When requested by state agency officials, the State Records Unit 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 state agencies for the purposes of:

• Providing for the economical and efficient management of the records of an agency.
• Analyzing, developing and promoting procedures and techniques designed to improve the management of records.
• Establishing appropriate retentions for an agency’s records.
• Facilitating the segregation, storage and disposal of records with temporary value.
• Insuring the maintenance and security of records deemed appropriate for permanent preservation.

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. The State Records Unit field representatives will in most instances conduct the records inventory. Inventory Worksheets (Form AR D-62.1) were designed to collect the information essential for a successful records inventory.

	Click here to find out how to obtain the Adobe Acrobat Reader.
	Click here to see a completed Inventory Worksheet. (Requires Adobe Acrobat Reader 3.0 or later).

1. Date — of completion of form.
2. Number — of the inventory worksheet. You may be submitting more than one page.
3. Record Series — the title of a group of related records used, filed and evaluated as a unit for disposition purposes.
4. Dates — a beginning date of the series described should be given. When a specific date cannot be determined, an estimated date should be given for records that are no longer created or required.
5. Volume — the total number of cubic feet of the record series in existence at the time of the inventory. For estimating purposes, click here.
6. Annual Accumulation — the accumulation, in cubic feet, of the series for the most recent year.
7. Number and Size of Files or Documents — this space should be used to indicate the type of documents in the file. Either the physical measurements of the documents (length and width) or a description of the documents (IBM cards or 16mm microfilm or ledger sheets, with size, etc.)
8. Arrangement — most series are arranged chronologically, alphabetically, numerically or by status (active or inactive or closed). Secondary or tertiary arrangements should be listed as follows: "chronological and alphabetical by license thereunder."
9. Agency — the official designation of the state agency.
10. Division and
11. Subdivision — the secondary administrative division of the agency, whether known as division, office or section.
12. Office Location — the location of the office of the person having responsibility for the records.
13. Representative — (name, title, phone) gives the information concerning the person responsible for the record series.
14. Index or Finding Aids — should be described briefly. Usually the form of the index should be indicated, such as "3 x 5 card index" or "microfilm."
15. Description — the detailed and accurate description of each record series. This description should be sufficiently detailed to enable the State Records Commission to appraise the value of the record series proposed for disposal. Records officers should explain in detail the function of the record and identify it so that misunderstandings regarding the record’s identity, use, and information on the worksheet are minimized. The description will generally be completed by the State Records Unit field representatives after the initial visit to the agency.
16. Recommendation — Dispositions should be specified in terms of years or months. When a specified retention period depends upon the occurrence of an event or the completion of a transaction, the nature of the event or transaction should be indicated. It is at this point that the appraisal process begins. This process is a joint analysis of the record series by the agency personnel and the State Records Unit Field Representatives.

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. By appraising records you may:

• Establish reasonable retention periods.
• Identify records that can be destroyed immediately.
• Identify records that can be transferred to a records center.
• Identify records with lasting value that should be placed in the State Archives.

The values that should be considered in appraising records are:

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. However, some administrative records contain basic facts about an agency’s origin, policies, functions, organization, and significant administrative decisions. These records should be preserved to provide adequate documentation of an agency’s operations.

Legal Value — Records have legal value if they contain evidence of legally enforceable rights or obligations of the state 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 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.

Establishing Retention Periods
Once the appraisal process has been completed for the record series, the retention period becomes much more evident. If the record series has high reference value for only the first two years after its creation, but has ongoing fiscal or legal value for four (4) additional years, the following retention would be suitable:

"Retain two (2) years in office, transfer to records center for four (4) years, then dispose of . . . "

If the record series has high reference for its entire life and it was determined through the appraisal process to have administrative/legal value for ten (10) years, then its retention should be:

"Retain ten (10) years in office, then dispose of . . . "

If the record series is needed for administrative reference for three (3) years and the appraisal determined that it contains important historical/archival value, then the proper retention would be:

"Retain three (3) years in office, then transfer to the State Archives for permanent retention."

Records Retention Schedule
Section 18 of the Illinois State Records Act requires the head of each agency to submit to the State Records Commission lists or schedules of records in his/her custody that the agency wishes to dispose of or transfer from the agency’s offices to a records center. It is the duty of the Commission to determine what records should be destroyed or disposed of otherwise. Records proposed for destruction or transfer are submitted to the Commission on an Application For Authority To Dispose of State Records (Form RM/M RM-7.3) more commonly referred to as the "records retention schedule."

The form is the final, typed version of the inventory worksheet that was developed by the agency and the State Records Unit. The form must be signed by the head of the agency prior to submission to the State Records Commission. Meetings of the State Records Commission are held monthly in the Norton Building, and hearings of the Commission are open to the public. Agencies submitting schedules for Commission action may be requested to send representatives to answer questions raised by members of the Commission. After the Commission has acted upon an agency’s records schedule application, a copy will be returned to the agency with the action clearly indicated. The form then becomes the initiating agency’s ongoing authority to carry through with the terms of the recommendation (retention period), whether it be to destroy the records, transfer them to the records center, transfer to the State Archives, or some other disposition.

	Click here to find out how to obtain the Adobe Acrobat Reader.
	Click here to see an approved Records Retention Schedule. (Requires Adobe Acrobat Reader 3.0 or later).

Direct Office Disposal — If the agency’s approved Records Retention Schedule authorizes the destruction of records stored in the agency’s own office(s), the State Records Disposal Certificate must be completed and approved by the chairman of the State Records Commission prior to the physical destruction of the agency’s files. Generally, the Disposal Certificate should be submitted 30 days prior to the date of proposed destruction. However, this 30-day waiting period may be waived if immediate destruction is desired.

	Click here to find out how to obtain the Adobe Acrobat Reader.
	Click here to see a completed Disposal Certificate. (Requires Adobe Acrobat Reader 3.0 or later).

Archival Transfer — If the agency’s approved Records Retention Schedule provides for the transfer of agency files to the State Archives after retention in the office, Form AR D-50.1 (Archives Records Transfer Sheet) and if necessary, Form AR D-109 (Archives Records Transfer Sheet – supplementary page) is completed and included with the records when they are transferred to the Archives. It is the responsibility of the agency to arrange for the physical transfer of records coming into the Archives. Click here for an Archives Records Transfer Sheet and a State Records Security Microfilm Transfer Sheet.

State Records Center
The most common problem all records personnel face is the lack of adequate storage space for semi-current records. The appraisal process mentioned previously illustrates that records quickly lose immediate reference value, but still must be maintained due to long term fiscal, legal or administrative needs, which may occur infrequently but make their prompt retrieval no less important. The office space devoted to the storage of semi-current records can be a basement, attic, closet, hallway or a space on the top of file cabinets or between desks. Whichever type it is, the storage of semi-current records in such locations results in a substantial (and unnecessary) expenditure for storage space for records that are not heavily referenced. The Illinois State Records Center was established to provide low-cost, secure storage for the semi-current records of state agencies. The State Records Center can provide reference service for all records deposited in the facility. The Record Center’s principal advantage for state agencies is that it provides free storage for records that the State Records Commission has approved for Records Center storage. Following are examples of the cost savings realized by using the State Records Center:

Cost of Records Center Storage vs. Private Office Space
Under current market rates the storage of one cubic foot of record material in working office space costs approximately $15 per year. The cost of maintaining one cubic foot of record material in the State Records Center is $2.63 per year.

These figures are based on the following calculations:

Taking these factors into consideration the State Records Center gives agency records officers their most direct and practical justification for developing a records management program for their agency’s records.

Procedures for Using the State Records Center
Please refer to the Illinois State Archives’ Basic Procedures For Using the Illinois State Records Center.

Back to State Records Management Manual – Table of Contents page