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Procedures 436 : Records Management

• 436.1-436.5  General Procedures
• ATTACHMENT I INDEX OF DCFS RECORD SCHEDULES

The purpose of these procedures is to provide Department Administrators with step-by-step guidelines for the proper use of the DCFS Records Management Program. For questions regarding these procedures consult the Records Manager in the Office of Communication/Community Relations, One North Old State Capitol Plaza, Springfield, Telephone: (217) 785-2496.

The DCFS Records Management Program is operated in conjunction with the Archives and Records Division of the Secretary of State. Its purpose is to provide storage and reference service of semi-current records that the State Records Commission has approved for Records Center storage.

Developing a Record Schedule

Every unit of the Department that gathers, stores and retains data pertaining to the operation of the Department, and said data has fiscal, administrative or historical value, must develop a records retention schedule to legally retain, destroy or transfer to storage the unit records.

To develop a records retention schedule, the Division head must request the Records Manager to conduct an inventory of unit records, and with a field representative of the State Records Management Unit, Office of the Secretary of State, an application will be developed. The inventory will include interviews with unit heads, operations staff and a gathering of sample documents.

A draft schedule will be prepared and returned to the unit head for approval or revision. Upon unit approval, the final draft must have the agency head's approval prior to submitting to the Illinois Records Commission. When DCFS has items on the commission agenda, the Records Manager, along with a representative of the unit applying, will attend the Records Commission to explain or answer inquiries about the proposed schedule.

Only records which have an approved active records retention schedule which calls for Records Center retention are eligible for transfer to the Records Center. In selecting records for transfer, you should accurately comply with the recommended time periods for retention in the office and, afterwards, in the Records Center. Through periodic or annual reviews of your office's files, you should be able to determine records eligible for transfer or destruction.

Attachment I of these procedures contains a listing of the current applicable retention schedules for Department records.

Preparing Records for Storage

In preparing records for transfer, you will need standard records storage boxes, form CFS 832, Records Management and Records Center box labels. The standard records storage boxes can be obtained from the Central Management Services Office Supply section located at 126 West Jefferson Street, Springfield, Illinois 62706. The CFS 832 may be obtained from DCFS Central Stores and Records Center box labels from the Records Manager.

All records sent to the Records Center must be packed in a standard records storage box which is capable of holding one cubic foot of records. You can determine the number of boxes you will need by using these guidelines:

a) For letter size files, one full drawer will fill 1½ boxes;

b) For legal size files, one full drawer will fill 2 boxes; and

c) For undersized materials, calculate the total number of linear inches of material and divide by the total number of linear inches of item which fit in a standard box.

In preparing records for transfer, you should use the proper Application for Authority to Dispose of State's records (records retention schedule) or consult with the Records Manager to obtain necessary information. If you have more than one records series to transfer, you must make separate listings of CFS 832 forms for each series. The 832 should be prepared in duplicate.

Procedures for Completing Forms

Records management form CFS 832

1. Date: Date on which 832 is prepared.

2. Division: Region or Division office.

3. Unit: Indicate Field Office or Unit designation.

4. Page No.: Indicate page of total pages and what box that page applies to the total boxes.

5. Records are to be: Either stored in State Records Center or request permission to destroy.

6. Disposition Schedule No.: This is the record schedule that applies to a specific series of records.

7. State Records Center Box No.: This number will be sent to you after records are stored and must be used when recalling records.

8. DCFS Shipment No.: Request this number from records manager when records are being prepared for storage or destruction.

Preparing the Records Center Box Labels

The records center box labels should be prepared to correspond to the form CFS 832. The title of the first and last file in the box should be marked

in the "Series this Box" section of the label. The remaining entries of the label should correspond with what is listed on the CFS 832 forms. You do not have to fill out the "Disposal Date" and "Records Center Box Number" section. After the labels are completed, they must be placed under the handle on the front or narrow end of the box.

Records Retention/Disposition Schedule

The Records Retention/Disposition Schedule is the grant of authority to an agency by the State Records Commission to manage a series of records. Each disposition schedule covers a specific records series and is a continuing authority granted in response to an application initiated by an agency. A copy of the schedule applicable to the unit's operation is available from the Records Manager.

Transferring the Boxes to Records Center

After completing the 832 forms and the record center box labels, send the 832 sheets with one copy to the DCFS Records Manager in Central Office. Retain the second copy for reference purposes.

After receiving the 832 forms, the Records Manager will examine them for correctness. The Records Manager will then complete record transfer sheets and notify the State Records Center of your shipment and you will be notified of approval to ship records.

If your office is in the Springfield area, the Records Center staff will pick up your records. If you hold records outside the Springfield area, the boxes may be shipped through a pre-paid common carrier.

Records may also be delivered to the Center by staff.

You must wait for authorization from the Records Manager before shipping.

After the boxes are received, the Records Center staff completes the forms by filling in the "disposal date", "retention period", and "record center box number" columns. Corresponding entries are also made on the Records Center box labels. A copy of the completed transfer sheet will then be returned to you for filing with your remaining copy of the 832 form.

Recalling Records

The State Records Center is a secure storage facility and will honor requests only from the Records Manager.

When requesting records you must identify the record by name, I.D. Number, agency box number and most importantly, records center box number. The records center box number is located in Column 13 of the Records Transfer Sheet that is returned to your office after the shipment is stored in the Records Center.

Requests made by telephone must be followed up with a written request.

Disposal of Records by the Records Center

Unless otherwise arranged, records in storage are destroyed by the Records

Center in accordance with the approved records retention schedule. The Records Manager is notified of disposal dates by the Record Center. The disposal date of stored records is located in Column 11 of the Records Transfer Sheet.

Non-Record Materials

The following is a State Records Commission guide and description of non-record materials:

A. Material not filed as evidence of administrative activity or for the informational content thereof.

B. Extra copies of documents preserved only for convenience of reference.

C. Stocks of printed or reproduced documents kept for supply purposes, where file copies have been retained for record purposes.

D. Books, periodicals, newspapers, posters and other library and museum materials made or acquired and preserved solely for reference or exhibition purposes.

E. Private materials neither made nor received by a State agency pursuant to State law or in connection with the transaction of public business.

F. Perforated, magnetized and photographically coated cards and tapes, provided that documents containing the same information have been filed in the same office and such cards and tapes were not prepared as evidence of administrative decisions or transactions subject to audit.

G. Catalogs, trade journals.

H. Copy device copies.

I. Transmittal letters/routing slips.

J. Miscellaneous notices.

K. Preliminary drafts.

L. Reproduction material.

M. Telephone message -- notes.

N. Shorthand notes.

Non-record materials may be destroyed at any time by the agency in possession of such materials without the prior approval of the State Records Commission.

Whenever doubt arises whether certain papers are non-record materials, it should be presumed that they are records.