Section 4400.25  Record Management

a)         The Act [5 ILCS 160] places with the Secretary of State the responsibility to provide the expertise and technical assistance necessary for State agencies to properly manage their records. The Secretary provides this service through the Illinois State Archives − Records Management Section.

b)         The Act places three major responsibilities on State agencies:

1)         No record shall be disposed of by any State agency unless the approval of the State Records Commission is first obtained.

2)         The head of each agency shall establish and maintain an active, continuing program for the economical and efficient management of records of the agency.

3)         The head of each agency shall submit to the Commission lists or schedules of records in his or her custody that are not needed in the transaction of public business and do not warrant further preservation. Any person who knowingly and without lawful authority alters, destroys, defaces, removes, or conceals any public record is guilty of a Class 4 felony as provided in Section 11 of the Act and Section 32-8 of the Criminal Code of 2012 [720 ILCS 5/32-8].

c)         When requested by authorized State agency officials, the State Archives field representatives present the records management program to the agency and provide guidance in the implementation of records management practices. The field representatives personally contact the State agencies for the purposes of:

1)         providing for the economical and efficient management of the records of an agency;

2)         analyzing, developing, promoting, coordinating and promulgating standards, procedures and techniques designed to improve the management of records;

3)         establishing retention policies for an agency's records;

4)         facilitating the segregation, storage and disposal of records with temporary value; and

5)         insuring the maintenance and security of records deemed for permanent preservation.

d)         The Commission has set standards for the reproduction of public records by micrographic, digital and electronic microimaging processes. Standards regarding the quality of film, preparation and identification of records and proper certification of copies are provided in Sections 4400.50 and 4400.60. Standards for the reproduction of records using digital formats are provided in Section 4400.70.

e)         The field representative will complete a records inventory for the State agency. The inventory serves as the basis for determining the records program required. The records inventory worksheet shall contain the following information:

1)         the date the worksheet was completed;

2)         the number of the worksheet;

3)         the records series title;

4)         the beginning date of the series or an estimated date for records no longer created or required;

5)         the total record series in existence at the time of the inventory;

6)         the accumulation of the record series for the most recent year;

7)         the physical measurements of the documents or a description of the documents;

8)         whether the series is arranged chronologically, alphabetically or numerically or by status (active, inactive or closed);

9)         the official designation of the State agency and the division and/or subdivision if appropriate;

10)         the location of the office of the person having responsibility for the records;

11)         the name, title and phone number of the person responsible for the records;

12)         a description of the index or finding aid for the records;

13)         a detailed and accurate description of each record series; and

14)         the recommendation regarding retention of records in terms of years or months.

f)         The values considered by the State Archives in appraising records for retention purposes are as follows:

1)         the administrative value;

2)         the legal value;

3)         the fiscal value; and

4)         the research, historical, or archival value.

g)         The State Archives will examine the records in light of the values listed in subsection (f) to determine if the records should be retained by the agency, transferred to the State Archives, or destroyed.

h)         If the agency's approved Record Retention Schedule authorized the destruction of records stored in the agency's own offices, the Records Disposal Certificate shall be completed and approved by the Chairman of the Commission prior to the physical destruction of the agency's files. The Records Disposal Certificate shall be submitted to the Commission 30 days prior to the date of the proposed destruction unless the waiting period has been waived by the Chairman.

i)          If the agency's approved Records Retention Schedule provides for the transfer of agency files to the State Archives after retention in the office, the Archives Records Transfer Sheet shall be completed and included with the records when they are transferred to the Archives.

j)          All forms required for the actions noted in this Section shall be provided to agencies by the State Archives.

(Source:  Amended at 39 Ill. Reg. 3031, effective February 11, 2015)