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.

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 Meetings

Meetings of the Local Records Commission are held monthly in the Norton Building and are open to the public.

The Norton Building is located in the Capitol Complex in Springfield.

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 Attorney General’s Office (217)782-1090

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 HaveA 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?

9. CERTIFICATES OF PUBLICATION AND LEGAL NOTICES Dates: 1986- Volume: Negligible Annual Accumulation: Negligible Arrangement: Chronological by Year Recommendation: Retain for one (1) year, then dispose of.

10. CHECK STUBS Dates: 1978- Volume: Negligible Annual Accumulation: Negligible Arrangement: Chronological by Year Recommendation: Retain for two (2) years, then dispose of.

11. APPLICATION AND COMMODITY RECIPIENT VERIFICATION AND RECEIPT OF FEDERAL FOOD COMMODITIES (CERTIFICATION, SIGNATURE RECORD OF RECIPIENT)

Dates: 1989- Volume: Negligible Annual Accumulation: Negligible Arrangement: Chronological by Month Recommendation: Retain for five (5) years, then dispose of.

12. DISBURSING ORDERS Dates: 1986- Volume: Negligible Annual Accumulation: Negligible Arrangement: Chronological by Year Recommendation: Retain for five (5) years, then dispose of.

The Item No. And the Record Series Title:

Description of Items or Record Series

103. Bids, Specifications, and Proposals

Item

No.

What Was The Earliest Date Of The Record Series, The Field Representative Found At The Time of Inventory?

Dates: 1966- Dates: (1895-1911)

Item No. Description of Items or Record Series

103. Bids, Specifications, and Proposals

Dates: 1966-

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

103. Bids, Specifications, and Proposals

Dates: 1966-

Volume: 36 ½ Cu. Ft.

Annual Accumulation: Negligible

How Was The Series Filed?Arrangement: Chronological and

Numerical by Project No.

Arrangement: AlphabeticalArrangement: NumericalArrangement: Alpha-numerical

Item No. Description of Items or Record Series

103. Bids, Specifications, and Proposals

Dates: 1966-

Volume: 36 ½ Cu. Ft.

Annual Accumulation: Negligible

Arrangement: Chronological

The Minimum Retention Period

Recommendation: Retain successful bids for ten

(10) years after terms of the related contract are completed, then dispose of.

Retain unsuccessful bids for three (3) years after rejection, then dispose of.

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.

How Often Should Disposal Certificates Be Submitted?

Most agencies will submit one disposal certificate per year.

How Does The Commission Determine How Long A Record Should Be Retained?

The values that should be considered in appraising records are:

Administrative ValueFiscal ValueLegal ValueHistorical 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 ValueHowever, 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

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.

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.

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.

Record Series Inclusive Dates

Cubic Feet To Be Disposed Of

2. Administrative Correspondence

1984-2002 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 (217)782-7075

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

Does Your Storage Area Look Like This?

Or Perhaps This?

Or Maybe Someone Thought Using The Old

Drunk Tank Would Make A Good

Records Storage Area

What Is The Ideal Temperature & Humidity For Records

Storage? The ideal temperature and

humidity for records storage is 64 degrees Fahrenheit with a variance of only 3 degrees in a 30 day period and a humidity of 40% plus or minus 3% in a 30 day period

Storing Blueprints

Temperature and Humidity

Large swings in temperature and humidity can take years off the life of your records.

So if you cannot store your records in a room with the ideal conditions, at least try to keep the temperature and humidity stable.

Effects of Humidity

High humidity can cause mold spores to activate; hot and dry conditions can result in brittle documents.

Tips on Records Storage

Take pro-active measures to prevent future damages to your records:

Storage of Records in Basements

If you must store records in a basement that might have seepage, place the records in boxes on shelves or on pallets if possible.

Storing Records on Pallets

Plastic pallets are preferable; however, sometimes you can find free wooden pallets that can be covered with inexpensive plastic sheeting.

Storage of Records on Basement Floors

If you cannot afford pallets or shelving units that would keep records off of a damp floor, loosely wrap the outside of the boxes with clear plastic.

If the boxes do get wet, take the records out of the damp boxes as soon as possible.

Chemicals & Hazardous Materials

Never store records near hazardous chemicals or flammable materials, that if spilled would stain or otherwise damage your records.

Records Storage

Attics can easily reach a temperature of 100 degrees in the summer months in Illinois.

If at all possible store records in another location.

Also, attics frequently have mice and sometimes bird droppings.

Records Storage If records are stored in areas

where the roof leaks on occasion, cover the tops of the boxes or filing cabinets with plastic.

If at all possible do not store records near water heaters.

What Is A Good Storage

Box Size? A box that will hold

approximately 1 cubic foot of records is ideal.

Typical box dimensions of a 1 cubic foot box are: 15" x 12" x 10".

Boxes with lids and cut-outs for handles are preferred.

Storing Records In Cubic Foot Size Boxes

Legal size documents can be filed upright alongside the 15" side of the box

Letter-size documents can be

filed upright along the 12" side of the box.

Where Can I Buy The 1 Cu. Ft. Boxes?

Local Government Agencies may purchase the 1 cubic feet boxes from the Illinois Department of Corrections, Division of Industries

(217)782-558-2207 http://www.idoc.state.il.us/ (click

on the link for Industries) ici@idoc.state.il.us

Storing Heavier Materials

Materials of lesser dimensions such as 5" x 8" or 4" x 6" cards and microfilm reels can also be stored in the standard 1 cu. ft. storage box .

Be careful not to fill it above the handles when packing microfilm or heavier materials.

The Importance Of A Good Box Label

Record Series Title

Beginning & Ending Dates

Box Content List

Disposal Date

Sample Box Label

Box Listing

Office: Cafeteria Date: 7/6/05

Box No. Dates Title Item # Disposal Date

Retention Period

05-001 01/03-02/04 Health Dept. Inspection Reports

4 June 2008 3 Yrs.

05-002 03/04-06/05 Health Dept. Inspection Reports

4 June 2008 3 Yrs.

CONFIDENTIAL RECORDS

Whenever possible store in a locked room or cabinet

Confidential Records Information security is

not limited to paper documents.

When disposing of records which could be used for identity theft or violate privacy laws use a cross-cut multi-media shredder which can shred cd’s, floppy disks, and paper or you might opt to incinerate if there are no city ordinances restricting such.

Electronic Records Protect your computer records – i.e.

with firewalls, anti-spy software, passwords etc.

Store back up records off-site.

Electronic Records Storage

Take care with portable devices such as “Blackberries” (if found could someone hack into your system or gain confidential company information).

Electronic Records Storage

Do not leave cd’s, thumb drives, or other record media with confidential information where they could easily be stolen.

Imagine This Is Your School Library or Office

Does Your Disaster Plan Look Like This?

“HELP!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!”

Do You Think This Can Not Happen In Your

Town?

Capitol Avenue

Springfield, IL

This Photo Was Taken Inside the State Archives Bldg.

300 boxes were moved to the 1st floor in approximately 14 minutes

Disaster Preparedness

EMERGENCY

Or

DISASTER

Emergencies:

An adverse event that does not have widespread impact and does not require the use of extraordinary or prolonged resources to return conditions to normal.

DISASTERS:

An adverse event that is organization- wide or community-wide

Resulting in significant damage and loss that requires the use of prolonged or extraordinary resources to return conditions to normal

PURPOSE OF A DISASTER PLAN:

Ensure the safety of people;

Ensure continued delivery of critical and essential functions and services; Reduce losses and damage to

records, facilities, and systems.

BENEFITS OF A DISASTER PLAN:

Quick resumptions of business operations

Enhanced safety and awareness of risk

Protection of vital records and original records and information resources

FOUR PHASES OF EMERGENCY MANAGEMENT:

· Mitigation/Prevention· Preparedness· Response· Recovery

STEPS IN DEVELOPING A DISASTER

RECOVERY PLAN:

Secure approval from senior management

Collect Data Such as Names of Suppliers, Restoration Service Providers, and other Emergency Contacts

Develop and Write the Plan

STEPS IN DEVELOPING A DISASTER

RECOVERY PLAN: Distribute the Disaster Recovery Plan

and Train Your Employees (Disaster Planning Committee and Disaster Response Team)

Test and Exercise Evaluate Your Plan and Maintain the

Plan Updating Information About Vendors, Suppliers, etc. Every Six Months.

Suggested Components of a Records

and Information Disaster Plan: 1. Table of Contents

2. Introduction – Explain To The Employees Why A Disaster Plan Is Important & That They Will Be Called Upon For Certain Tasks

3. Copies Of Your Records Retention Schedule(s)

4. List Of Your Most Vital Records

5. List of Supplies and Equipment Needed

Additional Components Of A Disaster Plan

6. Vendor, Expert, and Contractor Information

7. Salvage and Recovery Procedures

8. Arrangements for off-site storage and/or recovery

9. Who is responsible for security and how will the site be secured.

Additional Components To A Disaster Recovery Plan:

Make A Phone Tree Include Home

Phone #’s Pager #’s Cell Phone #’s Designate Who Is

To Make The Calls And Who Will Be Responsible For Calling Each Team Member

P ho n e T ree

S he r ry W a rren(2 17)5 55-6 345

S a m M cC a ll(2 17)5 55-8 769

Jo hn K en ne dy(2 17)5 55-2 111

T o C a ll

M a rk Jaco bs(2 17)5 55-7 000

T o C a ll

J im H o pk ins(2 17)55 5-94 322

Ja ne S m ith(2 17)5 55-6 177

T o C a ll

Ja n e D oe(2 17)5 55-1 212

T o C a ll

List of Emergency Contacts

Medical, Utility, Emergency Responders Information

Location of Utilities Floor Plans &

Diagrams

Water Shut-off Locations

Power Shut-off Locations

Other Needs: 1. An air-conditioned space to which

damp and wet records can be moved.

2. Someone to help manage logistics for the transfer and control of records stored.

Supplies

Fans Dehumidifiers Flashlights With

Extra Batteries Clothesline or

Nylon Fishing Line

Disinfectant such as Lysol

Scissors

Additional Supplies

Milk Cartons Cafeteria Trays Storage Boxes Blotting Paper Freezer Paper Paper Towels Wet-dry

Vacuum

Supply List

Water Proof Markers Large Garbage Bags Plastic Garbage

Cans Large Rolls of

Plastic Rubber Gloves Camera to

Photograph Damages

Beginning The Clean-up

HANDLING WET DOCUMENTS

Paper is very fragile when it is wet. Handle it carefully.

CLEANING WET DOCUMENTS

If items are still wet, agitating them in a bath of clear water will remove excess dirt. This treatment should never be attempted for images which are blurred, feathered, or faded.

Dirt left by receding flood waters may be contaminated.

Precautions such as the use of rubber gloves should be taken when handling some documents.

.

AIR DRYING

Wet books, documents, or photographs which cannot be air dried within two days should be frozen to inhibit mold growth.

EMPLOYEES & MOLD Many people are sensitive to mold.

Also, some mold species are toxic.

If any health effects are observed when treating mold consult a doctor or mycologist before proceeding. The local health department may be able to help as well.

How Can I Tell If The Mold Spores Are Dormant?

Active mold looks fuzzy or slimy.

Dormant mold is dry and powdery.

If the mold appears fuzzy or slimy do not attempt to remove the mold; it may only spread or smear.

IDEAL CONDITIONS FOR MOLD GROWTH

The best way to prevent or stop an outbreak of mold is to remove items from environmental conditions that encourage mold growth:

•high temperature,

•high relative humidity,

•stagnant air, and

•darkness.

Mold Can Set Up In 48 Hours In A Humid Environment

CIRCULATING AIR Circulating air will effectively dry most

items.

Physical distortions may result, but document information will be saved.

To provide optimal air drying conditions, fans should be positioned for maximum air circulation (do not aim air flow directly at drying materials).

AIR DRYING TIPS Blotting material for air drying should

be clean and absorbent. Options include: blotter paper, unprinted newsprint paper, paper towels, clean rags, mattress pads, etc.

Screening material (such as window screens) well supported and stacked with space between them provide an excellent compact drying surface.

A porous surface assists air circulation and promotes drying.

GLOSSY MATERIALS Without intervention glossy materials

such as paperback book covers, magazines, art books, etc. are likely to stick together.

If they are highly valued, these items should be the first priority for salvage.

Loose glossy materials should be

spread out in one layer for air drying.

BOUND GLOSSY MATERIALS

Bound glossy materials must be interleaved between every page to prevent sticking.

Wax paper should be used as interleaving material.

Volumes of glossy paper dried in this way may suffer considerable physical distortion.

BOOKS Place interleaving material between the

text block and the front and back covers.

If time and supplies allow interleaving material should be placed intermittently throughout the text as well.

Fan volumes open and stand them on edge with the interleaving paper extending beyond the edges of the book.

ENHANCING THE DRYING OF BOOKS

Evaporation of water as it wicks into the interleaving paper will enhance drying.

Replace interleaving paper as it becomes soaked and invert the volume each time to insure even drying.

Microfilm Restoration

Microfilm must be kept wet until it can be dried properly. But do not keep immersed for more than 3 days.

Contact a microfilm processing lab for restoration.

If You Have Additional Questions About Disaster Planning and

Recovery Please Call:

Dottie Hopkins-Rehan, Conservator

(217)782-2610 John Reinhardt (217)524-6700 Gloria Huston (217)782-1082

Contacting the State Archives

Appointments with field representatives and questions about disposal certificates

(217)782-1080 Questions about retention periods (217)782-1082 Copies of teaching packets (217)782-2226 Questions about IRAD Records (217)785-1266