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Public Records Management Act

This article discusses the duties of Chief Administrative Officers (CAOs) and Appointed Records Officers (AROs) in governmental entities for the efficient management of records. It covers the establishment of record management programs, training of officers, documentation of organization policies and transactions, submission of schedules to the state archives, cooperation with the state archivist, compliance with rules, and reporting of designations and classifications.

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Public Records Management Act

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  1. Public Records Management Act Roles and Responsibilities of CAOs and AROs Renée Wilson, Records Analyst reneewilson@utah.gov

  2. 63A-12-103: Duties of governmental entities The chief administrative officer of each governmental entity shall: (1) establish and maintain an active, continuing program for the economical and efficient management of the governmental entity's records as provided by this chapter and Title 63G, Chapter 2, Government Records Access and Management Act; (2) appoint one or more records officers who will be trained to work with the state archives in the care, maintenance, scheduling, disposal, classification, designation, access, and preservation of records; (3) ensure that officers and employees of the governmental entity that receive or process records requests receive required training on the procedures and requirements of this chapter and Title 63G, Chapter 2, Government Records Access and Management Act; (4) make and maintain adequate and proper documentation of the organization, functions, policies, decisions, procedures, and essential transactions of the governmental entity designed to furnish information to protect the legal and financial rights of persons directly affected by the entity's activities; (5) submit to the state archivist proposed schedules of records for final approval by the records committee; (6) cooperate with the state archivist in conducting surveys made by the state archivist; (7) comply with rules issued by the Department of Administrative Services as provided by Section 63A-12-104; (8) report to the state archives the designation of record series that it maintains; (9) report to the state archives the classification of each record series that is classified; and (10) establish and report to the state archives retention schedules for objects that the governmental entity determines are not defined as a record under Section 63G-2-103, but that have historical or evidentiary value.

  3. 63A-12-103: Duties of governmental entities The chief administrative officer of each governmental entity shall: (1) establish and maintain an active, continuing program for the economical and efficient management of the governmental entity's records as provided by this chapter and Title 63G, Chapter 2, Government Records Access and Management Act; (2) appoint one or more records officers who will be trained to work with the state archives in the care, maintenance, scheduling, disposal, classification, designation, access, and preservation of records; (3) ensure that officers and employees of the governmental entity that receive or process records requests receive required training on the procedures and requirements of this chapter and Title 63G, Chapter 2, Government Records Access and Management Act; (4) make and maintain adequate and proper documentation of the organization, functions, policies, decisions, procedures, and essential transactions of the governmental entity designed to furnish information to protect the legal and financial rights of persons directly affected by the entity's activities; (5) submit to the state archivist proposed schedules of records for final approval by the records committee; (6) cooperate with the state archivist in conducting surveys made by the state archivist; (7) comply with rules issued by the Department of Administrative Services as provided by Section 63A-12-104; (8) report to the state archives the designation of record series that it maintains; (9) report to the state archives the classification of each record series that is classified; and (10) establish and report to the state archives retention schedules for objects that the governmental entity determines are not defined as a record under Section 63G-2-103, but that have historical or evidentiary value.

  4. What’s a CAO? • Chief administrative officer • usually in senior-level management • appoints record officer(s) and makes sure they’re trained • implements records management plan • documents policies & procedures • submits retention schedules to Archives • makes sure things get done

  5. What’s an ARO? • Appointed records officer • directly responsible for the records • works with Archives to maintain, preserve, and dispose of the records • designates and classifies the records • responds to GRAMA requests • Appointed records officer • “…trained to work with the state archives in the care, maintenance, scheduling, disposal, classification, designation, access, and preservation of records;…” 63A-12-103(2)

  6. RM Program Team

  7. Designation vs. Classification • Designation • preliminary decision about classification, using a sample of information in the records as a guide • ARO: designation of records (63A-12-103, 63G-2-103(25)) • CAO ensures designations are reported to the Archives (63A-12-103(8))

  8. Designation vs. Classification • Classification • to determine whether a specific record/record series/information is public, private, controlled, protected, or exempt from disclosure; done at the time of the records request (63G-2-103(3)) • ARO: classification of records (63A-12-103, 63G-2-103(25)) • CAO ensures classifications are reported to the Archives (63A-12-103(9))

  9. And now, a test!

  10. 1 of 13 Whose job is it to… • Preserve and provide access to records? 63A-12-103(2) • Chief administrative officer • Record officer • Governmental entity • State Archives • Other • Preserve and provide access to records? 63A-12-103(2) • Chief administrative officer • Record officer • Governmental entity • State Archives • Other

  11. 2 of 13 Whose job is it to… • Maintain documentation on agency policies and procedures? 63A-12-103(4) • Chief administrative officer • Record officer • Governmental entity • State Archives • Other • Maintain documentation on agency policies and procedures? 63A-12-103(4) • Chief administrative officer • Record officer • Governmental entity • State Archives • Other

  12. 3 of 13 Whose job is it to… • Care for, maintain, and dispose of records? 63A-12-103(2) • Chief administrative officer • Record officer • Governmental entity • State Archives • Other • Care for, maintain, and dispose of records? 63A-12-103(2) • Chief administrative officer • Record officer • Governmental entity • State Archives • Other

  13. 4 of 13 Whose job is it to… • Schedule records? 63A-12-103(2) • Chief administrative officer • Record officer • Governmental entity • State Archives • Other • Schedule records? 63A-12-103(2) • Chief administrative officer • Record officer • Governmental entity • State Archives • Other

  14. 5 of 13 Whose job is it to… • Submit proposed schedules of records to the Archives? 63A-12-103(5) • Chief administrative officer • Record officer • Governmental entity • State Archives • Other • Submit proposed schedules of records to the Archives? 63A-12-103(5) • Chief administrative officer • Record officer • Governmental entity • State Archives • Other

  15. 6 of 13 Whose job is it to… • Establish and maintain a program to manage records? 63A-12-103(1) • Chief administrative officer • Record officer • Governmental entity • State Archives • Other • Establish and maintain a program to manage records? 63A-12-103(1) • Chief administrative officer • Record officer • Governmental entity • State Archives • Other

  16. 7 of 13 Whose job is it to… • Obtain certification from the Archives? 63G-2-108 • (Chief administrative officer) • Record officer • Governmental entity • State Archives • Other • Obtain certification from the Archives? 63G-2-108 • Chief administrative officer • Record officer • Governmental entity • State Archives • Other • O

  17. 8 of 13 Whose job is it to… • Appoint record officer(s) to work with the State Archives? 63A-12-103(2) • Chief administrative officer • Record officer • Governmental entity • State Archives • Other • Appoint record officer(s) to work with the State Archives? 63A-12-103(2) • Chief administrative officer • Record officer • Governmental entity • State Archives • Other

  18. 9 of 13 Whose job is it to… • Complete online training? 63G-2-108 • Chief administrative officer • Record officer • Governmental entity • State Archives • Other • Complete online training? 63G-2-108 • (Chief administrative officer) • Record officer • Governmental entity • State Archives • Other

  19. 10 of 13 Whose job is it to… • Ensure that records officers receive training? 63A-12-103(3) • Chief administrative officer • Record officer • Governmental entity • State Archives • Other • Ensure that records officers receive training? 63A-12-103(3) • Chief administrative officer • Record officer • Governmental entity • State Archives • Other

  20. 11 of 13 Whose job is it to… • Designate and classify records? 63A-12-103(2) • Chief administrative officer • Record officer • Governmental entity • State Archives • Other • Designate and classify records? 63A-12-103(2) • Chief administrative officer • Record officer • Governmental entity • State Archives • Other

  21. 12 of 13 Whose job is it to… • Attend live Archives trainings? • Chief administrative officer • Record officer • Governmental entity • State Archives • Other • Attend live Archives trainings? • (Chief administrative officer) • (Record officer) • Governmental entity • State Archives • Other

  22. 13 of 13 Whose job is it to… • Handle records on a daily basis? • Chief administrative officer • Record officer • Governmental entity • State Archives • Other • Handle records on a daily basis? • (Chief administrative officer) • (Record officer) • (Governmental entity) • (State Archives) • (Other)

  23. Getting the CAO on board • What if my CAO doesn’t care? • no financial support • no moral support • fights your decisions • overrides your opinion • just doesn’t care

  24. Getting the CAO on board • Focus on the positive • what are the tangible benefits of RM? • run the numbers to show savings • demonstrate advantages of good RM • Be the expert • know what records your agency uses • know record life cycles • know the law • Join a professional organization for support and ideas • ARMA International, Utah-Salt Lake Chapter • Utah Municipal Clerks Association • Utah League of Cities and Towns • Utah Association of Special Districts • Institute of Certified Records Managers

  25. RM Program Team

  26. Questions?

  27. END

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