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R-1166 - 03/27/2012 - FOIA - Resolutions Supporting Documents11101 O.F.4 ) ffEll 6.F.5j AGENDA ITEM Regular Board of Trustees Meeting of March 27, 2012 SUBJECT: Freedom of Information Rules and Regulations � FROM: Blaine Wing, Assistant Village Manager1� BUDGET SOURCE/BUDGET IMPACT: NA RECOMMENDED MOTION: I move to adopt Ordinance 2012 - VCODE - FOIA -G -968 and Resolution 2012-FOI-REGS-EXI -R-1 166, which repeals the Village's current FOIA rules, regulations and code and replaces it with the State of Illinois Freedom of Information Act, pending final review by the Village Attorney. Background/History: Since late 2008 the Village of Oak Brook has continued to spend a great deal of attention on Freedom of Information (FOI) requests in order to comply with the State FOI Act and amendments. In 2009, the Village implemented a web -based FOI system and in 2010, the Village added an archive component. Now in 2012, with the addition of several new amendments to the FOI Act, staff has spent several hours with Holland & Knight, LLP., streamlining the Village's processes. During the time spent, revised forms and procedures have been developed. At this time, staff as well as the Village's attorneys from Holland & Knight are recommending repealing the Village's current FOI Act rules, regulations and code and replacing them with the State's FOI Act. As the State continues to amend the FOI Act almost yearly, staff will now be able to focus on requests instead of continually modifying the Village's rules. Recommendation: Staff recommends the approval of Ordinance 2012 - VCODE - FOIA -G -968 and Resolution 2012 - FOI -REGS -EXI -R -1166, which repeals the Village's current FOIA rules, regulations and code and replaces it with the State of Illinois Freedom of Information Act. W 4� RESOLUTION 2012-FOI-REGS-EX1 -R-1 166 A RESOLUTION ADOPTING THE VILLAGE OF OAK BROOK RULES AND REGULATIONS IMPLEMENTING THE FREEDOM OF INFORMATION ACT WHEREAS, the Village of Oak Brook ( "Village ") is subject to the Illinois Freedom of Information Act, 5 ILCS 140/1 et seq. ( "Act'); and WHEREAS, the Illinois General Assembly has approved numerous and comprehensive amendments to the Act; and WHEREAS, it is appropriate and in the public interest that the Village: (i) assist the public in making requests under the Act; (ii) better ensure that Village employees follow proper procedures in responding to requests under the Act; (iii) facilitate efficient compliance with the Village's duties under the Act; and (iv) delegate to appropriate Village officers and employees the authority and duty to carry out the requirements of the Act; and WHEREAS, pursuant to Subsection 3(h) of the Act, 5 ILCS 140/3(h), the Village may promulgate rules and regulations consistent with the Act pertaining to the availability of records and the procedures to be followed to obtain public records; and WHEREAS, the President and the Board of Trustees desire to adopt rules and regulations regarding public access to Village records and documents, and to ensure compliance with the comprehensive amendments to the Act; and WHEREAS, the Village President and Board of Trustees hereby find and determine that it is in the best interest of the Village to approve, and that open and efficient government will be served by the approval of, rules and regulations for the implementation of the Act. NOW, THEREFORE, BE IT ORDAINED BY THE PRESIDENT AND BOARD OF TRUSTEES OF THE VILLAGE OF OAK BROOK, DU PAGE AND COOK COUNTIES, ILLINOIS as follows: Section 1: Recitals. The foregoing recitals are incorporated into, and made a part of, this Resolution as the findings of the Village President and Board of Trustees. Section 2: Approval and Adoption of FOIA Rules and Regulations. Pursuant to Subsection 3(h) of the Illinois Freedom of Information Act, 5 ILCS 140/3(h), the President and Board of Trustees shall, and do hereby, approve and adopt the Village of Oak Brook Rules and Regulations Implementing the Freedom of Information Act ( "Rules and Regulations "), in substantially the form attached to this Resolution as Exhibit A. Section 3: Delegation of Authority. The President and Board of Trustees shall, and do hereby direct, all Village officers and employees designated in the Rules and Regulations to take all steps necessary to implement the Act in accordance with the Rules and Regulations. Section 4: Effective Date. This Resolution shall be in full force and effect upon passage and approval in the manner provided by law. [SIGNATURE PAGE FOLLOWS] APPROVED THIS 27th day of March, 2012. PASSED THIS 27th day of March, 2012. Ayes: Nays: Absent: Resolution 2012- FOI- REGS -IXi -R -1166 Adopting Rules & Regulations re: FOIA Page 2 of 3 Gopal G. Lalmalani Village President ATTEST: Charlotte K. Pruss Village Clerk EXHIBIT A #11093940_vl Resolution 2012- FOI- REGS -EXI -R -1166 Adopting Rules & Regulations re: FOIA Page 2 of 3 VILLAGE OF OAK BROOK RULES AND REGULATIONS IMPLEMENTING ILLINOIS FREEDOM OF INFORMATION ACT These Rules and Regulations (the "Rules ") include the procedures, instructions, and forms for requesting public records from the Village of Oak Brook ( "Village ") under the Illinois Freedom of Information Act (the "Act "). The Village will respond to written requests for inspection, copying, or certification of public records in accordance with the Act, these Rules, and any other applicable law. Generally, under the Act, the Village will provide public records for inspection or copying as requested except for records that are specifically exempted from disclosure by the Act or other applicable law. Requests and other communications relating to public records should be submitted online on the Village's website, http: / /www.oak- brook.org, or by sending a request to the Village's Freedom of Information Officer: Freedom of Information Officer, Village of Oak Brook, 1200 Oak Brook Road, Oak Brook, Illinois 60523. The Village Hall telephone number is (630) 368 -5000. I. INTERPRETATION A. Conflicts These Rules do not supersede the provisions of the Act. If a provision of these Rules conflicts with the Act, then the provisions of the Act will govern. B. Definitions In addition to the definitions provided in the Act or elsewhere in these Rules, the following definitions apply: 1. Business Hours: 8:30 a.m. to 5:00 p.m. on a Business Day. 2. Business Day: Any day on which general offices of the Village at the Village Hall are open and staffed for regular public business. Business Days generally are Monday through Friday, except federal and state holidays. 3. Freedom of Information Officer: The Freedom of Information Officer of the Village identified above and designated under Section 3.5 of the Act. 4. Public Access Counselor: The Public Access Counselor of the Office of the Illinois Attorney General. 5. Recurrent Re uester: A person that, in the 12 months immediately preceding submission of a Request, has submitted to the Village (i) a minimum of 50 Requests, (ii) a minimum of 15 Requests within a 30 -day period, or (iii) a minimum of seven Requests within a 7 -day period. For purposes of this definition, Requests made by news media and non - profit, scientific, or academic organizations shall not be considered in calculating the number of Requests made in the time periods in this definition when the principal purpose of the Requests is (i) to access and disseminate information concerning news and current or passing events, (ii) for articles of Holland & Knight LLP (Copyright ® 2012) opinion or features of interest to the public, or (iii) for the purpose of academic, scientific, or public research or education. 6. Request: A request to inspect, copy, or certify public records. 7. Request Made for Commercial Purposes: A Request made with the intent to use the requested records (or the information derived from those records), in whole or in part, for sale, resale, or solicitation or advertisement for sales or services. However, a Request submitted by news media or by non - profit, scientific, or academic organizations will not be deemed to be made for commercial purposes if the principal purpose of the Request is (a) to access and disseminate information concerning news and current or passing events, (b) for articles of opinion or features of interest to the public, or (c) for the purpose of academic, scientific, or public research or education. 8. Re uq ester: A person, firm, or corporation that files a Request with the Village. 9. Response Time: The time for response by the Village to a request for public records, as calculated pursuant to Subsection III.A of these Rules. C. Days; Measurement of Time Days. In counting the number of days allowed for a response or a decision to be given by the Village under the Act and these Rules, the Village will not include the day on which the request or notice requiring the response or decision was first received. 2. Supplemental Requests. Supplemental, amended, or additional Requests will not relate back to the time of receipt of the initial Request. Supplemental, amended, or additional Requests will be considered new Requests for purposes of determining the applicable Response Time. Response Date. All responses and decisions to be issued by the Village under the Act and these Rules will be deemed to have been given on (a) the date of personal delivery to the person or to the residence of the person entitled to the response or decision or, (b) if mailed, faxed or sent by electronic mail, on the date of mailing, faxing, or sending by electronic mail regardless of the date of actual receipt by that person. Each response and decision may include proof of service evidencing the method by which, and time at which, the response of decision was delivered. II. REQUESTS FOR INSPECTION, COPYING, OR CERTIFICATION OF PUBLIC RECORDS A. Officials Responsible for Responding to Requests The Freedom of Information Officer is the person administratively responsible for receiving and processing Requests. The Freedom of Information Officer is the person with authority on behalf of the Village to grant or deny Requests, to extend the Response Time, and to issue the appropriate notices with respect to all related matters. The Freedom of Information Officer, or his or her designee, may consult with Village staff, officials, and others as appropriate before responding to a Request. Holland & Knight LLP (Copyright 0 2012) The Village may, from time to time, appoint.Deputy Freedom of Information Officers to assist the Freedom of Information Officer in the performance of his or her duties under the Act and these Rules. In the absence of the Freedom of Information Officer, the Deputy Freedom of Information Officers are authorized to grant or deny Requests, to extend the Response Time, and to issue the appropriate notices with respect to all related matters. B. Form of Request Required Information. A Request must be filed with the Village in writing and in English. The Village encourages Requesters to submit requests on the Village's website, http: / /www.oak- brook.org, or on the convenient form attached to these Rules ( "Official Request Form ") or in a similar form that contains, at a minimum, the following information: a. The Requester's name; b. Either the Requester's mailing address, e-mail address, or telephone number; C. A description of the public records requested; d. An indication of whether the Requester intends to use the records, or the information derived from those records, for sale, resale, solicitation, or advertisement for sales or services, and if so: a statement of whether the Requester is, or represents, news media or a non - profit, scientific or academic organization; and ii. a statement of whether the principal purpose of the Request is either (i) to access and disseminate information concerning news and current or passing events, (ii) for articles of opinion or features of interest to the public, or (iii) academic, scientific or public research or education. Use of the Official Request Form is the most effective way to obtain a prompt, full, and complete response by the Village to a Request. 2. Sunplemental Information. If a Requester submits a Request on a form other than the Official Request Form, and the Request does not contain all of the information required pursuant to Paragraph II.B.1 of these Rules, then the FOIA Officer may request the Requester to provide additional information. 3. Requests Must Be Complete. No Request will be deemed complete, and the Village shall have no obligation to produce the requested records, unless and until the Request contains, at a minimum, all of the information required pursuant to Paragraph ILB.1 of these Rules. 4. Subpoenas. Except as provided in Section 9.5(c) of the Act, these Rules will not apply to any subpoena for records received by the Village and issued by, or in accordance with the rules of, a court or agency of competent jurisdiction. Holland & Knight LLP (Copyright C 2012) C. Submittal of Request Completed Requests must be filed with the Village Freedom of Information Officer by United States mail, facsimile, overnight courier service, electronic mail, the Village's website, or in person, in accordance with the following: In- Person Submissions. Requests submitted in person should be given to the Freedom of Information Officer or filed in the office of the Village Clerk. If a Request is submitted to a Village officer or employee other than the Freedom of Information Officer, that officer or employee shall immediately provide the Request to the Freedom of Information Officer. 2. Electronic Mail Submissions. Requests submitted by electronic mail will be deemed received only upon actual receipt by the Freedom of Information Officer on a Business Day during Business Hours, regardless of date or time of submission. 3. All Other Submissions. Requests submitted by mail or other means must be addressed to the Freedom of Information Officer at the Village Hall and will be deemed received only upon actual receipt by the Village on a Business Day, regardless of date of submission. All Village officials and employees who receive a Request must immediately forward that Request to the Freedom of Information Officer. D. Processing of Request If the Freedom of Information Officer determines that the Request is not complete, the Freedom of Information Officer may send a notice to the Requester within five Business Days after receipt by the Village of the Request to request additional information. If the Freedom of Information Officer determines that the Request is complete, the Freedom of Information Officer must indicate on each completed Request the date and time of receipt and, if known, the date on which the Village must respond to the Request, or log the Request into the Village's electronic records FOIA database and include this same information. 2. The Freedom of Information Officer must maintain an electronic or paper copy of the Request, including all documents submitted with the Request, until all matters related to the Request have been completed. 3. The Freedom of Information Officer must create an electronic or paper file for the retention of the original Request, a copy of the response by the Village, a record of all written communications with the Requester regarding the Request, and a copy of other communications related to the Request. 4. The Freedom of Information Officer must keep all Responses to Request for Public Records in a single central office file or electronic database. Holland & Knight LLP (Copyright C 2012) III. RESPONSES TO REQUESTS A. Time for Response 1. Requests Made for Commercial Purposes. The Village will respond within 21 Business Days after a complete Request Made for Commercial Purposes is received by the Village. The response shall be: (i) an approval of the Request; (ii) a partial approval and partial denial of the Request; (iii) a denial of the Request; (iv) a notice to the Requester providing an estimate of the time required by the Village to provide the records requested and an estimate of the fees to be charged; (v) or a notice to the Requester that the Request is unduly burdensome and extend an opportunity to the Requester to attempt to reduce the request to manageable proportions. 2. Requests by Recurrent Requester . a. The Village will respond within five Business Days after a completed Request by a Recurrent Requester is received by the Village, notifying the Requester that he or she is a Recurrent Requester, which notice shall include (i) the reason for designating the Requester as a Recurrent Requester, and (ii) a statement that the Village will respond in substance to the Request within 21 Business Days after the Request was received by the Village. b. The Village will then respond in substance to a Request by the Recurrent Requester within 21 Business Days after the completed Request is received by the Village. 2. Arrest Reports. For completed Requests for chronologically maintained arrest and criminal history information, the Village will respond within 72 hours after the later to occur of (a) the arrest that is the subject of the Request, and (b) the time of receipt of the Request. 3. All Other Requests. For all Requests other than those set forth in Paragraph III.A.1 or IILA.2 of these Rules, the Village will respond within five Business Days after a completed Request is received by the Village, unless the Village has extended the Response Time pursuant to Paragraph III.A.4 of these Rules. 4. Extension of Time a. If the Freedom of Information Officer determines that additional time is needed and allowed under the Act to respond to a Request, then the Freedom of Information Officer, using a Notice of Extension form attached to these Rules or a similar written form, will notify the Requester within the applicable Response Time of the determination, of the reasons requiring the extension, and of the length of the extension (which may not exceed five additional Business Days). The Freedom of Information Officer may not extend the Response Time for Requests Made for Commercial Purposes. b. The Requester and the Village may agree in writing to extend the time for compliance beyond the required five days for a period to be mutually determined. hl his or her discretion, the Freedom of Information Officer may deliver to the Requester a request to extend time in writing. The Freedom of Information Officer is authorized to execute, in his or her discretion, an agreement after it has been executed by the Requester. The Freedom of Information Officer must respond to the Request within the applicable Holland & Knight LLP (Copyright ® 2012) 5 Response Time, unless and until the Requester and the Village have executed an extension Agreement. B. Disclosure of Public Records Notice of Approval. If the Freedom of Information Officer determines that the Act requires disclosure of all or any part or portion of the requested public records, then the Freedom of Information Officer will notify the Requester in writing of his or her determination, using the Response to Request for Public Records form attached to these Rules or a similar written form. 2. Approval of Requests Made for Commercial Purposes or by Recurrent Requesters. If the Request is a Request Made for Commercial Purposes or is made by a Recurrent Requester, and the requested records are not immediately available for inspection or pick -up, then the Response to Request for Public Records will specify a reasonable date on which the requested records will be available for inspection or pick -up, based on the size and complexity of the Request. 3. Search of Village Files and Use of Village Equipment. Except as otherwise specifically authorized by the Freedom of Information Officer, only Village employees, the Village Attorney, and Village contractors are permitted to search Village files, records, or storage areas, or to use Village equipment in connection with any Request. 4. Removal of Original Records. Original public records may not be removed from any Village building at any time, except as authorized by the Village Manager. 5. Inspection of Public Records. Public records approved by the Freedom of Information Officer for disclosure may be inspected, or copies of public records obtained, during Business Hours at the Village Hall or another location designated by the Freedom of Information Officer. Requesters must make an appointment with the Freedom of Information Officer for a date and time to inspect public records at the Village Hall (or another location designated by the Freedom of Information Officer) approved by the Freedom of Information Officer for disclosure. 6. Copies of Public Records. Copies of public records approved by the Freedom of Information Officer for disclosure may be obtained during Business Hours at the Village Hall or another location designated by the Freedom of Information Officer, provided that the Requester had requested copies in the Request and has paid any applicable fees. 7. Mailing of Requested Public Records. Copies of public records will be sent to the Requester via United States mail, facsimile or electronic mail only if the Freedom of Information Officer reasonably determines that it is unduly burdensome for the Requester to arrange for inspection of the original public records, or for pick up of copies of the public records, at the Village Hall. 8. Audio and Video Recordings. Requests for reproduction of any public records that are audio or video recordings will be honored in accordance with the provisions of the Act, the Illinois Open Meetings Act, any other applicable State law, and these Rules. 9. Records Maintained in Electronic Format. If the requested public records are maintained by the Village in an electronic format, then the Village will reproduce copies of the requested public records in the electronic format specified by the Requester, if feasible. The Village may charge to the Requester the actual cost of the medium necessary for that format. Holland & Knight LLP (Copyright 0 2012) 10. Payment of Fees. The Requester must pay all copying, certification, and postage fees in advance of receiving copies of any public records. C. Categorical Requests 1. Notice to Meet and Confer. If the Freedom of Information Officer determines that a Request for all records falling within a category will unduly burden the Village, and that the burden to the Village outweighs the public interest in production of the public records sought, then the Freedom of Information Officer will notify the Requester in writing of the determination, of the reasons supporting the determination, and of the right of the Requester to meet with the Freedom of Information Officer in an effort to narrow the Request. 2. Failure to Respond by Village. The Freedom of Information Officer may neither determine that a Request is unduly burdensome, nor issue a Notice for Meeting, if the Village has previously failed to respond to that Request within the applicable Response Time. Agreement to Narrow Request. If the Requester agrees to meet and confer with the Freedom of Information Officer regarding the Request, then the Freedom of Information Officer will respond to the Request, or to the Request as narrowed at the meeting, within the applicable Response Time, calculated from the date of adjournment of the meeting. That response may take any form specified in this Section III. If the Requester agrees to narrow the scope of the Request, the Freedom of Information Officer will deliver an acknowledgment of the narrowed request to the Requester at the conclusion of the meeting in writing. 4. Failure to Meet and Confer. If the Requester does not agree to meet and confer with the Freedom of Information Officer regarding the request, then the Freedom of Information Officer may deny the Request on the fifth Business Day after the date of the Notice for Meeting, using the Response to Request For Public Records form attached to these Rules or a similar written form. D. Denial Procedure for Denials. If the Freedom of Information Officer determines that all, or some, or a portion of any requested public records are not subject to disclosure under any other provision of the Act or under these Rules, then, except as provided in this Subsection D, the Freedom of Information Officer must deliver a notice to the Requester, using the Response to Request for Public Records form attached to these Rules or a similar written form. 2. Contents of Denials. Each Response to Request for Public Records form must set forth all of the grounds and reasons for the denial, and must notify the Requester of his or her rights to (a) seek review of the denial by the Public Access Counselor, and (b) seek judicial review under Section 11 of the Act. 3. Denials in Writine. Except as otherwise provided by the Act, all denials of Requests will be in writing. 4. Cooperation with Public Access Counselor. If the Public Access Counselor determines that further inquiry into any denied Request is warranted, the Freedom of Information Officer will Holland & Knight LLP (Copyright © 2012) comply with the directives of the Public Access Counselor, or seek appropriate review of those directives, in accordance with the Act. E. No Obligation to Create New Records Except as provided in Section V of these Rules, the Act and these Rules do not require the Village, in the course of responding to Requests, to create records that the Village does not already maintain in record form. F. No Obligation to Interpret or Advise Neither the Act nor these Rules require the Village to interpret, or advise Requesters as to the meaning or significance of, any public records. IV. FEES A. Fees Established Unless fees are waived or reduced under to Subsection IV.0 of these Rules, each Requester must pay fees for copying, certification, and mailing of public records, as established by the Village's Annual Fee Ordinance. If the requested records are of a type not listed in the Annual Fee Ordinance, or when the services of an outside vendor are required to copy any public record that are not 8%2 x I 1 or 8' /z x 14, Black and White, then the fees charged for copying the records will be the actual charges incurred by the Village, and the fees stated in the Annual Fee Ordinance. The fees stated in the Annual Fee Ordinance will also not apply if the fee for the requested records is otherwise fixed by statute. If the requested records are produced on an electronic medium, then the Requester must pay the actual cost of the medium. The Village has determined that such fees are no more than necessary to reimburse the Village for the actual cost of reproducing, certifying, and mailing public records requested pursuant to the Act and these Rules. B. Method and Time of Payment Payment of all required fees must be made in cash, by cashier's or certified check, or by money order prior to the examination, copying, certification or mailing of any public record. C. Waiver of Fees The fees provided in Subsection IV.A of these Rules may be waived or reduced by the Freedom of Information Officer if the Requester includes in the Request the specific purpose of the Request and establishes to the reasonable satisfaction of the Freedom of Information Officer that a fee waiver or reduction is in the public interest. Any request for a fee waiver or reduction must be indicated in the Request at the time the Request is filed. A subsequent request will not be considered. A fee waiver or reduction will be considered to be in the public interest only if the principal purpose of the Request is to disseminate information regarding the public health, safety, and welfare or the legal rights of the general public. No fee waiver will be granted if the Request is for the principal purpose of Holland & Knight LLP (Copyright C 2012) personal or commercial benefit to the Requester. The Freedom of Information Officer may consider the number of requested public records and the cost and necessity of copying them in setting the fee waiver or reduction amount. D. Waiver for Failure to Respond If the Freedom of Information Officer does not respond to a Request properly submitted pursuant to Section II of these Rules within the applicable Response Time, then the Village will not require the payment of fees for any copies of records produced in response to that Request. V. VILLAGE OBLIGATIONS A. Organizational Description The Freedom of Information Officer, at least once each fiscal year, will produce and make available for inspection, copying, and mailing to any person requesting it, a brief description of the Village. The description must identify and describe the membership of the Village's Board of Trustees and of all of its standing and special committees and other advisory bodies and also must include: • a short summary of the Village's purpose, • a block diagram of the Village's functional subdivisions, • the approximate number of the Village's full and part-time employees, • the total amount of the Village's operating budget, and • the number and location of each of the Village's offices. If the Village maintains a website, the Freedom of Information Officer must post the description required pursuant to this Subsection V.A to the website. B. Index of Public Records The Freedom of Information Officer must create, maintain current, and make available for inspection, copying, and mailing, a current index of all types or categories of public records prepared or received, and maintained, by the Village after July 1, 1984. The index must be reasonably detailed in order to aid persons in obtaining access to the public records of the Village. C. Records Stored by Electronic Data Processing The Freedom of Information Officer must prepare and furnish, to any person requesting it, a description of the manner in which public records of the Village stored by means of electronic data processing may be obtained in a form comprehensible to persons lacking knowledge of computer language or printout format. D. Summary of Procedures Holland & Knight LLP (Copyright © 2012) 9 The Freedom of Information Officer must create, maintain current, and make available for inspection, copying, and mailing, a brief summary of the procedures established by these Rules. If the Village maintains a website, the Freedom of Information Officer must post the summary required pursuant to this Subsection V.D to the website. E. Posting and Mailing of Information The Freedom of Information Officer must keep posted at the Village Hall, and will mail to any person making a request therefor, copies of the Organizational Description prepared pursuant to Subsection V.A of these Rules, the Index of Public Records prepared pursuant to Subsection V.B of these Rules, and the Summary of Procedures prepared pursuant to Subsection V.D of these Rules. F. Filing of Response to Request for Public Records Forms The Freedom of Information Officer must retain copies of all Response to Request for Public Records forms in a single file at the Village Hall that is open to the public and indexed according to the type of exemption asserted and, to the extent that categorization is feasible, the type of records requested. Holland & Knight LLP (Copyright ® 2012) 10 #11035446_vl