CHAPTER 5.1. STATE COMMISSION ON PUBLIC RECORDS
IC 5-15-5.1
Chapter 5.1. State Commission on Public Records
IC 5-15-5.1-1
Definitions
Sec. 1. As used in this chapter:
"Commission" means the commission on public records createdby this chapter.
"Record" means all documentation of the informational,communicative or decisionmaking processes of state government, itsagencies and subdivisions made or received by any agency of stategovernment or its employees in connection with the transaction ofpublic business or government functions, which documentation iscreated, received, retained, maintained, or filed by that agency or itssuccessors as evidence of its activities or because of theinformational value of the data in the documentation, and which isgenerated on:
(1) paper or paper substitutes;
(2) photographic or chemically based media;
(3) magnetic or machine readable media; or
(4) any other materials, regardless of form or characteristics.
"Nonrecord materials" means all identical copies of forms,records, reference books, and exhibit materials which are made, oracquired, and preserved solely for reference use, exhibition purposes,or publication and which are not included within the definition ofrecord.
"Personal records" means:
(1) all documentary materials of a private or nonpubliccharacter which do not relate to or have an effect upon thecarrying out of the constitutional, statutory, or other official orceremonial duties of a public official, including: diaries,journals, or other personal notes serving as the functionalequivalent of a diary or journal which are not prepared orutilized for, or circulated or communicated in the course of,transacting government business; or
(2) materials relating to private political associations, andhaving no relation to or effect upon the carrying out ofconstitutional, statutory, or other official or ceremonial dutiesof a public official and are not deemed public records.
"Form" means every piece of paper, transparent plate, or filmcontaining information, printed, generated, or reproduced bywhatever means, with blank spaces left for the entry of additionalinformation to be used in any transaction involving the state.
"Agency" means any state office, department, division, board,bureau, commission, authority, or other separate unit of stategovernment established by the constitution, law, or by executive orlegislative order.
"Public official" means an individual holding a state office createdby the Constitution of Indiana, by act or resolution of the generalassembly, or by the governor; all officers of the executive and
administrative branch of state government; and all other officers,heads, presidents, or chairmen of agencies of state government.
"Indiana state archives" means the program maintained by thecommission for the preservation of those records and othergovernment papers that have been determined by the commission tohave sufficient permanent values to warrant their continuedpreservation by the state.
"Forms management" means the program maintained by thecommission to provide continuity of forms design procedures fromthe form's origin up to its completion as a record by determining theform's size, style and size of type; format; type of construction;number of plies; quality, weight and type of paper and carbon; andby determining the use of the form for data entry as well as thedistribution.
"Information management" means the program maintained by thecommission for the application of management techniques to thepurchase, creation, utilization, maintenance, retention, preservation,and disposal of forms and records undertaken to improve efficiencyand reduce costs of recordkeeping; including management of filingand microfilming equipment and supplies, filing and informationretrieval systems, files, correspondence, reports and formsmanagement, historical documentation, micrographic retentionprogramming, and critical records protection.
"Records center" means a program maintained by the commissionprimarily for the storage, processing, retrieving, servicing, andsecurity of government records that must be retained for varyingperiods of time but should not be maintained in an agency's officeequipment or space.
"Critical records" means records necessary to resume or continuegovernmental operations, the reestablishing of the legal and financialresponsibilities of government in the state, or to protect and fulfillgovernmental obligations to the citizens of the state.
"Retention schedule" means a set of instructions prescribing howlong, where, and in what form a record series shall be kept.
"Records series" means documents or records that are filed in aunified arrangement, and having similar physical characteristics orrelating to a similar function or activity.
"Records coordinator" means a person designated by an agencyto serve as an information liaison person between the agency and thecommission.
As added by Acts 1979, P.L.40, SEC.1. Amended by P.L.1-1999,SEC.7.
IC 5-15-5.1-2
Application of chapter
Sec. 2. (a) This chapter applies to records:
(1) open to the public and carrying no classification orrestriction;
(2) required to be kept confidential by federal law, rule, orregulation; (3) declared confidential by the general assembly; or
(4) declared confidential by a rule adopted under specificauthority for confidential records granted to an agency by thegeneral assembly.
(b) The provisions of this chapter do not apply to state-supportedcolleges and universities, but the commission may offer its servicesto them.
(c) The provisions of this chapter shall in no way restrict thepowers and duties of the state board of accounts as prescribed byIC 5-11.
As added by Acts 1979, P.L.40, SEC.1. Amended by P.L.19-1983,SEC.8; P.L.36-1984, SEC.1.
IC 5-15-5.1-3
Creation of commission; administration of chapter; seal; offer ofservices
Sec. 3. There is created the commission on public records toadminister this chapter for the administrative and executive branchesof state government. The commission shall adopt a seal which shallbe the seal of the state of Indiana. The commission shall offer itsservices to the legislative and judicial branches of state government.
As added by Acts 1979, P.L.40, SEC.1.
IC 5-15-5.1-4
Director; qualifications; term; removal; staff; salaries
Sec. 4. (a) The governor shall appoint a director as the executivehead of the commission. The director must be versed in theprinciples of information and forms management, archives, and theaffairs and organization of state government. The director shall servea term of four (4) years. However, the director may be removed forcause by the governor. It is the intent of the general assembly that thedirector be a person who is qualified by training and experience toadminister the affairs of the commission and that the director's tenureof office is limited only by the director's ability and the properperformance of the director's duties.
(b) The director, subject to the approval of the governor and thebudget agency, shall appoint such staff as necessary to implementthis chapter.
(c) The salary of the director is subject to the approval of thegovernor and the budget agency. Salaries of the staff are subject tothe approval of the state personnel department and the budgetagency. The provisions of IC 4-15-2 apply to the staff of thecommission.
As added by Acts 1979, P.L.40, SEC.1. Amended by P.L.3-1989,SEC.28.
IC 5-15-5.1-5
Powers and duties of commission
Sec. 5. (a) Subject to approval by the oversight committee onpublic records created by section 18 of this chapter, the commission
shall do the following:
(1) Establish a forms management program for stategovernment and approve the design, typography, format, logo,data sequence, form analysis, form number, and agency filespecifications of each form.
(2) Establish a central state form numbering system and acentral cross index filing system of all state forms, andstandardize, consolidate, and eliminate, wherever possible,forms used by state government.
(3) Approve, provide, and in the manner prescribed by IC 5-22,purchase photo-ready copy for all forms.
(4) Establish a statewide records management program,prescribing the standards and procedures for record making andrecord keeping. However, the investigative and criminal historyrecords of the state police department are exempted from thisrequirement.
(5) Coordinate utilization of all micrographics equipment instate government.
(6) Assist the Indiana department of administration incoordinating utilization of all duplicating and printingequipment in the executive and administrative branches.
(7) Advise the Indiana department of administration withrespect to the purchase of all records storage equipment.
(8) Establish and operate a distribution center for the receipt,storage, and distribution of all material printed for an agency.
(9) Establish and operate a statewide archival program to becalled the Indiana state archives for the permanent governmentrecords of the state, provide consultant services for archivalprograms, conduct surveys, and provide training for recordscoordinators.
(10) Establish and operate a statewide record preservationlaboratory.
(11) Prepare, develop, and implement record retentionschedules.
(12) Establish and operate a central records center to be calledthe Indiana state records center, which shall accept all recordstransferred to it, provide secure storage and reference servicefor the same, and submit written notice to the applicable agencyof intended destruction of records in accordance with approvedretention schedules.
(13) Demand, from any person or organization or body who hasillegal possession of original state or local government records,those records, which shall be delivered to the commission.
(14) Have the authority to examine all forms and recordshoused or possessed by state agencies for the purpose offulfilling the provisions of this chapter.
(15) In coordination with the office of technology establishedby IC 4-13.1-2-1, establish standards to ensure the preservationof adequate and permanent computerized and auxiliaryautomated information records of the agencies of state
government.
(16) Notwithstanding IC 5-14-3-8, establish a schedule of feesfor services provided to patrons of the Indiana state archives. Acopying fee established under this subdivision may exceed thecopying fee set forth in IC 5-14-3-8(c).
(b) In implementing a forms management program, thecommission shall follow procedures and forms prescribed by thefederal government.
(c) Fees collected under subsection (a)(16) shall be deposited inthe state archives preservation and reproduction account establishedby section 5.3 of this chapter.
As added by Acts 1979, P.L.40, SEC.1. Amended by P.L.28-1983,SEC.52; P.L.58-1993, SEC.11; P.L.49-1997, SEC.29; P.L.177-2005,SEC.17.
IC 5-15-5.1-5.3
State archives preservation and reproduction account;establishment
Sec. 5.3. (a) The state archives preservation and reproductionaccount (referred to in this section as "the account") is established asan account within the state general fund. The account shall beadministered by the commission. The money in the account does notrevert to any other account within the state general fund at the end ofa state fiscal year.
(b) The account consists of fees collected under section 5(a)(16)of this chapter.
(c) Money in the account is annually appropriated to thecommission for use in the preservation and reproduction of publicrecords in the Indiana state archives.
As added by P.L.58-1993, SEC.12.
IC 5-15-5.1-6
Designing, numbering, standardizing, consolidating, andeliminating forms; considerations by commission
Sec. 6. The commission shall design, redesign, number,standardize, consolidate, or eliminate when obsolete, all forms usedby state government, apply the definition of record to anygovernmental materials so questioned, and determine the nature ofnonrecord materials housed or maintained by an agency. Inperforming these functions, the commission shall consult with eachaffected agency and shall consider each agency's statutoryresponsibilities, its relationships with federal or other governmentalagencies and the requirements of state law.
As added by Acts 1979, P.L.40, SEC.1.
IC 5-15-5.1-6.5
Racial or ethnic identification information; multiracialclassification
Sec. 6.5. (a) This section does not apply to a printed documentthat was printed and in stock before July 1, 1995. (b) As used in this section, "multiracial" means having abiological parent who is of a different race from the other biologicalparent.
(c) All forms, questionnaires, and other printed or electronicdocuments:
(1) that are used by a public agency (as defined in IC 5-14-3-2)to request information on the racial or ethnic identification ofa respondent; and
(2) that contain an enumeration of racial and ethnicclassifications from which the respondent must select aclassification;
must include among the choices the classification multiracial.
As added by P.L.80-1995, SEC.1.
IC 5-15-5.1-7
Archives; supervision; use of materials
Sec. 7. The commission shall make the archives of the stateavailable for public use under supervised control at reasonable hours.However, the commission shall weigh the need for preservation fromdeterioration or mutilation of original records in establishing accessuse to such items. The commission shall furnish copies of archivalmaterials upon request, unless confidential by law or restricted bypromulgated rule, and payment of such fees as may be required.
As added by Acts 1979, P.L.40, SEC.1.
IC 5-15-5.1-8
Central micrographics laboratory; microfilming standards
Sec. 8. The commission shall operate a central micrographicslaboratory. The oversight committee in coordination with thesupreme court shall promulgate regulations concerning qualitystandards for microfilming documents that shall allow documentsmeeting those standards to be admissible in court. Such microfilmingstandards shall be followed by all agencies of the administrative andexecutive branches of state government.
As added by Acts 1979, P.L.40, SEC.1.
IC 5-15-5.1-9
Copies of records certified by commission; force and effect
Sec. 9. Copies of records transferred from the office of theirorigin to the custody of the commission, when certified by thedirector or his designee, under seal of the commission, shall have thesame force and effect as if certified by the original custodian.
As added by Acts 1979, P.L.40, SEC.1.
IC 5-15-5.1-10
Duties of agencies
Sec. 10. Each agency shall:
(1) Make and preserve records containing adequate and properdocumentation of the organization, functions, policies,decisions, procedures, and essential transactions of the agency
to protect the legal and financial rights of the government andof persons directly affected by the agency's activities.
(2) Cooperate fully with the commission in implementing theprovisions of this chapter.
(3) Establish and maintain an active and continuing program forthe economical and efficient management of information andassist the commission in the conduct of informationmanagement surveys.
(4) Implement information management procedures andregulations issued by the commission.
(5) Submit to the oversight committee, a recommendedretention schedule for each form and record series in itscustody. However, retention schedules for forms and recordseries common to more than one (1) agency may be establishedby the oversight committee. Records may not be scheduled forretention any longer than is necessary to perform requiredfunctions. Records requiring retention for several years must betransferred to the records center.
(6) Establish necessary safeguards against the removal,alteration, or loss of records; safeguards shall includenotification to all officials and employees of the agency thatrecords in the custody of the agency may not be alienated ordestroyed except in accordance with the provisions of thischapter.
(7) Designate an agency information coordinator, who shallassist the commission in the content requirements of the formdesign process and in the development of the agency's recordsretention schedules.
(8) Report to the commission before December 31 of each yearthose records which have been created or discontinued in thepast year.
As added by Acts 1979, P.L.40, SEC.1.
IC 5-15-5.1-11
Title to records
Sec. 11. Title to any record transferred to the Indiana statearchives as authorized by this chapter shall be vested in thecommission. However, title to any record deposited in the Indianastate records center shall remain with the agency transferring thatrecord.
As added by Acts 1979, P.L.40, SEC.1.
IC 5-15-5.1-12
Critical records program
Sec. 12. The commission shall establish and maintain a criticalrecords program for the state of Indiana. It shall determine whatrecords are essential to the continuity of state government operationsand shall survey agency records to identify those records. Thecommission shall plan and implement a program for protection ofcritical records through dispersal, duplication, or secure vault storage
of those records.
As added by Acts 1979, P.L.40, SEC.1.
IC 5-15-5.1-13
Confidential records; destruction
Sec. 13. Records designated as confidential by law shall be sotreated by the commission in the maintenance, storage, transfer, orother disposition of those records. Confidential records scheduled fordestruction shall be destroyed in such a manner that they cannot beread, interpreted, or reconstructed.
As added by Acts 1979, P.L.40, SEC.1. Amended by P.L.19-1983,SEC.9.
IC 5-15-5.1-14
Mutilation, sale, loan, or other disposition of records by publicofficial or agency
Sec. 14. A public official or agency may not mutilate, destroy,sell, loan, or otherwise dispose of any government record, exceptunder a record retention schedule or with the written consent of thecommission.
As added by Acts 1979, P.L.40, SEC.1.
IC 5-15-5.1-15
Delivery of records by public official to successor
Sec. 15. (a) A public official who has the custody of any records,excluding personal records, shall at the expiration of his term ofoffice or appointment, deliver to his successor, or to the commissionif there is no successor, all materials defined as records by thischapter.
(b) Upon the termination of a state agency whose functions havenot been transferred to another agency, the records of the stateagency shall be deposited with the commission. The commissionshall determine which records are of sufficient legal, historical,administrative, research or fiscal value to warrant their continuedpreservation. Records that are determined to be of insufficient valueto warrant continued preservation shall be disposed of or destroyed.
As added by Acts 1979, P.L.40, SEC.1.
IC 5-15-5.1-16
Transfer of records to state archives; agreements with legislatureand supreme court
Sec. 16. (a) The commission may enter into agreements with thelegislative branch of government for transfer of the permanentrecords of that body not having current administrative value to theIndiana state archives.
(b) The commission may enter into agreements with the Indianasupreme court and court of appeals and their clerk for transfer of thepermanent records of those bodies not having current administrativevalue to the state archives.
As added by Acts 1979, P.L.40, SEC.1.
IC 5-15-5.1-17
Delivery of books, records, and documents to commission by state,county, or other officials; copies of documents, papers, and rules
Sec. 17. (a) A state, county, or other official may turn over to thecommission, in accordance with the rules of the commission forpermanent preservation, any official books, records, documents,original papers, newspaper files, or printed books or materials not incurrent use in his office.
(b) Subject to subsection (c), the commission may make a copy,by photography or in any other way, of any official book, record,document, original paper, newspaper, or printed book or material inany county, city, or other public office for preservation in the statearchives. County, city, and other officials shall permit such copies tobe made of the books, records, documents, and papers in theirrespective offices.
(c) The commission shall copy the official copy of the rules(including incorporated matters filed under IC 4-22-2-21) retained bythe secretary of state under IC 4-5-1-2. Any duplicate original copypossessed by another agency is not a critical record and may not becopied. If the secretary of state prepares micrographic copies of thesedocuments under IC 4-5-1-2 and the copies are in a form that meetsthe specifications of the commission, the commission shall arrangewith the secretary of state to obtain the number of copies needed bythe commission, rather than copying the documents as part of aseparate program.
As added by Acts 1979, P.L.40, SEC.1. Amended by P.L.31-1985,SEC.42; P.L.11-1996, SEC.3.
IC 5-15-5.1-18
Oversight committee; composition; secretary; compensation andexpenses
Sec. 18. (a) The oversight committee on public records consistsex officio of:
(1) the governor or the governor's designee;
(2) the secretary of state or the secretary's designee;
(3) the state examiner of the state board of accounts or the stateexaminer's designee;
(4) the director of the state library;
(5) the director of the historical bureau;
(6) the director of the commission on public records;
(7) the commissioner of the department of administration or thecommissioner's designee;
(8) the public access counselor; and
(9) the chief information officer of the office of technologyappointed under IC 4-13.1-2-3 or the chief information officer'sdesignee.
(b) The oversight committee also consists of two (2) lay membersappointed by the governor for a term of four (4) years. One (1) laymember shall be a professional journalist or be a member of anassociation related to journalism. (c) The oversight committee shall elect one (1) of its members tobe chairman. The director of the commission on public records shallbe the secretary of the committee. The ex officio members of theoversight committee shall serve without compensation and shallreceive no reimbursement for any expense which they may incur.Each lay member is entitled to reimbursement for traveling and otherexpenses as provided in the state travel policies and procedures,established by the department of administration and approved by thebudget agency and each lay member is entitled to the minimumsalary per diem as provided in IC 4-10-11-2.1(b).
As added by Acts 1979, P.L.40, SEC.1. Amended by P.L.114-2001,SEC.1; P.L.177-2005, SEC.18.
IC 5-15-5.1-19
Duties of oversight committee
Sec. 19. (a) It is the duty of the oversight committee to:
(1) function as the policy making body for the commission; and
(2) determine what records have no apparent official value butshould be preserved for research or other purposes.
(b) The oversight committee shall maintain a master list of allrecord series that are classified as confidential by statute or rule.
(c) The oversight committee has final approval of all recordretention schedules.
(d) The oversight committee has final approval of a fee scheduleestablished by the commission under section 5(a)(16) of this chapter.
As added by Acts 1979, P.L.40, SEC.1. Amended by P.L.19-1983,SEC.10; P.L.58-1993, SEC.13.
IC 5-15-5.1-20
Establishment of standards by oversight committee; forms;records using archival quality paper; rules
Sec. 20. (a) the oversight committee shall:
(1) establish standards for safeguarding personal informationsystems that shall be followed by agencies maintaining suchsystems;
(2) approve the content of all forms that involve confidentialrecords; and
(3) require use of archival quality paper for records that thecommission determines should be preserved indefinitely.
(b) The oversight committee may adopt rules under IC 4-22-2necessary for the performance of its duties, consistent with thischapter and other applicable Indiana laws.
As added by Acts 1979, P.L.40, SEC.1. Amended by P.L.19-1983,SEC.11; P.L.30-1989, SEC.3.