Chicago Police DepartmentSpecial Order S09-03-01
Records Management
Issue Date:06 April 2004Effective Date:07 April 2004
Rescinds:A04-01
Index Category:Information Management
I.Purpose
This directive delineates unit responsibilities for the maintenance, retention, transfer, storage, and disposal of Department records.
II.Unit Responsibilities
  • A.The Research and Development Division will:
    • 1.prepare and update, as necessary, the (CPD-11.717) Forms Retention Schedule and Department Record Index which prescribe the orderly disposition of Departmental records.
    • 2.act as the Department liaison with the Local Records Commission of Cook County and the Illinois State Archives to adhere to the Local Records Act .
  • B.Inspection Division
    Inspection Division will audit unit files for compliance with the requirements of the Forms Retention Schedule (CPD-11.717) and Department Record Index. Any noncompliance will be reported to the responsible unit commanding officer of command staff rank and the appropriate bureau chief.
  • C.Records Division
    The Records Division maintains records in three locations by the type of record and the length of time it must be stored.
    • 1.The Records Inquiry and Customer Services Section, stores original field-generated case, supplementary, and traffic crash reports for the current year and the immediate previous year.
      NOTE:
      The Records Inquiry and Customer Services Section is the gateway for the public, Department members, outside law enforcement agencies , and authorized governmental agencies to request any RD-numbered report.
    • 2.The Records Storage Center:
      • a.stores original field-generated case, supplementary, and traffic crash reports that are older than the immediate previous year, but not beyond eight years old.
      • b.is the repository for all unit documents as delineated in the Forms Retention Schedule. Unit level documents are normally stored at the Records Storage Center for up to five years.
    • 3.The off-site Records Warehouse stores unit records that require a retention period of six years or longer.
      NOTE:
      Upon receipt of an approved (CPD-31.409) Records Disposal Certificate , the Commanding Officer, Records Inquiry and Customer Service Section will authorize the destruction of records under the control of the Records Storage Center or the off-site Records Warehouse. Records are destroyed on the “disposal date” indicated on the Records Storage Label (CPD-31.601) in conformance with the Forms Retention Schedule and the Department Record Index.
  • D.All Department Units
    • 1.Department units will:
      • a.retain records in conformance with the Forms Retention Schedule and the Department Record Index.
      • b.arrange for transfer of records to the Records Storage Center as set forth in Item III-A of this directive.
    • 2.When preparing records for storage, units will use approved storage boxes and labels. The Records Storage Label (CPD-31.601) will be completed in full, with the appropriate CPD form number entered on each label. Storage boxes and labels are available from the Records Storage Center.
      NOTE:
      The Records Storage Center accepts only records which have been properly boxed and labeled. Records not properly boxed and labeled will not be accepted.
    • 3.Unit commanding officers will consult with the Research and Development Division for guidance whenever establishing forms or records retention periods.
III.Records Transfer and Disposal Procedures
  • A.Records Transfer
    • 1.When transferring records to the Records Storage Center or the off-site Records Warehouse, unit commanding officers will ensure that the records to be transferred are boxed and labeled as set forth in Item II-D-2 of this directive.
    • 2.Units located in the Central Police Headquarters building will transfer their unit records to the Records Storage Center.
    • 3.Units not located in the Central Police Headquarters building or any unit requesting bulk transfer will submit a report to the Chief, Bureau of Administration, to the attention of the Department of General Services, requesting that records be picked up and delivered to the Records Storage Center or off-site Records Warehouse as indicated in this directive. Requests will be made on an as-needed basis, but normally will not be made until the unit has accumulated twenty boxes of records requiring transfer or disposal.
  • B.Records Disposal
    Unit commanding officers who desire to dispose of records under their control will consult the Department Record Index or Forms Retention Schedule (CPD-11.717) to ascertain whether the record is listed and if the retention period has been met.
    • 1.If the record is listed, the unit commanding officer will ensure that:
      • a.a Records Disposal Certificate (CPD-31.409) is prepared in duplicate at least 60 days prior to the requested disposal date.
      • b.only assigned application items are inserted into the column allocated for “Application No.” These item numbers can be found by referring to the Forms Retention Schedule and/or the Department Record Index.
      • c.if the records to be destroyed are part of a formset, the copies are listed by color, if applicable, or are described as listed in the Forms Retention Schedule.
      • d.the name and Citynet telephone number of the person preparing the Record Disposal Certificate are entered on the upper right-hand portion of the form.
    • 2.Upon completion of the Records Disposal Certificate (CPD-31.409), the unit commanding officer will:
      • a.send the original, by United States Mail, via the Police Document Services Section, to:
        Manager, Local Records Unit
        Illinois State Archives
        Archives Building
        Springfield, Illinois 62756
      • b.retain a copy in the unit file in conformance with the Forms Retention Schedule.
    • 3.Upon return of the signed certificate, unit commanding officers will:
      • a.send a copy of the approved Records Disposal Certificate to the Commanding Officer, Records Inquiry and Customer Services Section, who will authorize the disposal.
        NOTE:
        Records destroyed at the Records Storage Center will be shredded upon availability of manpower. For bulk destruction, a request will be submitted to the Chief, Bureau of Administration, to the attention of the Department of General Services.
      • b.dispose of all copies of the Records Disposal Certificate and place the approved original in the unit file to be retained in conformance with the Forms Retention Schedule.
    • 4.Units with records stored outside the Central Police Headquarters building, Records Storage Center, and the off-site Records Warehouse will submit a request to the Chief, Bureau of Administration, to the attention of the Department of General Services, as set forth in Item III-A-3 of this directive.
    • 5.If the record is not listed, the unit commanding officer will ensure that four copies of an Application for Authority to Dispose of Local Records (CPD-31.408) are prepared and:
      • a.attach a sample of each record or record series to the original of the application and send it and one copy to the Local Records Commission . Additionally, the unit commanding officer will retain one copy in the unit file in accordance with the Forms Retention Schedule.
      • b.when the signed application is returned from the Local Records Commission:
        • (1)follow the procedures outlined in Item III-B of this directive and add the name, item number, and recommended retention period to the unit’s copy of the Department Record Index.
        • (2)forward one copy, via the Police Document Services Section, to the respective unit’s bureau chief, or to the Commander, Office of the Superintendent, if the unit is in the Office of the Superintendent, who will ensure that it is inserted into the appropriate section of that unit’s copy of the Application Record Index book.
    • 6.Records may be accumulated beyond the authorized retention period for an additional period of time not to exceed six police periods. Whenever records are accumulated in this manner, they will be maintained in a separate inactive file according to their authorized retention periods.
IV.Imaging Records
  • A.Any public record may be reproduced in an imaging format. The original of any reproduced record may be disposed of providing:
    • 1.the reproduction process forms a durable medium that accurately and legibly reproduces the original record in all details that does not permit additions, deletions, or changes to the original document images and, if electronic, the records are retained in a trustworthy manner so that records and information contained in the records are accessible and usable for subsequent reference at all times while the information must be retained.
    • 2.the reproduction is retained for the prescribed retention period of the original.
    • 3.the Local Records Commission is notified when the original record is disposed and also when the reproduced record is disposed.
  • B.Records may be disposed of according to the retention schedule for that record series.
  • C.Documents may be imaged:
    • 1.to retain them for long periods of time.
    • 2.for security of records with a corresponding duplicate file.
    • 3.to protect vital records.
    • 4.for high-speed retrieval of records.
    • 5.to control access to and retain strict confidentiality of records.
    • 6.to preserve historical records from aging and deterioration.
V.Digitized Electronic Records
The Chief, Bureau of Administration, may:
  • A.authorize the storage of digitized electronic records indefinitely.
  • B.electronically archive digitized electronic records after:
    • 1.the retention period for the paper record has expired, and
    • 2.the paper record has been destroyed.
  • C.authorize the disposal of digitized electronic records if there is sufficient reason and the paper record has been destroyed consistent with the provisions of this directive.
Philip J. Cline
Superintendent of Police
00-160 CLN [LBM]
GLOSSARY TERMS:
1.
Forms Retention Schedule
-
  • A.An alphabetical listing of all Departmental forms that are to be retained, with their retention periods.
    NOTE:
    Forms that are not to be retained, i.e., form letters sent to citizens, certificates given to Department members, etc., are not listed in this schedule.
2.
Department Record Index
-
A compiled inventory of Department administrative files and records with retention periods established for each record/record series arranged by unit.
3.
Local Records Commission
-
  • The Local Records Commission consists of six members: the president of the county board, who acts as the chairman of the Commission; the mayor of the most populous city in the county; the State’s attorney of the county; the County comptroller; the Secretary of State; and the State historian. The Commission issues regulations and establishes procedures for:
    • 1.compiling and submitting to the Commission lists and schedules of public records proposed for retention;
    • 2.the physical destruction or other disposition of such public records, and;
    • 3.the standardization in reproduction of such public records.
      NOTE:
      Except as otherwise provided by law, no public record will be disposed of by any officer or agency unless the written approval of the appropriate Local Records Commission is first obtained.
4.
Local Records Act
-
The Local Records Act, 50 ILCS 205, regulates the management, preservation, and disposal of the public records of any county, municipal corporation, political subdivision, or courts of the State of Illinois. It names the Secretary of State as the local record’s advisor who will appoint assistants as necessary to assist local governments in carrying out the purpose of this act.
5.
Agency
-
Any court and all parts, boards, departments, bureaus, and commissions of any county, municipal corporation, or political subdivision.
6.
Records Disposal Certificate
-
A form used to inform the Local Records Commission of the date on which listed records or series of records are to be disposed of. An Application for Authority to Dispose of Local Records must be on file with the Local Records Commission for the records proposed for disposal prior to the submission of a Records Disposal Certificate.
7.
Application for Authority to Dispose of Local Records
-
A request to the Local Records Commission for approval to dispose of records or series of records that have accumulated and are not needed in the transaction of current business and do not have sufficient administrative, legal, or fiscal value to warrant their further preservation.
8.
Public Record
-
  • Any book, paper, map, photograph, digitized electronic material, or other official documentary material, 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, procedure, or other activities thereof, or because of the informational data contained therein.
    NOTE:
    Extra copies of documents preserved only for convenience of reference and stocks of publications and processed documents are not considered public records.
9.
Electronic Records
-
  • A.Imaging
    • 1.Media for preserving and storing vital records. Records may be converted
      to images to protect and/or retain them for long periods of time.
    • 2.Imaged and remaining archival microfilmed records maintain the retention
      period of the corresponding record in the paper form.
  • B.Digitized Electronic Records
    A record generated, communicated, received, or stored by electronic means for use in an information system or for transmission from one information system to another. This includes records stored within CLEAR or any subsequent information system used by the Chicago Police Department in regards to case data.