Title: Managing Your Records And The
1Managing Your Records And The Local Records
Act
2Are 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.
3The 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.
4What 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
5Local Records Commission Members
- A Chairman of a County Board, who shall serve as
the Chairman of the Commission. - A County Auditor
- A States Attorney
- A Mayor or President of a City, Village, or
Incorporated Town - All of the aforementioned are appointed by the
Governor
6Local Records Commission Members
- The State Archivist and
- The State Historian
7Local 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.
8Norton Building
9How 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.
10What 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,
11Public 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.
12Non-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.)
13Are 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.
14Can 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.
15What 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.
16Disposing 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.
17Digitized 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.
18Freedom 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."
19FOI Act
- For more detailed information about the Freedom
of Information Act please contact the IL
Attorney Generals Office (217)782-1090 - http//www.ag.state.il.us/
20What 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
21Why 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.
22Other 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.
23Preparing For Our Visit
- Make Sure The Area Where The Records Are
Maintained Is Easily Accessible
24Provide Easy Access To Records That Are To Be
Inventoried
25What 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.
26How 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.
27After The Inventory
- The field representative will prepare all the
necessary documentation for submission to the
Local Records Commission for you.
28Application 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.
29(No Transcript)
30Records 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 -
31There 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.
32Digitizing 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.
33What Will My Records Retention Schedule Look Like?
34(No Transcript)
35The Item No. And the Record Series Title
Description of Items or Record Series
103. Bids, Specifications, and Proposals
36What 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-
37What 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.
38Miscellaneous 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.
39Annual 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
40How Was The Series Filed?
- Arrangement Chronological and
Numerical by Project No. - Arrangement Alphabetical
- Arrangement Numerical
- Arrangement 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
41The 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.
42Must 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.
43How Often Should Disposal Certificates Be
Submitted?
- Most agencies will submit one disposal
certificate per year.
44How 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
45Appraisal 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.
46By 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
47Administrative 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. -
48Administrative Value
- However, some administrative records contain
basic facts about an agencys origin, policies,
functions, organization, and significant
administrative decisions. - These types of records should be preserved to
provide adequate documentation of an agencys
operations. - An example of a record with a permanent
administrative value agency rules, regulations,
policies, and procedures
49Legal 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.
50Fiscal 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.
51Research, 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.
52Special 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."
53Work 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
54Student Records
- The retention period for student records is taken
directly from the Student Records Act
55We Have Received Our New Application. What Is
Our Next Step?
- Educate your staff about
- the Local Records Act.
56Should 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.
57Disposal Certificates
- File all disposal certificates with the
Application. - Establish who will complete the Disposal
Certificates in the future.
58Disposing 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.
59Sample Local Records Disposal Certificate
60The 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.
61(No Transcript)
62Completing 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.
63What 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
64IRAD
- 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.
65If 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
66IRAD DEPOSITORIES
- Northern IL University
- Northeastern IL University
- Western IL University
- IL State University
- University of IL Springfield
- Eastern IL University
- Southern IL University Carbondale
67Does Your Storage Area Look Like This?
68Or Perhaps This?
69Or Maybe Someone Thought Using The Old Drunk Tank
Would Make A Good Records Storage Area
70What 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
71Storing Blueprints
72Temperature 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.
73Effects of Humidity
- High humidity can cause mold spores to activate
hot and dry conditions can result in brittle
documents.
74Tips on Records Storage
- Take pro-active measures to prevent future
damages to your records
75Storage 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.
76Storing Records on Pallets
- Plastic pallets are preferable however,
sometimes you can find free wooden pallets that
can be covered with inexpensive plastic sheeting.
77Storage 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.
78Chemicals Hazardous Materials
- Never store records near hazardous chemicals or
flammable materials, that if spilled would stain
or otherwise damage your records.
79Records 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.
80Records 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.
81What 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.
82Storing 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.
83Where 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_at_idoc.state.il.us
84Storing 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.
85The Importance Of A Good Box Label
- Record Series Title
- Beginning Ending Dates
- Box Content List
- Disposal Date
86Sample Box Label
87Box Listing
Office Office Cafeteria 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.
88CONFIDENTIAL RECORDS
- Whenever possible store in a locked room or
cabinet
89Confidential 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
cds, floppy disks, and paper or you might opt to
incinerate if there are no city ordinances
restricting such.
90Electronic Records
- Protect your computer records i.e. with
firewalls, anti-spy software, passwords etc. - Store back up records off-site.
91Electronic Records Storage
- Take care with portable devices such as
Blackberries (if found could someone hack into
your system or gain confidential company
information).
92Electronic Records Storage
- Do not leave cds, thumb drives, or other record
media with confidential information where they
could easily be stolen.
93Imagine This Is Your School Library or Office
94Does Your Disaster Plan Look Like This?
- HELP!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
95Do You Think This Can Not Happen In Your Town?
Capitol Avenue Springfield, IL
96This Photo Was Taken Inside the State Archives
Bldg.
- 300 boxes were moved to the 1st floor in
approximately 14 minutes
97Disaster Preparedness
98Emergencies
- 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.
99DISASTERS
- 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
Grafton, IL
100PURPOSE 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.
101BENEFITS 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
102FOUR PHASES OF EMERGENCY MANAGEMENT
- Mitigation/Prevention
- Preparedness
- Response
- Recovery
103STEPS 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
104STEPS 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.
105Suggested Components of a Recordsand 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
106Additional 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.
107Additional 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
108List of Emergency Contacts
- Medical, Utility, Emergency
- Responders Information
109Location of Utilities
- Floor Plans Diagrams
- Water Shut-off Locations
- Power Shut-off Locations
110Other 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.
111Supplies
- Fans
- Dehumidifiers
- Flashlights With Extra Batteries
- Clothesline or Nylon Fishing Line
- Disinfectant such as Lysol
- Scissors
112Additional Supplies
- Milk Cartons
- Cafeteria Trays
- Storage Boxes
- Blotting Paper
- Freezer Paper
- Paper Towels
- Wet-dry Vacuum
113Supply List
- Water Proof Markers
- Large Garbage Bags
- Plastic Garbage Cans
- Large Rolls of Plastic
- Rubber Gloves
- Camera to Photograph Damages
114Beginning The Clean-up
115HANDLING WET DOCUMENTS
- Paper is very fragile when it is wet. Handle
it carefully.
116CLEANING 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.
117AIR DRYING
- Wet books, documents, or photographs which cannot
be air dried within two days should be frozen to
inhibit mold growth.
.
118EMPLOYEES 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.
119How 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.
120IDEAL 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.
121Mold Can Set Up In 48 Hours In A Humid
Environment
122CIRCULATING 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).
123AIR 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.
124GLOSSY 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.
125BOUND 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.
126BOOKS
- 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.
127ENHANCING 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.
128Microfilm 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.
129If 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
130Contacting 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