Chapter 149:1-1 General Provisions and Procedure

149:1-1-01 General provisions.

(A) Membership

The State Records Commission consists of the Auditor of State, Attorney General, Secretary of State, Director of the Department of Administrative Services, Superintendent of Public Instruction, and the Director of the Ohio Historical Society, or their designated representatives. The members of the Commission shall designate the name of their authorized representative in writing to the Secretary. Each authorized representative may designate an alternate in writing who will act in the absence of the authorized representative. The alternate will be considered the official representative for purposes of voting or a quorum.

(B) Secretary

The Archivist of the Ohio Historical Society shall be the Secretary of the Commission and shall advise the Commission on the archival value of state records.

(C) Chairman

The Commission will elect a Chairman from its members for a biennial term at the convening of the first meeting in February of each odd-numbered year.

(D) Meetings

The Commission will meet the second Wednesday of each month, except the months of July, August, and December, and when called by the Secretary and will be conducted in accordance with an agenda prepared and distributed by him. The meetings will be open to the public. The meeting place will be specified in the call for the meeting.

(E) Quorum

A quorum shall consist of a majority of members or authorized representatives which in no instance shall be less than four.

(F) Decisions

Decisions of the Commission shall be rendered by a vote of those members or authorized representatives in attendance as follows:

(1) Decisions pertaining to Applications for One-Time Records Disposals or Transfer, Schedules of Record Retention and Destruction, or other applications pertaining to disposition of records shall be rendered by a unanimous vote.

(2) Decisions pertaining to matters other than those listed in paragraph (F)(1) shall be rendered by a majority vote.

(G) Resolutions

Resolutions considered by the Commission shall be adopted by a majority vote of those members or authorized representatives in attendance.

(H) Duties

The Commission shall review all applications for records disposal or transfer and all schedules of record retention and shall approve, reject, or modify the applications and schedules based on the administrative, legal, fiscal, and historical values of the records.

(I) Minutes of Meetings

The minutes of Commission meetings shall include the following documentation pertaining to decisions on applications for one-time record disposals and schedules of record retention and destruction:

(1) Name of the state agency, office, or institution submitting the application or schedule;

(2) Name of the division, bureau, or section;

(3) Date of the application or schedule;

(4) Inclusive schedule or item numbers shown on the application or schedule;

(5) Decision rendered by the Commission.

For all decisions, the minutes will show the vote of the Commission members.

Replaces rule 1; Eff 3-13-63; Eff (Amended) 12-13-73
Rule promulgated under: RC 111.15
Rule authorized by: RC 149.32

149:1-1-02 Procedures for compiling and submitting disposal lists and schedules of retention.

(A) Agency Records Officer

The head of each agency, office or institution will designate to the Secretary the name of an agency employee who will serve as Agency Record Officer with the authority to sign applications for disposal and schedules of retention and to represent the agency at Commission meetings when called upon. The secretary will transmit the names of the agency record officers to the State Records Administrator. Only those applications or schedules signed by the head of the agency, office, or institution, or by the designated agency record officer will be considered by the commission.

(B) Submission of Lists and Schedules

The head or designated agency record officer of each agency, office, or institution shall submit to the Commission disposal lists and schedules of retention of records in his custody that are not needed in the transaction of current business and that do not have sufficient administrative, legal, or fiscal value to warrant their further retention.

(1) Disposal lists are one-time applications for authority to destroy or transfer records that have accumulated and are no longer created;

(2) Schedules of retention are applications for continuing authority to destroy or transfer records after specified periods of time or the occurrence of specified events;

(3) Applications for One-Time Disposal or Transfer (SRC-1) are to be submitted in an original and six copies to the Secretary at least two weeks prior to the meeting date;

(4) Records Retention Schedules (DF-402) are to be submitted in an original and six copies to the State Records Administrator at least two weeks prior to the meeting date;

The Commission shall be supplied with copies of the Schedules and Applications prior to the meeting date.

(C) Sample Documents

When requested, Applications for One-Time Disposal or Transfer and Records Retention Schedules are to be accompanied by samples of each record series proposed for destruction or retention. Blank forms and explanatory statements may be submitted in lieu of confidential records.

(D) Distribution of Applications and Schedules

The original of Applications and Schedules reviewed by the Commission shall be returned to the originating agency by the Secretary.

(1) A copy of each Application and Schedule and approved minutes shall be maintained by the Secretary in accordance with a retention schedule approved by the commission;

(2) A copy of each Application and Schedule shall be forwarded to the State Records Administrator by the Secretary.

(E) Revisions

New lists and schedules are required when the informational contents of a record series which has been reviewed and approved for retention or destruction by the Commission is changed.

(F) Microfilmed Records

Records which have been microfilmed in accordance with Section 9.01 of the Ohio Revised Code shall not be destroyed prior to Commission approval.

(1) Applications for destruction of microfilmed records may be made on either the Application for One-Time Records Disposal or Transfer or Records Retention Schedule;

(2) All applications relating to destruction of records that have been microfilmed shall certify that "all processed microfilm rolls of the records have been (or will be) proofread for omissions and legibility and meet the minimum standards of the National Bureau of Standards."

Replaces rule 2; Eff 3-13-63
Rule promulgated under: RC 111.15
Rule authorized by: RC 149.32

149:1-1-03 Procedures for the physical destruction of record and nonrecord material.

(A) Destruction Authority

Approval by the Commission is requisite to any destruction of records as defined in Section 149.40 of the Ohio Revised Code.

(B) Nonrecord Material

Nonrecord material will be defined by general schedules. When doubt arises whether certain papers are nonrecord materials, it shall be presumed that they are records.

(C) General Schedules

The State Records Administrator and the State Archivist will consult with one another and submit to the State Records Commission schedules designated "General Schedules" proposing the disposal, after the lapse of specified periods of time, of records of specified form or character common to several or all agencies that either have accumulated or may accumulate in such agencies and that apparently will not, after the lapse of the periods specified, have sufficient administrative, legal, fiscal, or other value to warrant their further preservation by the state. Such general schedules approved by the Commission will be promulgated by the State Records Administrator in General Schedules and distributed to all state agencies, offices, and institutions.

(D) Records Disposal

After disposing of their records in accordance with an approved application or schedule, agency heads or the designated agency record officer must prepare a Certificate of Records Disposal (SRC-2) in triplicate and forward the original to the Secretary and the duplicate to the State Records Administrator. The triplicate shall be retained by the Agency Records Officer as a permanent document evidencing the final disposal of the records.

Replaces rule 3; Eff 3-13-63; Eff (Amended) 10-20-76
Rule promulgated under: RC 111.15
Rule authorized by: RC 149.32

149:1-1-04 Notice of meetings.

(A) Authority: This rule is adopted in compliance with, and under the authority of, Section 121.22(F) , Ohio Revised Code, as amended, effective November 28, 1975.

(B) Any person may determine the time and place of all regularly scheduled meetings and the time, place, and purpose of all special meetings by:

(1) Writing to the following address:

Secretary, State Records Commission The Ohio Historical Society I-71 & 17th Avenue Columbus, Ohio 43211

(2) Calling the following telephone number during normal business hours: (614) 466-2060

(C) Any representative of the news media may obtain notice of all special meetings by requesting in writing that such notice be provided. Such notice will only be given, however, to one representative of any particular publication or radio or television station. A request for such notification shall be addressed to: Secretary, State Records Commission, The Ohio Historical Center, I-71 and 17th Avenue, Columbus, Ohio 43211.

The request shall provide the name of the individual media representative to be contacted, his mailing address and a maximum of two telephone numbers where he can be reached. The Secretary shall maintain a list of all representatives of the news media who have requested notice of special meetings pursuant to this section.

In the event of a special meeting not of an emergency nature, the Secretary shall notify all media representatives on the list of such meeting by doing at least one of the following:

(1) Sending written notice, which must be mailed no later than four calendar days prior to the day of the special meeting:

(2) Notifying such representatives by telephone no later than twenty-four hours prior to the special meeting; such telephone notice shall be complete if a message has been left for the representative, or if, after reasonable effort, the Secretary has been unable to provide such telephone notice;

(3) Informing such representative personally no later than twenty-four hours prior to the special meeting.

In the event of a special meeting of an emergency nature, the Secretary shall notify all media representatives on the list of such meeting by providing either the notice described in paragraph C-2, supra, or that described in paragraph C-3, supra. In such event, however, the notice need not be given twenty-four hours prior to the meeting, but shall be given as soon as possible.

In giving the notices required by this section (C-3) the Secretary may rely on assistance provided by any member of the State Records Commission and any such notice is complete if given by such member in the manner provided in section (C).

(D) Any person may receive notice of all meetings of the State Records Commission at which specific subject matters designated by such persons are scheduled to be discussed. The Secretary shall maintain a list of all persons who have requested such notification. In order to receive notification, such persons must provide to the Secretary sufficient quantity of self-addressed, stamped envelopes for the mailing of the notices. Such notice shall be mailed no later than seven calendar days prior to the day of the meeting. The Secretary may require persons requesting notice under this paragraph (D) to select from among categories of the public business of the State Records Commission, which categories have been previously established by him.

Replaces rule 4; Eff 3-13-63; Eff (Amended) 12-13-75
Rule promulgated under: RC Chapter 119.
Rule authorized by: RC 149.32