chapter 6: records management in the town clerk's office

Rev. 12/2018

Chapter 6:

Records Management in the Town Clerk's Office

1. OVERVIEW & DEFINITIONS ................................................................................. 3

1.1 Overview .......................................................................................................................... 3

1.2 Definitions ........................................................................................................................ 3

2. MATERIALS & PROCESSES ................................................................................ 5

2.1 Paper ............................................................................................................................... 5

2.2 Ink .................................................................................................................................... 6

2.3 Binders ............................................................................................................................. 6

2.4 Photocopying & Printing .................................................................................................. 7

2.5 Microfilming ...................................................................................................................... 7

2.6 Digital Imaging ................................................................................................................. 7

2.7 Land Recording ............................................................................................................... 7

3. VAULTS & SAFES .............................................................................................. 8

3.1 Vault Regulations ............................................................................................................. 8

3.2 Size Guidelines ................................................................................................................ 9

3.3 Security ............................................................................................................................ 9

4. RETENTION & DISPOSITION ............................................................................. 10

4.1 Records Retention ......................................................................................................... 10

4.2 Records Disposition ....................................................................................................... 10 4.2.1 Destruction ............................................................................................................ 11 4.2.2 Transfer ................................................................................................................. 12

5. PRESERVATION & DISASTER PLANNING ............................................................ 13

5.1 Preservation Basics ....................................................................................................... 13

5.2 Security Microfilming of Permanent Records ................................................................ 15

5.3 Disaster Planning & Recovery ....................................................................................... 16

Rev. 12/2018

6. SPECIFIC RECORDS SERIES ............................................................................ 17

6.1 Land Records & Indexes ............................................................................................... 17 6.1.1 Approved Processes for Recording ..................................................................... 18 6.1.2 eRecording ........................................................................................................... 19 6.1.3 Unrecordable Documents .................................................................................... 19 6.1.4 Attestation of Land Records ................................................................................. 20 6.1.5 Indexing of Land Records .................................................................................... 20 6.1.6 Correcting Index Errors ........................................................................................ 21 6.1.7 Consolidation & Reindexing ................................................................................. 21 6.1.8 Labels & Signs ..................................................................................................... 22 6.1.9 Annual Examination of Indexes............................................................................ 22

6.2 Maps & Indexes ............................................................................................................. 23 6.2.1 Filing Requirements ............................................................................................. 23 6.2.2 Map Indexing ........................................................................................................ 24

6.3 Vital Records & Indexes ................................................................................................ 24

6.4 Military Discharge Records (Form DD 214) ................................................................... 25

6.5 Minutes .......................................................................................................................... 25

6.6 Election Records ............................................................................................................ 26

6.7 Other Records ............................................................................................................... 27

6.8 Non-Record Materials .................................................................................................... 27

6.9 Town Publications – State Library Submission ............................................................. 28

7. HISTORIC DOCUMENTS PRESERVATION PROGRAM ............................................ 29

7.1 Program Overview ......................................................................................................... 29

7.2 Municipal Grants ............................................................................................................ 30

7.3 Town Clerks’ Dollar Fund .............................................................................................. 31

8. LINK TO POLICIES, GUIDELINES & RESOURCES ................................................. 31

Chapter Six (rev. 12/2018) -

1. Overview & Definitions

1.1 Overview

Records management is the systematic control of records throughout their life cycle; that is, from records creation, through maintenance and use, to final disposition. Records creation includes the use of approved materials, processes, and recording methods. Records maintenance requires good preservation and storage practices as well as knowledge of the recordkeeping requirements for various types of records. Disposition includes the use of retention schedules and authorization requests. These are just a few of the elements that come together to support the broader objective of effective municipal records management. This chapter covers the records management duties of town clerks, with particular attention to the Connecticut statutes and regulations that govern municipal recordkeeping; and the policies set by the Public Records Administrator under the authority of Connecticut General Statutes (CGS) §11-8 and §11-8a. Sections 2 through 5 cover policies and procedures generally applicable to all records in the town clerk's custody. Section 6 covers policies and procedures related to specific types of records managed by the town clerk, including land records and maps. Section 7 covers the Historic Documents Preservation Program. Section 8 provides the webpage address for the Municipal Records Management Program – all Public Records Administrator policies, guidelines, forms and retention schedules cited in this chapter are accessible from this webpage.

1.2 Definitions

A few key terms are defined below: PUBLIC RECORD: "Any recorded data or information relating to the conduct of the public's business prepared, owned, used, received or retained by a public agency, or to which a public agency is entitled to receive a copy by law or contract under section 1-218, whether such data or information be handwritten, typed, tape-recorded, printed, Photostatted, photographed or recorded by any other method.” [Source: CGS §1-200(5)] CGS §1-210 directs that "[e]xcept as otherwise provided by any federal law or state statute, all records maintained or kept on file by any public agency, whether or not such records are required by any law or by any rule or regulation, shall be public records, and every person shall have the right to (1) inspect such records promptly during regular office or business hours, (2) copy such records in accordance with subsection (g) of section 1-212, or (3) receive a copy of such records in accordance with section 1-212."


OFFICIAL RECORD COPY: “The specific copy of a public record, as provided in CGS §1-200(5), designated by the public agency as the legally recognized copy that must be maintained for records retention, preservation and authentication." [Source: Office of the

Public Records Administrator (OPRA)] ACTIVE RECORD: “A record needed to perform current operations, subject to frequent use, and usually located near the user.” [Source: Association of Records Managers and

Administrators (ARMA)] INACTIVE RECORD: “A record no longer needed to conduct current business but preserved until it meets the end of its retention period.” [Source: ARMA] ESSENTIAL RECORDS: “Records necessary to respond to an emergency; to reestablish normal operations after any such emergency; to protect the rights and interests of the agency and the individuals or entities served by the agency; to document the history of Connecticut, its communities and its citizens; or that would require massive resources to reconstruct.” [Source: OPRA] NON-RECORD: “Item that is not usually included within the scope of official records.” [Source: ARMA] Examples of non-records are extra (duplicate) copies kept only for convenience, reference materials, and stocks of blank forms.

RECORDS CUSTODIAN: “The individual or organization having possession of and responsibility for the care and control of material.” [Source: Society of American Archivists

(SAA)] Pursuant to CGS §7-23 and §7-24, the town clerk is responsible for keeping the records of the town, including the recording of the votes of the town and all instruments required by law to be recorded. RECORDS SERIES: “A group of related records filed/used together as a unit and evaluated as a unit for retention purposes (e.g., a personnel file consisting of an application, reference letters, benefit forms, etc.).” On retention schedules, records are arranged by records series. [Source: ARMA] LAND RECORDS: This term is generally used to designate the series of books in the custody of the town clerk in which instruments affecting real estate are recorded and indexed, together with the land record maps referred to in the written records and filed in the town clerk's office. [Source: OPRA] TO RECORD: To record a document means to copy it at length and verbatim, generally into a book kept especially for the purpose. In a letter to the Examiner of Public Records dated September 28, 1936, the Attorney General of Connecticut stated, "… regarding the application of the verb 'record'… we are of the opinion that the proper definition to be given this verb as it applies to town clerks and the record books of town clerks is that it means to transcribe or to copy into some permanent book or record." [Source: OPRA] For additional definitions, see Records Management Terms, online as referenced in Section 8.


2. Materials & Processes

Under the provisions of several statutes cited below, the Public Records Administrator is authorized to furnish lists of approved materials and processes for use in the creation of public records in the state. To qualify for inclusion on the list, materials and processes must meet or exceed certain standards. The Public Records Administrator no longer publishes lists of approved materials and processes, but instead publishes performance standards for these materials and processes. Materials include paper, ink and binders, pursuant to CGS §1-9, §1-10 and §1-11. Processes include photographic, micrographic and digital imaging systems used for recording or copying records, pursuant to CGS §1-7. These processes must create clear reproductions, accurate "in all details," and proportional in size to the originals, pursuant to CGS §1-7, §1-8, and §1-16. In addition, pursuant to CGS §7-24, the "books, files or systems" for keeping public records, including land recording systems, must be acceptable to the Public Records Administrator. This section provides additional information regarding these approved materials and processes.

2.1 Paper

Pursuant to CGS §1-9, those who have custody of permanent records must use alkaline paper meeting or exceeding the American National Standards Institute (ANSI) standards for permanent paper and any additional specifications set by the Public Records Administrator, as described below:

All permanent records must be produced on paper meeting the requirements for pH, tear resistance, alkaline reserve, and lignin content of ANSI Z39.48, Permanence of Paper for Publications and Documents in Libraries and Archives. According to ANSI, such paper should last "at least several hundred years without significant deterioration under normal use and storage conditions in libraries and archives."

Most high-quality copy papers available today should meet this standard. In addition, papers available through archival supply catalogs should meet this standard and may provide some additional features, such as a percentage of cotton or linen rag content for added durability if frequently handled; such as 25% cotton.

If the ANSI standard is not already referenced, it may be confirmed by contacting the manufacturer and requesting a Certification Letter stating compliance with ANSI Z39.48.

Permanent records that are subject to heavy use and handling, including land records or other recorded documents, must be produced on paper meeting the


requirements of ANSI Z39.48 and have 100% cotton or linen rag content. The use of 100% rag paper ensures greater durability for "high referral" records, that is, records specifically subject to heavy use and handling on a day-to-day basis. This paper is available through document management vendors and archival supply catalogs.

For further information, see GL 91-1, Standard Paper for Permanent Records, online as referenced in Section 8.

2.2 Ink

Pursuant to CGS §1-10, the ink used for recordkeeping purposes must meet quality standards. Ink for permanent records must be chemically stable, waterproof, and fadeproof.

Handwriting: For handwriting, only archival-quality pigment ink pens are approved at this time. Micron Pigma and similar pens can be ordered through archival supply catalogs.

Printing and Copying: When printing or copying, there are many variables that affect ink permanence, including the ink itself, the paper used, and the process by which the ink is applied. Town clerks should test for ink adherence whenever there is a change in one of these variables; that is, whenever changing the type of ink, paper, or equipment used to create permanent records.

Check for ink adherence by attempting to scrape the ink off with a fingernail, to smudge it with a wet fingertip, and to lift it from the page with adhesive. For this third test, place a post-it note over a sample of the text, rub it down, and pull it up, checking for any transfer of ink. If any test indicates a problem with the ink adherence, take steps to correct it. Have the equipment adjusted by a service person and/or use another type of ink or paper. Equipment must be working at optimum operating conditions to ensure proper heat, pressure and related settings. As technologies are constantly evolving, clerks must stay aware and watch for any emerging problems with records permanence – fading, flaking, ink transfer or any other signs of compromised stability or longevity. If a problem cannot be resolved through the steps outlined above, contact the Public Records Administrator to discuss the next appropriate steps.

2.3 Binders

Loose-Leaf Binders: Loose-leaf binders must meet high quality standards pursuant to CGS §1-11. They must be specified as records binders, which are constructed of archival materials and will provide a superior level of durability and records protection. Regular loose-leaf binders sold through office supply catalogs typically will not meet these standards and may contain non-


archival materials that can cause significant records deterioration over time. Binders meeting archival specifications are available from document management vendors and archival supply catalogs.

Bound Books: Record books must be "properly and substantially bound," pursuant to CGS §7-24. For bindery services, select a company that offers high-quality work and good security for records in their custody. For binding services on State Contract, see Acme Binding (www.acmebinding.com), State Contract #16PSX0238.

2.4 Photocopying & Printing

Photocopying and similar processes must meet the requirements of producing clear, accurate, and proportional copies, as required under CGS §1-7, §1-8, and §1-16. When installing a new machine, be sure to check for proper fusion of the ink to the paper. Also see Section 2.2, above.

2.5 Microfilming

Microfilming must meet the requirements of the microfilming policy published by the Office of the Public Records Administrator. Microfilm security copies must be stored under proper environmental conditions in an approved off-site facility and should be inspected periodically for deterioration. See GL 96-2 (rev.), Required Minimum Microfilming Standards for Public Records, online as referenced in Section 8. Also see Section 5.2, below.

2.6 Digital Imaging

Digital imaging must meet the requirements of the digital imaging policy published by the Office of the Public Records Administrator. These requirements apply to all records scanning projects whether performed within the town or using vendor services. See PRP 2: Digital Imaging and the associated Digital Imaging Standards and Authorization Form, online as referenced in Section 8.

2.7 Land Recording

Land recording systems must meet the requirements of the land recording systems policy published by the Office of the Public Records Administrator. This policy sets the minimum requirements for selecting, implementing and maintaining a land recording system. See PRP 11: Land Records Management Systems, online as referenced in Section 8. Also see Section 6.1.2, below.

http://www.acmebinding.com/


3. Vaults & Safes

3.1 Vault Regulations

CGS §7-27 establishes the requirement that “public records of towns, cities and boroughs shall be kept in fire-resistive vaults or safes except when in actual use for the purpose of examination or entry." It specifies that vaults and safes meet the regulations adopted by the Public Records Administrator. The Standard for Fire-Resistive Vaults and Safes (Administrative Regulations §11-8-1 through §11-8-12) is based on the National Fire Protection Association Code 232 with some modifications specific to Connecticut's town vaults. The town must notify the Public Records Administrator and receive written approval in advance for any project involving vault modification, renovation or construction, including changes to the HVAC system. If your town is considering a vault project, contact the Public Records Administrator for additional information and requirements. Selected sections of the regulations are summarized below. See the Standard for complete information, online as referenced in Section 8.

The vault floor and ceiling must be of reinforced concrete, at least six inches thick, and may not be pierced for any reason. Vault walls must be brick, at least 12 inches thick, or reinforced concrete, at least 8 inches thick. Alternatively, approved modular vault construction may be used.

Windows are not permitted.

The vault door must be rated for a minimum of four hours fire resistance, have an interior escape device, and bear the label of the Underwriters' Laboratories or another nationally recognized testing laboratory.

Electronic devices such as computers, printers, copy machines, portable heaters and dehumidifiers increase the risk of an interior fire. All electronic devices are prohibited.

Non-record items, such as office supplies, cleaning supplies or holiday decorations should not be stored in the vault. All non-record items are prohibited.

Flooring must be of non-combustible materials, such as sealer over concrete or an approved tile; wood and carpeting are prohibited.

Furnishings must be of non-combustible materials, such as metal; wood and fabric are prohibited.

Records must be stored on equipment at least four inches above the floor to


reduce the risk of water damage from flooding or leaks. Boxed records or record volumes should never be stored directly on the floor, even on a temporary basis.

Maintaining a clean and organized vault is necessary not only for effective records management but for proper fire prevention practice.

Safes and file cabinets used to house essential records outside of a vault must carry a minimum Class C rating [one-hour fire resistance], as established by the Underwriters' Laboratories or another nationally recognized testing laboratory. The Public Records Administrator may require a Class A rating [four-hours] or Class B rating [two-hours] for records or conditions that warrant it.

In general, basement vaults are undesirable. Under certain fire conditions, smoldering debris may accumulate in the basement and produce a "cooking effect" beyond the resistive capability of the structure. In addition, such vaults are subject to dampness and flooding. Existing basement vaults are often used for storage of secondary records. It is imperative that they be kept clean, orderly and dry. Temperature and humidity should be monitored. Basement vaults (and all secondary vaults) should be opened and checked on a weekly basis at minimum (See Section 5.1, below).

3.2 Size Guidelines

Guidelines for the minimum square footage necessary for a municipal vault, based on the population of the town, are provided in the Guidelines for Vault Size for Storage of Municipal Records, online as referenced in Section 8. Note that specific size requirements for a municipal vault should be determined by evaluating current needs as well as projected rates of growth for each records series.

3.3 Security

Access to the town clerk's vaults and safes must be strictly controlled. Vaults and safes must be locked whenever the town clerk or a designated assistant is not present. The combinations for such vaults or safes should not be made known to anyone outside the town clerk's office. If there is reason to believe that a combination is known outside the office, the combination should be changed. The town clerk is not required to share the lock combination with other town officials whose records are deposited in the vault. According to an Attorney General opinion dated December 31, 1970, "[t]he question of who may be entrusted to protect the documents during the absence of the Town Clerk is left to the sound discretion of the Town Clerk. The Town Clerk cannot be compelled to divulge the combination of his vault." See GL 86-15, Combination to Town Vaults, online as referenced in Section 8.


4. Retention & Disposition

4.1 Records Retention

Records retention schedules specify the minimum retention periods required for records held in municipalities. Retention periods are determined and set based on the records’ administrative, fiscal, legal, and historical values, as well as statutory or regulatory requirements. Certain records require permanent retention. Records are listed on the schedules by records series, that is, groups of related records filed and used together as a unit (for example, a personnel file may include an application, reference letters, benefit forms, etc). The retention requirement applies to the official record copy, whether in paper, electronic, or other format. The official record copy is the specific copy of a public record that is designated by the municipality as the legally recognized copy that must be maintained for records retention, preservation and authentication (for example, there may be many copies of the annual report, but only one that is designated as the official record copy and subject to retention requirements). When designating the official record copy, it is important to also identify the records custodian, that is, the town official or department having possession of and responsibility for the care and control of that record. Email and other electronic messages sent or received in the conduct of public business are public records and are subject to the same retention requirements as records in other formats. For additional guidance on the retention of electronic messages, including email, fax, instant messaging, text messaging, voice mail, and Web‐based messaging services, see GL 2009-2, Management and Retention of E‐mail and other Electronic Messages, online as referenced in Section 8. Retention schedules govern the retention of public records but not the disclosure of public records. Refer to CGS §1-200 et seq. or contact the Office of Governmental Accountability, Freedom of Information Commission (FOIC), regarding the disclosure of public records, including requirements and exceptions for disclosure. The retention schedules are updated periodically. Always use the most current versions of the schedules, which can be found on the State Library website. The town clerk should also direct town officials, boards, commissions and department heads to the current versions of the schedules online.

4.2 Records Disposition

In addition to specifying retention periods, the schedules specify disposition. Disposition refers to the final action taken with records, after they have been retained for the stated period. The proper disposition may be destruction, transfer (such as to an approved archives or historical society), or permanent retention. A town should inventory its records and properly dispose of records past their retention


periods on a regular and systematic basis. This practice improves efficiencies in managing records and reduces storage costs and liabilities. The principal statutes bearing on the disposition of municipal records are CGS §7-109 and CGS §11-8a. These sections provide that a municipal official may dispose of a record in his or her custody that meets the following requirements:

1. It relates to a matter which is closed and for which no record is required by law to be kept. 2. It has been retained for the period of time specified in the current retention schedule. 3. Prior written approval for its disposal has been received from the chief administrative officer of the municipality, the Public Records Administrator, and the State Archivist.

To meet this third requirement, the records custodian must complete and sign Form RC-075, Records Disposition Authorization, obtain the signature of the chief administrative officer of the municipality (and the superintendent of schools, for education records), and submit the form for approval. Once approved and signed by the Public Records Administrator and the State Archivist, the form will be returned to the municipality. The records custodian should keep a copy and must file the original with the Town Clerk for permanent retention. The Public Records Administrator also retains a copy. No public record may be disposed if there are pending or active Freedom of Information Act (FOIA) requests, litigations, investigations, audits, or other cases, claims or actions. If there is a destruction hold placed on records, the retention period itself does not change but the records must be held. After the hold is lifted, the records may be disposed after receipt of the approved Form RC-075. Note that Form RC-075 is used to request disposal of records which will then be either destroyed or transferred out of the town’s physical custody. The form should not be used to request disposal of paper records that have been scanned to digital format for continued retention. In this case, the municipality is not disposing of its records but simply retaining these records in another format. For the requirements governing scanning projects, including authorization to dispose of the paper copies, see Section 2.6, above. Also see PRP 05: Disposition of Public Records and GL 2009-1: Transfer of Records to the State Archives for additional information, online as referenced in Section 8.

4.2.1 Destruction

After receiving approval for destruction, records should be destroyed in a manner that ensures complete destruction of the information:


Hard copy formats, including but not limited to paper, microfilm, or microfiche, should be shredded with a cross cut shredder and may then be recycled.

Electronic media, including but not limited to hard drives, CDs, DVDs, and tapes, should be sanitized by overwriting, degaussing or physical destruction. Physical destruction of media, including but not limited to shredding, disintegration, incineration, pulverization, or melting, is the most complete and secure form of sanitization.

Municipalities should consider the confidentiality and sensitivity of the information when selecting the appropriate sanitization method. See the National Institute of Standards and Technology’s Guidelines for Media Sanitization (NIST Special Publication 800-88 Revision 1), online at https://csrc.nist.gov, for additional information.

Note that Form RC-075 provides documentation that records disposition has been approved but the form does not document the actual destruction of the records by the municipality. The municipality should document the date of destruction by attaching a vendor’s Certificate of Destruction to Form RC-075; or by following an established municipal policy regarding the documentation of destruction (for example, noting the date and method of destruction directly on the Form RC-075, with the signature of the staff person that handled the destruction). Specific instructions for the destruction of bonds and notes after payment or transfer of ownership are provided under CGS §7-377a. The certificate of destruction must be kept on file by the town clerk. Pursuant to CGS §7-109, “No original document dated prior to the year 1900 shall be destroyed under the provisions of this section without the express written approval of the Public Records Administrator.”

4.2.2 Transfer

A municipal official may request approval to transfer records to a local historical society, public library, or other institution incorporated in Connecticut solely "for historical or educational purposes," rather than requesting approval for destruction (CGS §7-109). The institution must agree to preserve them and make them available for public use and the facility must be acceptable to the Public Records Administrator. Any transfer of records requires prior authorization using Form RC-075. In addition, there should be a written agreement or memorandum of understanding between the town and the institution acknowledging that the records are public records; and that should the institution no longer be able to care for and provide public access to the records, they will either be returned to the town or transferred to the State Archives. Alternatively, a municipal official may request approval to transfer records to the State Archives (CGS §11-4c). The State Archives supports retention of local government archival records in the locality of origin, but will accept such records when offered if

https://csrc.nist.gov/


they have enduring historical value and otherwise might be lost or destroyed. The municipal official should contact the State Archives staff concerning any potential transfer of records. To learn whether the State Archives holds records of your municipality and to see a detailed list of these records, check the Local Government Finding Aids Index under the State Archives section of State Library website. In addition, certain town records may be located only by using the card catalog in the History and Genealogy (H&G) unit of the State Library; please contact H&G for further assistance at (860) 757-6580.

5. Preservation & Disaster Planning

5.1 Preservation Basics

Providing good records storage conditions is one of the most important factors in ensuring the long-term preservation of the town’s records. It is also one of the most cost-effective approaches, as storage conditions – whether positive or negative – will impact all of the records at once. It is important to provide appropriate environmental conditions, proper storage equipment, and protection from fire, water and mold. The recommended temperature and humidity range for records storage areas is 70° F or lower with a relative humidity of 30% to 50%. Large fluctuations in temperature and humidity should be avoided. Every vault should be equipped with monitoring equipment – for example, a min/max thermohygrometer, which is available through archival supply catalogs. It is important to use an independent monitor rather than relying on the HVAC system’s thermostat readings. Keep a daily or weekly written record of the temperature and humidity readings (current, minimum and maximum) and use it to guide improvements to the HVAC system if needed. Heat, dampness, light, dirt and dust all contribute to the deterioration of paper, ink, leather, electronic media formats and microfilm. High temperatures can lead to brittleness, discoloration and other damaging effects. Low humidity also leads to brittleness while high humidity promotes the growth of mold. When both temperature and humidity are much above the recommended ranges, mold will develop with surprising rapidity, resulting in serious harm to records. Light exposure causes irreversible damage over time. Records should never be exposed to direct sunlight and exposure to artificial light, especially ultraviolet light emitted by fluorescent lights, should be limited. Dirt and dust embed themselves into a record’s surface, diminishing its life span. In many Connecticut town halls, records can be found which date back to the mid-


seventeenth century, and records of the eighteenth century are common. These early records are unique, invaluable, and irreplaceable. The clerk should supervise the use of older records closely. These older records are still public records and must be made available to citizens, but it is important to prevent unnecessary handling and avoid needless damage. It is recommended that early books and papers be kept in a locked cabinet, so that users must request access and clerks can supervise their use. Also consider creating access copies of early records for general use – either photocopies or digital images – providing the originals only on request. Large, heavy volumes should be stored flat on their sides on roller shelves. If it is not possible to provide this type of shelving for all such books, volumes of uniform size may be shelved upright on conventional shelving, but there must be just enough lateral pressure provided to hold them firmly upright. These methods help to support and preserve the integrity of the binding and paper. Conservation treatment for individual items can be costly. Conservation is appropriate for records that have intrinsic value (i.e., should be preserved in their original format rather than recreated) and that are showing clear risk of damage or loss due to deterioration. It is not meant to be applied routinely, for example, to all records in a series. The clerk should evaluate each volume individually to determine if conservation is appropriate and necessary. If the binding has begun to disintegrate, but the paper and ink of an older volume are still in good condition, only simple rebinding may be needed (see Section 2.3 above). Alternatively, added protection can be provided by using a slipcase, phase box or other archival enclosure of the correct size. These can be provided by a bindery or conservator or purchased through archival supply catalogs. They are relatively inexpensive and will provide good protection for volumes. Consider this approach for volumes that already have digital or paper access copies available or that are consulted infrequently. When setting preservation and funding priorities, it is important to give careful consideration to overall needs, priorities and options. There are several statutes dealing specifically with the issue of records repair and preservation:

CGS §7-14 requires the administrative head to make regular inspections of the town's records and to "cause…repairs and rebinding" that "are necessary for the preservation of such records."

CGS §7-24 requires the records custodian to have legible copies made of any records that are becoming worn or illegible or to have originals restored.

CGS §11-8i through §11-8n pertain to the Historic Documents Preservation Program. This grant program provides significant funding for the preservation and management of town records. See Section 7, below, for additional information.


Keep in mind the following basic principles:

Provide safe and secure storage space.

Set and maintain high housekeeping and environmental standards.

Provide careful supervision of records and their use.

When needed, create access copies, recreate, rebind or conserve permanent records.

Maintain a systematic program for records retention and disposition (Section 4).

Maintain a systematic program for microfilming permanent records (Section 5.2).

Plan for records disaster prevention and recovery (Section 5.3).

The Northeast Document Conservation Center (NEDCC) provides Preservation Leaflets covering a variety of preservation topics as well as other free resources at https://www.nedcc.org/free-resources/resources-for-town-and-municipal-clerks.

5.2 Security Microfilming of Permanent Records

In addition to taking steps to ensure the preservation of records maintained within the town, it is important to create off-site security copies of the town’s permanent records. Town clerks are required to maintain a systematic program for microfilming all land records, land record indexes and maps. It is recommended that other permanent records also be protected by creating off-site microfilm copies. The standards in GL 96-2 (rev.), Required Minimum Microfilming Standards for Public Records, apply to the creation and storage of security microfilm. Microfilm must be of archival quality and stored in an approved off-site storage facility. Clerks must keep a current microfilm inventory on file – available on request from the vendor – specifying the records contained on each reel and the storage location. As directed in GL 96-2 (rev.), the municipality should have its microfilm inspected periodically to ensure that it remains in good condition. Records must be refilmed if necessary.

At approximately two year intervals, a 1 percent sample of randomly selected rolls of microfilm should be inspected. A different lot sample should be chosen at each inspection, allowing some overlapping to note any changes in previously inspected samples. The vendor should submit a report to the town clerk that includes (1) quantity of microfilm of permanent records on hand, i.e. number of rolls, microfiche, jackets, etc.; (2) quantity of microfilm inspected; (3) condition of the microfilm; and (4) corrective action required, if necessary. For research purposes only, the Genealogical Society of Utah microfilmed most Connecticut town land records to 1900, vital records from 1850 to 1900, and probate records to 1915. Researchers can examine these records at the History and

https://www.nedcc.org/free-resources/resources-for-town-and-municipal-clerks


Genealogy Unit of the State Library, or at GSU Family History Centers (www.familysearch.org). However, this microfilm should not be relied on for security backup purposes, as it can be incomplete or have poor image quality. In addition to GL 96-2 (rev.), Required Minimum Microfilming Standards for Public Records, see GL 2006-1, Format Requirements for Land Records and Indices and the Filing Requirements for Maps (Administrative Regulations §11-8-19 to §11-8-26), online as referenced in Section 8.

5.3 Disaster Planning & Recovery

Disaster planning is a critical component of a strong records management program. Risk of disaster is a major threat to the preservation of public records. While a small or limited event may cause an inconvenient service interruption, a significant disaster can have a severe impact on the municipality and its citizens, including impact on services, serious financial losses, and loss of credibility and good will. The town clerk maintains large numbers of records that document the municipality’s legal authority, rights and responsibilities and the rights of its citizens (for example, ordinances, resolutions, minutes, land records, vital records and election records). It is important that town officials be able to maintain operations with minimal or no disruption during all types of emergencies. The town clerk must be able to perform duties required by statute and charter, including maintaining the accuracy and completeness of records in the clerk’s custody and providing public access to those records in accordance with the law. Therefore, the municipality should engage in pre-planning including the development of a Continuity of Operations Plan (COOP) and a Records Emergency Action Plan (REAP). By having these plans in place in advance, the municipality will be able to react more quickly and effectively, reducing the negative impacts of the disaster and restoring operations more quickly. A Continuity of Operations Plan creates policies and procedures to ensure that a municipality’s mission-essential functions can be carried out in the event that an emergency threatens or incapacitates operations. Pursuant to CGS §28-7(a), every municipality is required to annually file an emergency plan of operations with the Department of Emergency Management and Homeland Security. Protection of public records that support mission-essential functions should be incorporated into the COOP. A Records Emergency Action Plan is an official document that includes the information and actions needed to respond to and recover from a records emergency. Proper disaster planning includes identification and mitigation of all potential risks to public records as well as planning for the recovery of damaged records, whether in paper, electronic or other formats. In the event of damage to records from fire, water or other events, both speed and orderly procedure are of paramount importance for records recovery. A REAP must be reviewed and tested on a regular basis and updated as necessary to ensure that the information and procedures remain accurate.


The Public Records Administrator must be notified as soon as possible after the discovery of any event resulting in damage to any municipal records. Records may not be disposed without prior authorization even if damaged, pursuant to CGS §7-109. In a disaster situation that impacts public records, a quick response is essential. The Northeast Document Conservation Center (www.nedcc.org) offers emergency assistance by phone at no charge for institutions with damaged paper-based collections. Staff members are available 24 hours a day, seven days a week, through the Disaster Assistance Hotline at (855) 245-8303, and will provide basic advice over the telephone on drying wet materials and dealing with damage from fire, pests, or mold. This service does not normally include on-site assistance. However, many disasters, especially those involving contaminated water or large mold outbreaks, will be too large or complex for an institution or individual to handle alone. Use a vendor with expertise in records recovery. There are currently three companies specializing in records recovery services available on State Contract #11PSX0299: BELFOR USA, BMS CAT, and Polygon US (https://biznet.ct.gov/SCP_Search/ContractDetail.aspx?ID=10648). Using a company approved for records recovery on state contract can ensure that appropriate records treatments are provided and may also speed the procurement process. For additional information related to emergency response, see the Essential Records Program webpage (https://ctstatelibrary.org/publicrecords/essential-records). The Historic Documents Preservation Program provides support for disaster planning through targeted grants and offers limited funding to assist with uninsured recovery costs for essential, permanent or archival records through disaster recovery grants (see Section 7, below).

6. Specific Records Series

6.1 Land Records & Indexes

Pursuant to CGS §7-23 and §7-24, the town clerk is responsible for keeping the records of the town, including the recording of land record instruments. CGS §7-24 requires that the town clerk record every instrument required to be recorded by law within thirty days of the time it is left for record. When it is received, the town clerk must note the date and time of receipt on the instrument. It may not be returned or released to anyone until it has been recorded, regardless of the circumstances. One major exception is for a Tax Collector's Deed. See the Chapter 2 of this manual

http://www.nedcc.org/

https://biznet.ct.gov/SCP_Search/ContractDetail.aspx?ID=10648

https://ctstatelibrary.org/publicrecords/essential-records


and the referenced statutes for the procedures that apply to recording this type of instrument. For information on the recording of other specific instruments, also see Chapter 2, Land Record Documents, in this handbook.

6.1.1 Approved Processes for Recording

CGS §7-23 specifies that recording may be done by transcription or by photographic, micrographic, digital imaging or another approved process. The record copy must reproduce the original instrument exactly. Errors of spelling or punctuation, omissions, or inadvertent repetitions occurring in the original may not be corrected; they must be recorded as they stand in the original. Only approved inks, papers and binders may be used (see Section 2, above). The approved processes, as used in the past and present, are briefly described below:

Transcription. In recording by transcription, the instrument would be copied by hand or by typewriter into a record book. Transcription is rarely, if ever, used today.

Photographic Process. Photocopying is a direct photographic system. Photostatting is another method though no longer in use. Using these processes, the image of the document would be transferred directly to the record book page. One advantage of using a direct system was that the recording process could be completed within the town clerk's office without any intermediate steps related to the creation of a negative.

Micrographic Process. Microfilming is an indirect photographic system. Records would be photographed with a microfilm camera, and at periodic intervals the film would be sent out to a laboratory for development. The master negative would then be used to produce paper copies, either at the same size as the original records or at a reduced size, and these would be returned to the recording office and inserted into binders.

Digital Imaging. Digital imaging was approved as a recording method in 1997 under Public Act 97-89, An Act Concerning the Recording, Copying and Maintenance of Certain Public Records. The record must also be produced in an eye-readable format, i.e. paper format with microfilm security copies. The printed land records are the official permanent record.

Town clerks must set a printing schedule that produces, at minimum: (1) a daybook each day; (2) a collated month-to-date index each week of the current month; and (3) a collated year-to-date index at each month's end, as specified in GL 2006-1, Format Requirements for Land Records and Indices. Paper meeting archival standards can be expensive and clerks should use this paper only for the final printed copies of the indexes, not for the intermediate printouts that will be replaced once collated. Good quality office paper is acceptable for intermediate printouts.


6.1.2 eRecording

Electronic recording, also known as eRecording, refers to the delivery and return of an electronic document, using an electronic document delivery system, for the purpose of recording that document on the land records. eRecording is essentially a document delivery system. All recording, whether for paper or electronic documents, continues to be managed in the same manner within the same land recording system. eRecording is the preferred submission method for some submitters and may also reduce processing time and costs for the town clerk’s office. Clerks have the option to offer eRecording; and must continue to also accept paper documents. eRecording is implemented in accordance with the Regulation concerning Real Property Electronic Recording (Administrative Regulations §7-35ee-1 through §7-35ee-10), effective April 1, 2013; and the Uniform Real Property Electronic Recording Act (CGS §7-35aa through §7-35gg), effective October 1, 2009; both online as referenced in Section 8.

6.1.3 Unrecordable Documents

Pursuant to CGS §7-24, “all instruments required by law to be recorded shall be recorded at length by the town clerk….” Occasionally “common-law liens” and certain affidavits, which have not appeared to conform to Connecticut legal practices for land record filing, have been presented to town clerks for recording on the land records. On October 17, 1984, the Attorney General of the State of Connecticut issued a formal opinion (No. 84-123) regarding the recordability of “common-law liens." The opinion states that “…‘common law liens’ are not recordable because they are not recognized by Connecticut case law or statutes….” The opinion notes that CGS §7-24(b) provides that each town shall maintain a recording system, approved by the public records administrator, in which all instruments “required by law to be recorded shall be recorded.” The opinion concludes, “[w]e read this to mean that Town Clerks may only record instruments which are valid under the laws of the State of Connecticut; these instruments are ‘required by law’ to be recorded.” On July 23, 1996, an Assistant Attorney General provided follow-up advice regarding the recordability of other similar documents, one being an “affidavit of truth” and the other being an “affidavit of citizenship.” His memorandum concludes that these documents should not be recorded because they are similar to “common-law liens” and are not legally operative instruments. Copies of these two opinions may be requested through the Office of the Public Records Administrator. See also Chapter 2, Land Record Documents, in this handbook.


6.1.4 Attestation of Land Records

Pursuant to CGS §7-14, the town clerk or assistant must note the date and time of filing and the name of the recording officer on each recorded document. The information may be written, stamped or printed. A formal attestation is then provided in a certificate at the end of each record volume, which is signed and sealed by the town clerk. The certificate is worded as follows: ......................., 20...... This is to certify that all of the copies of instruments in volume .............., pages .............through..........., of the land records of the town of ...................................., covering the period from ...........................through......................., are true copies of the original instruments received for record. ..........(Seal) TOWN CLERK

Note that when transcribing records, the town clerk or assistant town clerk was required to provide an attestation on each record, stating it to be a true and accurate copy of the original, and including the time and date of receipt and a handwritten signature. The town clerk must in the last analysis assume responsibility for the accuracy and completeness of the record copies in his or her custody. It is therefore imperative that the record copy be carefully checked against the original. Each copy must be inspected thoroughly to be sure that it is complete and legible throughout.

6.1.5 Indexing of Land Records

Statutory requirements for land record indexes are found in CGS §7-14, §7-24, §7-25 and §7-25(a). Two indexes are required, the daily index and the general index. Daily Index. Pursuant to CGS §7-24, land records must be entered to a chronological list, known as the daily index or day book, within 24 hours of receipt. The index includes the date and time of receipt, type of instrument, a listing of the named parties, and the location of any real property affected, if the location is stated in the instrument. General Index. Pursuant to CGS §7-14 and §7-25, land records must be entered into the general index within 5 days of receipt. The general index is divided into two main sections, the grantor index and the grantee index, and these are organized alphabetically. It contains essentially the same information as the daily index, but is more detailed and inclusive. Each instrument is entered once for each grantor and once for each grantee named in the instrument. If a particular instrument names five persons as grantors and three as grantees, then there will be a total of eight index entries for that instrument; five entries on the grantor side and three entries on the grantee side. It lists all of the instruments recorded over a period of time.


Over the years, systems developed to facilitate the alphabetic indexing process. Simple indexes consisted of bound or loose-leaf books with tabbed guide sheets to indicate major alphabetic divisions. "Key sheets" were used to further subdivide each alphabetic section. In addition, frequently occurring names and corporation names were often "set out" and assigned special pages, for greater ease and speed in searching. Over time, offices began using computer-based technologies to create electronic indexes, producing printed books in strict alphabetical organization, as well as allowing for computer-based searching. Pursuant to CGS §7-25a, as of January 1, 2009, every town is required to provide “public access to an electronic indexing system that combines the grantor index and the grantee index of the town’s land records.” A retroactive conversion of the manual index to electronic format is not mandated by this statute. See GL 2008-1, Public Access to Electronic Indexing Systems Mandated by the General Assembly, online as referenced in Section 8.

6.1.6 Correcting Index Errors

When correcting an error in an index, it is necessary to provide notice of the correction within the index and to maintain a record of the correction. Pursuant to CGS §7-24 and GL 92-2, Corrections to Land Record Index Volumes, all town clerks must follow this procedure:

Corrections to Land Record Index Volumes

1. Each page of the Land Record Index (Grantor/Grantee) shall be dated with the date the index is printed and produced.

2. In the event that an entry has been corrected, the town clerk shall retain a copy of the original incorrect entry (Original Entry Report).

3. The Original Entry Report shall be maintained for a minimum of 15 years.

4. The date the correction has been made shall appear in the description column, in addition to any other data that the town clerk deems necessary.

5. This system has been devised to accommodate the numerous indexing systems utilized by the Connecticut Town Clerks. It has been developed in consultation with Connecticut Town Clerks Association.

6. Please post this directive in your office or vault in a place where it is visible to searchers.

7. Effective for all corrections made after July 1, 1992.

6.1.7 Consolidation & Reindexing

When an index has grown to the point that it may become unmanageable, it should be closed and a new one started. Many offices make it a practice to do this periodically on a regular basis. This may eventually result in the accumulation of several sets of closed indices that can be consolidated if needed. In addition, it may sometimes become advisable or necessary to remake an existing


index or set of indices. The books may have become excessively worn through use or have grown to such a size that they cannot be handled easily. Some of them, particularly the early ones, may be full of errors of commission or omission. For these reasons, a town clerk may decide to recreate an index or to have a new index prepared directly from the records.

6.1.8 Labels & Signs

Each volume of a closed general index should be plainly identified, both on the spine and on the front cover. This identification, in large clear lettering, should show the type of index (grantor or grantee), the numbers of the land record volumes it covers, and the years included, in substantially the following fashion:

Grantor Index Andover Land Records Volumes 1 through 16

1848-1930

The general index volume in current use should be similarly identified, except of course that the final land record volume covered and the closing date must be left blank until such time as the index is actually closed. The use of signs to indicate the locations of the various indexes is strongly recommended. Especially for the infrequent or one time user of the records, it is often difficult to know where to begin a search. It is helpful to indicate the locations of the general index, daily index, map index, etc; where instruments not yet recorded may be seen; and to provide information regarding use of the public access computers.

6.1.9 Annual Examination of Indexes

CGS §7-14 directs the administrative head of the town to “annually appoint some suitable person to carefully examine the indexes of the land records…for the preceding year and to note and report in writing to the town clerk all errors and omissions….” The administrative head must also check the condition of the records and cause them to be repaired or rebound “as necessary for the preservation of such records.” Pursuant to CGS §7-26, the town clerk must correct all noted errors and omissions. Under CGS §7-14, the administrative head must submit a certificate to the Public Records Administrator by December 30th of each year, stating that the inspections and examinations have been completed for the records of the previous year. The examination certificate requires the signatures of the examiner, town clerk and administrative head and must be notarized. Examination certificates can only be accepted for an entire calendar year, not for a fiscal year or a partial year. If the indexing has been performed in house by the Town Clerk staff, then the examination services can be provided either by the land records system vendor or by another qualified vendor or individual contractor.


If the indexing has been performed by the land records system vendor, it is strongly recommended that the town not use the same vendor for examination services, unless the examination is performed by staff in a separate division than those performing the indexing; instead use another qualified vendor or individual contractor. The regulation, Examination of the Indexes and Inspection of Records of the Towns (Administrative Regulations §11-8-13 through §11-8-18) gives additional specifications. The regulation and the certificate (Form RC-074) are available online as referenced in Section 8.

6.2 Maps & Indexes

6.2.1 Filing Requirements

All maps or plans filed with the town clerk shall conform to the provisions of CGS §7-31 and the regulations, Filing Requirements for Maps (Administrative Regulations §11-8-19 to §11-8-26). The definitions of maps and plans are provided under Admin. Regs. §11-8-20. All requirements noted below for maps apply equally to plans. Pursuant to CGS §7-31, any person who owns or has an interest in land may have the land surveyed and have a map prepared. If the map bears the seal and certification of a design professional, it may be filed for permanent preservation in the office of the town clerk of the town in which the land is located. A design professional is an architect, professional engineer, land surveyor or landscape architect, as defined in Admin. Regs. §11-8-20 (a). In addition to bearing the seal and certification, any map presented to the town clerk for filing must meet the following requirements:

1. It must be produced by (1) wash off photographic polyester film, (2) fixed line photographic polyester film, or (3) original ink drawing on polyester film or linen. The process used must be certified by a stamp in red indelible ink, 1" x 2", and include the name of producer and the process used.

2. It must be in one of three sizes: 36" X 24", 18" x 12", or 18" x 24".

3. If polyester film ("mylar") is used, it must be matte on at least one side.

4. If it includes any new streets or highways, or any changes in existing street or highway lines, it must bear the approval of the municipal authorities empowered by law to approve the layout of highways.

Public service companies are exempt from the requirement that maps be certified by a land surveyor; but the maps must conform as to materials and size. There are no other exceptions. Town clerks should refuse to accept any map that fails to conform fully to all the above requirements. The live seal or live stamp of the design professional must show that the individual is licensed by the State of Connecticut. Town clerks may not accept a map with a stamp or seal indicating an out-of-state license, unless accompanied by a copy of a letter from


the Board of Registration granting permission to practice in Connecticut while awaiting processing of the Connecticut license. For further information, see GL 2005-1, Licensing Requirements for Design Professionals Filing Maps. Maps may be recorded by a photographic process approved by the Public Records Administrator and the original retained for reference. Maps must be properly stored -- either flat in map drawers, or hanging in specially designed map cabinets, or rolled on dowels or in special “honeycomb” files. Maps should never be folded or creased as this results in tearing or breaking along the folds and loss of significant information. They should not be mounted on boards or other materials. Older paper maps with cloth backings must be filed flat and not rolled. The town clerk is required to furnish certified copies of any map on file in his or her office at the request of any individual (CGS §7-31). Never send an original land record map out to another office or a copying service by mail or messenger. The clerk should take it or send it in the care of an assistant town clerk, and wait until the copy is made and the original returned into his or her hands. Land record maps are as vital a part of the permanent records of the town as the deeds and should be treated accordingly. Pursuant to Admin. Regs. §11-8-21(i), microfilming is required: "Security film of maps or plans placed on file in the office of the town clerk shall be required and stored in a manner similar to security film of deeds." See Section 5.2, above, for further information.

6.2.2 Map Indexing

When a town clerk has accepted a properly produced and certified map for filing, he or she should immediately endorse thereon the date and time of filing, on the face of the map; and assign the map a number, which serves as an identification and a locator number. Pursuant to CGS §7-32, the town clerk is required to maintain two separate index books called "The Index of Surveys and Maps" and "The Index of Surveys and Maps by Streets." These indexes must include the following information: map title; name of the owner or owners of the land shown in the map; date of filing; date of the survey; a brief description of the plot surveyed; and the identification number. In addition, the street index must show the name of the street or streets on which the property abuts.

6.3 Vital Records & Indexes

As used in this chapter, the term "vital records" refers to the records concerning births, marriages, civil unions, deaths and fetal deaths. Pursuant to CGS §7-37, the town clerk is, ex officio, the registrar of vital statistics for the town, except in towns where a separate official is appointed or elected as registrar. The Department of Public Health has general supervision over the registration of births, marriages, civil unions, deaths and fetal deaths in Connecticut. Most questions regarding vital records should be referred to this department (see also Chapter 4, Vital


Records, in this handbook). The responsibility of the Public Records Administrator is strictly limited to matters that bear on the physical safety and preservation of these records. Pursuant to CGS §7-42, vital records must be kept in fire-resistant vaults or safes. They must be kept within the town’s vault or the registrar's office, unless approval is received from the Department of Public Health and the Public Records Administrator to store records not in current use at another location within the town's limits. The following requirements are specified by the Department of Public Health and any questions should be directed to that agency:

In a vault that is open to the public, only the indexes to marriages, civil unions and deaths, and indexes to births and fetal deaths older than 100 years, may be stored on open shelving.

Indexes to births and fetal deaths within the past 100 years, and all vital record certificates, must be stored in locked cabinets, the cabinets must be kept locked at all times, and the keys must be held securely in a staff area.

6.4 Military Discharge Records (Form DD 214)

Public Act 02-137, An Act Concerning the Confidentiality and Retention of Military Discharge Documents…, mandates the confidentiality of military discharge documents filed by or on behalf of a veteran with a public agency before, on, or after October 1, 2002, except a military discharge document recorded before October 1, 2002, on the land records of the town; and that the documents shall be retained by the agency apart from the other records of the agency. The contents of military discharge documents shall be confidential for 75 years from the date of filing, with certain exceptions as noted in CGS §1-219, which should be consulted for further information. To maintain confidentiality of these records within a vault that is open to the public, the records must be stored in locked cabinets, the cabinets must be kept locked at all times, and the keys must be held securely in a staff area. For information on accepting ink signed or electronically signed originals and certified copies of Military Discharge Documents, refer to PRM 102: Filing of Military Discharge Documents (DD Forms 214, 214C, and 215), online as referenced in Section 8.

6.5 Minutes

Town meeting minutes must be maintained and preserved by the town clerk and must be kept in the vault. Only approved inks, papers, and binders may be used in their preparation and storage (see Section 2, above). Minute books must never be used as scrapbooks; the inclusion of extraneous material in minute books using tape, paste, staples, paper clips, or other similar devices is not permitted. Any material to be entered in a minute book must be recorded using the same techniques as are


permitted in recording of land records. In addition to town meeting minutes, the minutes of the various boards and commissions within the town may also be deposited in the town clerk's office for public reference. While the town clerk may have no control over the way in which these minutes are prepared, he or she is nevertheless obligated to preserve them. Also note that the minutes, reports, or official records, or copies of them, of certain municipal boards and agencies are required by specific legislation to be deposited in the town clerk's office. These include audit reports (CGS §7-393), boards of finance minutes and records (CGS §7-342), municipal housing authority reports (CGS §8-63), and certain zoning records (CGS §8-3 and §8-5).

6.6 Election Records

Under CGS §9-3, the Secretary of the State is the commissioner of elections, and is given specific authority and power to advise, assist, and regulate the conduct of elections (see Chapter 5, Elections, in this handbook). As commissioner of elections, and as required by CGS §3-87, the Secretary of the State publishes, after each regular session of the General Assembly, a compilation of the election laws of the state, which is distributed to all local election officials. Since this chapter is limited to a consideration of records and records management, no reference will be made here to the duties and responsibilities of the town clerk in connection with elections except those in the area of recordkeeping. Election records fall under the same retention and disposition requirements as other records. The election calendar issued by the Office of the Secretary of the State does not provide records disposal authorization. As with other records, it is necessary to consult the most current retention schedule and to request prior approval for records disposition (see Section 4, above). However, town clerks should be aware that certain records concerning absentee and paper ballots must by law be destroyed a specific number of days after an election, if no contest is pending and no subpoena has been issued by the State Elections Enforcement Commission. Since the law requires that they “shall be” destroyed at a specified time, it is not necessary to request approval for records disposition from the Office of the Public Records Administrator for these specific records. Nevertheless, the clerk should maintain a record of the date and method of destruction and retain it with the approved Form RC-075 for other records. The town clerk must ensure that these records are destroyed promptly at the specified time. Consult the most current retention schedule for detailed information regarding the absentee and paper ballot records series. While election records are in the town clerk's custody, the clerk should carefully maintain their security. Records should be stored in sealed containers and inspection should be permitted only under legally recognized circumstances.


6.7 Other Records

In some cases, certain records are kept in the town clerk's vault because there is no other fire-resistive storage available in the town. For example, other town officials, boards, or commissions may use the town clerk's vault for the storage of their records. In addition, there may be some records in the vault that are no longer created but may still require retention. Some of these record types are described below:

Tax Records. Four types of tax records are often stored in the town clerk's office. They are tax lists, tax abstracts, rate bills, and duplicate tax receipts. Of these, only the tax abstracts (also known as “grand lists”) are required by law to be in the custody of the town clerk. In many towns the municipal suspense tax books, and the assessor's maps, street cards and owners' cards are also kept in the town clerk's vault.

Militia Enrollment Records. For many years, selectmen were required to make annual enrollments of all male citizens between the ages of 18 and 45, and to lodge these lists in the town clerk's office. Such lists often take the form of small notebooks, titled "Military Enrollment" or simply "Militia." Since these have not only legal status as public records but also considerable historical value and interest, they should be preserved.

Financing Statements. Prior to October 1, 1961, chattel mortgages, conditional sales contracts and similar instruments were filed in the office of the town clerk, who was required to index them and keep them in a separate file. Under CGS §42-78, the town clerk was directed to retain notices of intent to sell for seven years from the date of filing, and to retain conditional sales contracts and chattel mortgages for three years from the date of the final payment.

On the effective date of the Uniform Commercial Code, October 1, 1961, this section of the law was repealed. However, the Attorney General's Office advised the Public Records Administrator that it still continued in force for instruments filed with town clerks prior to October 1, 1961. It is therefore permissible for town clerks to request disposition of old notices of intent, chattel mortgages, and conditional sales contracts after the specified time and under the conditions described in CGS §42-78.

6.8 Non-Record Materials

A non-record is an “item that is not usually included within the scope of official records.” Examples of non-records are duplicate copies of the official record copy kept only for convenience; published books or reference materials; and stocks of blank forms. Disposition of non-records does not require the permission of the Public Records Administrator. However, if there is any doubt about whether an item is a record or non-record, contact the Public Records Administrator for guidance. Town clerk's offices have been, by law and tradition, depositories for items that are not official town records, such as published books, brochures and duplicate copies of town publications. There is no need to keep non-record materials within the vault. When


space is limited, it should not be used for the storage of non-records, since these items are not irreplaceable and their loss, through fire or theft, would not be critical to the functions of the office. Note that CGS §7-35 requires that the town clerk maintain in the office only the latest editions of the following publications for public use:

General Statutes of Connecticut; Cumulative Supplements to the General Statutes of Connecticut; Special Acts; and the Connecticut State Register and Manual.

CGS §51-216a lists publications of the Commission on Official Legal Publications, and under CGS §51-216b(d), a town clerk may certify to the Commission that volumes of reports in his or her office "are not of substantial use to the people of the town" and ask permission to return them to the Commission. These publications include:

Connecticut Reports, Connecticut Law Journal, and Connecticut Practice Book.

It may be possible to donate certain non-record materials to the town’s public library or historical society, if they are no longer needed in the town offices. These could include older sets of the General Statutes, both general and special, the House and Senate Journals, the Connecticut Public Document Series, and the Register and Manual. Certain reference materials may be in short supply at the State Library, and the clerk may contact the library to see if it needs sets or portions of sets to fill out its reserve stocks. Contact the Collection Services staff at the State Library at (860) 757-6500. Others may be surplus, suitable for destruction. Finally, there are some book dealers that specialize in older law materials, and a clerk may contact these dealers to see if they are interested in any outdated, non-record items (for example, the Law Book Exchange at www.lawbookexchange.com).

6.9 Town Publications – State Library Submission

The town clerk is required to provide the Connecticut State Library with reference copies of the town’s official publications, including its ordinances and special acts, pursuant to CGS §7-110 and §7-148a. At the time of publication, clerks are required to submit two copies of each of the following types of publications:

Ordinances and special acts, including compilations and supplements

Charters and charter revisions

Regulations and codes (for example, zoning and subdivision regulations; building codes)

Annual reports

Comprehensive annual financial reports (CAFRs)

Any other official town publications

http://www.lawbookexchange.com/


Mail two copies of each publication to: Connecticut State Library, Collection Services, ATTN: Municipal Documents, 231 Capitol Avenue, Hartford, CT 06106. If the publication is available on the town’s website, the clerk should also submit the website link. Send an email to: [email protected]. Include the title of the publication and the website link; and state that two printed copies are also being mailed to the State Library. Questions regarding these requirements should be directed to the Collection Services staff at the State Library at (860) 757-6500. In addition, be aware that the town clerk is required to submit copies of ordinances/special acts, including compilations and supplements, to the office of the Secretary of the State, the bar library in the judicial district in which the municipality is located, and the courthouse library of the court nearest to the municipality, pursuant to CGS §7-148a. For courthouse library contact information, see www.jud.ct.gov/lawlib/staff.htm. If the district has a bar library, the courthouse library can also provide bar library contact information.

7. Historic Documents Preservation Program

7.1 Program Overview

The Historic Documents Preservation Program was established July 1, 2000 under Public Act 00-146, An Act Concerning Real Estate Filings and the Preservation of Historic Documents and codified in CGS §11-8i through §11-8n. This legislation created an "historic documents preservation account" for the "preservation and management of historic documents," to be funded through a fee on land recordings. The fee was later increased under Public Act No. 17-2, An Act Concerning the State Budget…, effective December 1, 2017. Effective December 1, 2017, municipalities collect a $10 fee, with $6 directed to records preservation and management. From the $6, town clerks retain $2 for records preservation and management and remit $4 for deposit to the program’s account. In addition, $4 is remitted for deposit to the state’s General Fund. (Prior to December 1, 2017, municipalities collected a $3 land recording fee, retaining $1 for the town clerks’ offices and remitting $2 for deposit to the program’s account.) Pursuant to CGS §7-34a(d), the state portion of the fees must be remitted by the fifteenth day of the following month. Pursuant to CGS §11-8ℓ(d), seventy percent of the preservation account funds a municipal grant program, administered by the Public Records Administrator. Pursuant to CGS §11-8k(c), thirty percent of the account is used for the preservation

mailto:[email protected]

http://www.jud.ct.gov/lawlib/staff.htm


and management of historic documents maintained by the State Library and the administration of the grant program. The "preservation and management of historic documents" is specified in CGS §11-8j as "activities that include, but are not limited to, the following:

(1) The restoration and conservation of land records, land record indexes, maps or other records;

(2) the microfilming of land records, land record indexes, maps or other records;

(3) the use of information technology to facilitate the performance of duties integral to the maintenance and tracking of historic documents;

(4) providing public access to an electronic indexing system that combines the grantor index and the grantee index of a town’s land records;

(5) the assessment or upgrading of records retention facilities;

(6) disaster recovery; and

(7) the training of personnel to perform duties integral to the maintenance and tracking of historic documents."

Pursuant to CGS §11-8n(b), there is an Advisory Committee to advise the State Librarian concerning the program. This committee includes town clerks representing small, medium and large towns from all geographic regions of the state.

7.2 Municipal Grants

The program funds targeted and disaster recovery grants:

Targeted grants fund projects in specific (or "targeted") categories, which are announced annually in the targeted grant guidelines. These grants are available to every town submitting a complete application for an eligible project by the application deadline. Targeted grant award amounts are set each year for small, medium, and large towns, based on town population size.

Disaster recovery grants help towns cover the costs of recovering essential, permanent or archival records damaged during a disaster. These grants reimburse uninsured expenses up to a predetermined sum for records in any department in the event of a records disaster and are subject to availability of funds.

Also note that the Office of the Public Records Administrator must be notified as soon as possible following the discovery of any disaster affecting municipal records, whether or not the town intends to apply for a grant (See Section 5.3, above).

For additional information, including grant guidelines and forms, see the Historic Documents Preservation Program page (https://ctstatelibrary.org/publicrecords/hdpp).

https://ctstatelibrary.org/publicrecords/hdpp


7.3 Town Clerks’ Dollar Fund

A portion of the land recording fee is retained by the town clerk's office for the “preservation and management of historic documents," pursuant to CGS §7-34a(d), and as defined further in CGS §11-8j (see Section 7.1, above). Currently this amount is $2. This funding is often referred to informally as the "dollar fund." While the town clerk’s office may retain other fees as well, the $2 fee related to the Historic Documents program can only be used for records preservation and management and should therefore be tracked as a separate account or line item. The funds may not be made part of the operating budget of the municipality. Any balance in the fund at the end of the town's fiscal year must remain in the account and be carried forward. If the town clerk experiences difficulty in maintaining access to these funds, the clerk may contact the Public Records Administrator for assistance.

8. Link to Policies, Guidelines & Resources

Public Records Administrator policies, guidelines, forms and retention schedules cited in this chapter – and additional resources – are available on the State Library’s Municipal Records Management Program webpage:

http://ctstatelibrary.org/publicrecords/municipal We recommend saving this page as a ‘bookmark’ or ‘favorite’ in your internet browser for quick reference. New or updated policies, guidelines, forms and retention schedules are issued periodically; always check this webpage for the most current information.

http://ctstatelibrary.org/publicrecords/municipal