as "permanent."
Work and Salary History
Beginning & Ending Dates Of Employment
Titles Held By The Employee
Salary Changes
Salary At The Time Of Separation Of Employment
How Much Un-paid Sick Leave Did The Employee Have At The Time of Termination
Name(s) and other employee I.D. information
Student Records
The retention period for student records is taken directly from the “Student Records Act”
We Have Received Our New Application. What Is Our Next Step?
Educate your staff about the Local Records Act.
Should We Store Our Application With All Our Other Files?
Place your application and blank disposal certificates in a special folder or notebook and mark on the outside ( TO BE RETAINED PERMANENTLY ) Inform your staff where the folder or notebook is to be retained.
Disposal Certificates
File all disposal certificates with the Application.
Establish who will complete the Disposal Certificates in the future.
Must An Agency Dispose Of Records When The Minimum Retention Period Has Been Met?
No, you may retain the records for as long as you need or want after the minimum retention period has been met.
Even if you have submitted a Local Records Disposal Certificate indicating you intend to dispose of the records 60 days after the date of submission, you may still keep the records longer if you want to.
Disposing of Records
Complete a Local Records Disposal Certificate.
Mail the Disposal Certificate to the Local Records Commission Sixty (60) Days Prior to the Intended Disposal Date.
How Often Should Disposal Certificates Be Submitted?
Most agencies will submit one disposal certificate per year.
Meet Your Local Newsman
Maybe you don’t know what the requirements of the Local Records Act are, but many reporters do.
Sample Local Records Disposal Certificate
The Application Number
WHERE DO I FIND MY APPLICATION NUMBER?
APPLICATION NUMBERS ARE LOCATED ON THE COVER SHEET OF YOUR APPLICATION FOR AUTHORITY TO DISPOSE OF LOCAL RECORDS IN THE UPPER RIGHT HAND CORNER.
Completing the Disposal Certificate
Application Item No.
2.
Record Series Administrative Correspondence Inclusive Dates 1984-2002 Cubic Feet To Be Disposed Of 2 Cu. Ft.
12.
Disbursing Orders 1986-1998 Neg.
19.
General Assistance Reports & Expenditures 1952-1996 Neg.
What Do I Do If I Have An Older Retention Schedule And Want To Dispose Of Records Not Listed On My Application?
Call the Local Records Unit to schedule an appointment with a field representative (217)782-1080
IRAD
Such regulations shall also provide that the State Archivist may retain any records which the Commission has authorized to be destroyed, where they have a historical value, and that the State Archivist may deposit them in the State Archives, State Historical Library, or a university library, or with a historical society, museum, or library.
If An Agency Turns Their Records Over to IRAD – Can They Have Copies?
The officer or clerk depositing such records may, upon request, obtain from the Archivist, without charge, a certified copy or reproduction of any specific record, paper or document when such record, paper or document is required for public use.
For more information call (217)785-1266
IRAD DEPOSITORIES
Northern IL University Northeastern IL University Western IL University IL State University University of IL – Springfield Eastern IL University Southern IL University – Carbondale
Contacting the State Archives Records Management Section
Appointments with Local Records Unit field representatives, requests for speakers, and questions about disposal certificates call (217)782-1080
Questions about retention periods and the Local Records Act call (217)782-1082