TITLE 44: GOVERNMENT CONTRACTS, PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE C: GOVERNMENTAL RECORDS
CHAPTER I: LOCAL RECORDS COMMISSION
PART 4000 LOCAL RECORDS COMMISSION
SECTION 4000.50 STANDARDS FOR THE REPRODUCTION OF RECORDS BY MICROPHOTOGRAPHIC PROCESSES WITH A VIEW TO THE DISPOSAL OF THE ORIGINAL RECORDS
Section 4000.50 Standards for the Reproduction of Records by Microphotographic Processes with a View to the Disposal of the Original Records
a) Prior to the destruction of any original records, papers or documents, the agency head having such records in his custody or under his supervision shall attach to each reproduction or continuous roll of reproductions, as the case may be, a certification substantially as follows:
Certificate of Intent
(Letterhead of Certifying Officer)
This is to certify and declare that the microfilmed records which appear on this roll of film are accurate and true images of records of the (Describe Office), __________________ State of Illinois, and that such records are microfilmed in the ordinary course of business and are preserved by microphotography on this roll of microfilm, exactly as in the original.
We also certify that the original records on this roll are to be destroyed or disposed of in accordance with statutes, and only after inspection of the film has assured the accuracy and completeness of these records and their film images.
We also certify that the microphotography used to commit these documents and records to microfilm complies with requirements of the Local Records Commission for permanency of film images.
b) Preparation of the records for filming.
All documents in the file shall be microfilmed, unless their size or physical form prevents microfilming, in which case an explanation of their omission shall be microfilmed at the appropriate point on the roll.
c) Integrity of the original records.
1) The integrity of the original records shall be preserved on photographic or microfilm copies, so that such copies will be adequate substitutes for the original records in that they will serve the purposes for which such records were created or maintained and that such copies will contain all significant record detail needed for probable future reference.
2) Prior to microfilming, the original documents shall be so prepared, arranged, classified and indexed as to readily permit the subsequent location, examination and reproduction of the photographs thereof. Any significant characteristics of the records which would not reflect photographically (e.g., that the record is indistinct or that certain figures are of a color not suited to recording on microfilm) shall be noted by the use of explanatory targets.
3) Each film roll shall be identified by:
A) a title target showing the name of the office having custody of the records, a brief title of the record series, inclusive dates, file arrangement and the number of the approved application authorizing the microfilming of the records.
B) a Certificate of intent, title target information (as listed in Section 4000.50 (c)(3)(A) and a "start file" target at the beginning of each reel of roll film.
C) an "end file" target and a Certificate of Authenticity placed at the end of each reel of roll film.
D) explanatory targets placed between the start file and end file targets as needed. Explanatory targets, for example, show omissions, deletions, misfiles, retakes, and information required pursuant to Subsection 4000.50(c)(2).
4) Each roll of original film or camera negative must be inspected after processing and before duplicate copies are made. The inspection must be conducted in such a manner as to reveal defects such as improper density, poor resolution, blurred or obscurred images, improper document sequence, or improper identification targets. If a defect prohibits a clear, legible, hard copy print from the film, the original records must be re-photographed. The inspection must follow one of the following procedures:
A) randomly sampling the film, making sure that the samples include the beginning, middle, and end of the roll or microfilm. (It is suggested that this be done on all film as a minimum quality control).
B) visually inspecting the film by passing each image through a reader and checking for overlapping, double or folded images, or other types of problems that would impair retreiving any information on the micro-images.
C) performing all of subsection (B) plus, counting the number of microimages on the film and comparing that against the number of documents that were to be microfilmed. (If the numbers coincide, the conclusion is made that every document has been microfilmed.)
D) individually comparing each document with each micro-image that was actually created. (This visual verification provides the highest assurance that every document has been properly filmed.)
5) If more than one percent of the original images need to be refilmed (approximately 30 images per roll), the entire roll must be refilmed.
6) The retake of documents must be spliced to the end of the film along with a Certificate of Addition. The storage container must be labeled to reflect these additions.
7) At the end of each roll shall be a certificate worded substantially as follows:
Certificate of Authenticity
(Service Company or Agency Letterhead)
This is to certify that the microfilmed images on this roll of microfilm starting with ___________ and ending with ____________ are true and accurate images of the documents of the (Describe office) ________________________________
These documents are microfilmed in the ordinary course of business as a part of the _________________________ (Service Company or Agency) procedures.
8) When the retaking of images is necessary the following certificate shall be required.
Certificate of Additions
(Service Company or Agency Letterhead)
This is to certify that the microfilmed images appearing on this roll of film between Start Additions and End Additions are true and accurate images of those documents of the (Describe office) ________________________ which were missing or proved unreadable upon inspection of the original roll, and are to be spliced to such original roll for its completion.
9) No splice will be permitted between the start file and end file targets except for the court ordered expungement of specific records. When such an order is issued, and deletions are made from the roll of film, a certification substantially as follows must be inserted at the beginning of the reel of film.
CERTIFICATE OF DELETION
This is to certify the deletion of microfilm images on this roll of microfilm occurred due to Court Order # _____________, dated_______________, signed by Judge ________________. No other images other than those listed in this order were deleted.
10) Each film carton shall be identified by a label or exterior marking showing:
A) roll number
B) name of office
C) title of record series
D) names of file units at the start of the roll, at space targets, and at the end of the roll.
E) the number of the application authorizing the microfilming of the record/record series.
11) Computer Output Microfilm (COM) is to be considered an original record and not a copy of an original record. Therefore, authentication requirements for source document microfilm, described in Sections 4000.50(c)(7),(8) and (9), do not apply to COM.
12) Microfiche and Aperture Cards
A) the microform must be an accurate representation of the original records.
B) the Certificate of Intent and Authenticity must appear on each microfiche or aperture card.
C) the headings on each fiche or aperture card must be legible without magnification, and must include the name of the office having custody of the records, a brief title of the record series, inclusive dates and approved application number.
D) any index registers or other finding aids must be microfilmed and located within the collection of filmed records.
13) Updateable Microfiche Systems:
An agency considering using an updateable microfiche system should first contact the Local Records Unit to review the proposed application. The use of the updateable system will be approved if the Updateable Microfiche meet the following specifications:
A) each microfiche must have the specified targets at the beginning and end of each fiche. A certificate of intent and a certificate of authenticity are the minimum allowed.
B) each time a microfiche is updated, either a certificate of authenticity must be inserted at the end of the added documents or annotated reference to the certificate of authenticity must appear on each added image.
C) only records bearing retention periods of seven years or less may be placed on updateable microforms.
D) if a court ordered expungement is necessary a certificate of deletion must appear at the place of the deleted image.
14) Prior to the destruction of records microfilmed under the authority of approved records schedules, the agency shall file with the Local Records Commission a statement of compliance with its standards governing the microfilming of records. The statement shall include:
A) Name of agency having custody of the records.
C) Title and inclusive dates of the records series
D) The number of the list or schedule approved by the Local Records Commission authorizing the project.
E) A statement as follows:
"I hereby certify that the film on which the records were reproduced complies with the standards given in Section 4000.60 of the rules of the Local Records Commission."
F) Signature of the microfilm project supervisor or records custodian.
15) Master or Security Copy
The security or master microform shall not be used for reference purposes. Duplicates shall be used for reference and for further duplication on a recurring basis or for large-scale duplication, as for distribution of records on microforms. Agency procedures shall ensure that master microforms remain clean and undamaged during the duplication process. The agency may deposit a silver based film of permanent record materials in the Illinois State Archives, in roll form only.
Security or Master films of permanent record microforms, and records microfilmed to dispose of the original record, shall be inspected every 2 years during their scheduled life. The inspection shall be made using a 1 percent randomly selected sample in the following categories: 70 percent – microforms not previously tested, 20 percent – microforms tested in the last inspection, and 10 percent – control group. The control group shall represent samples of microforms from the oldest microforms filmed through the most current.
(Source: Amended at 9 Ill. Reg. 17796, effective November 5, 1985)