Public Records Management Act PowerPoint Presentation, PPT - DocSlides

Public Records Management Act PowerPoint Presentation, PPT - DocSlides

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Roles and Responsibilities of CAOs and AROs. Renée Wilson, Records Analyst. reneewilson@utah.gov. 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 enti.... ID: 213438

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Slide1

Public Records Management Act

Roles and Responsibilities of CAOs and AROs

Renée Wilson, Records Analyst

reneewilson@utah.gov

Slide2

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.

63A-12-103

: Duties

of governmental

entities

Slide3

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.

Slide4

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

Slide5

What’s an ARO?

Appointed records officerdirectly responsible for the recordsworks with Archives to maintain, preserve, and dispose of the recordsdesignates and classifies the recordsresponds 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)

Slide6

RM Program Team

Slide7

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))

Slide8

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))

Slide9

And now, a test!

Slide10

Whose job is it to…

Preserve and provide access to records?63A-12-103(2)Chief administrative officerRecord officerGovernmental entityState ArchivesOther

Preserve and provide access to records?63A-12-103(2)Chief administrative officerRecord officerGovernmental entityState ArchivesOther

1 of 13

Slide11

Whose job is it to…

Maintain documentation on agency policies and procedures?63A-12-103(4)Chief administrative officerRecord officerGovernmental entityState ArchivesOther

Maintain documentation on agency policies and procedures?63A-12-103(4)Chief administrative officerRecord officerGovernmental entityState ArchivesOther

2 of 13

Slide12

Whose job is it to…

Care for, maintain, and dispose of records?63A-12-103(2)Chief administrative officerRecord officerGovernmental entityState ArchivesOther

Care for, maintain, and dispose of records?63A-12-103(2)Chief administrative officerRecord officerGovernmental entityState ArchivesOther

3 of 13

Slide13

Whose job is it to…

Schedule records?63A-12-103(2)Chief administrative officerRecord officerGovernmental entityState ArchivesOther

Schedule records?63A-12-103(2)Chief administrative officerRecord officerGovernmental entityState ArchivesOther

4 of 13

Slide14

Whose job is it to…

Submit proposed schedules of records to the Archives?63A-12-103(5)Chief administrative officerRecord officerGovernmental entityState ArchivesOther

Submit proposed schedules of records to the Archives?63A-12-103(5)Chief administrative officerRecord officerGovernmental entityState ArchivesOther

5 of 13

Slide15

Whose job is it to…

Establish and maintain a program to manage records?63A-12-103(1)Chief administrative officerRecord officerGovernmental entityState ArchivesOther

Establish and maintain a program to manage records?63A-12-103(1)Chief administrative officerRecord officerGovernmental entityState ArchivesOther

6 of 13

Slide16

Whose job is it to…

Obtain certification from the Archives?63G-2-108(Chief administrative officer)Record officerGovernmental entityState ArchivesOther

Obtain certification from the Archives?63G-2-108Chief administrative officerRecord officerGovernmental entityState ArchivesOther

O

7 of 13

Slide17

Whose job is it to…

Appoint record officer(s) to work with the State Archives?63A-12-103(2)Chief administrative officerRecord officerGovernmental entityState ArchivesOther

Appoint record officer(s) to work with the State Archives?63A-12-103(2)Chief administrative officerRecord officerGovernmental entityState ArchivesOther

8 of 13

Slide18

Whose job is it to…

Complete online training?63G-2-108Chief administrative officerRecord officerGovernmental entityState ArchivesOther

Complete online training?63G-2-108(Chief administrative officer)Record officerGovernmental entityState ArchivesOther

9 of 13

Slide19

Whose job is it to…

Ensure that records officers receive training?63A-12-103(3)Chief administrative officerRecord officerGovernmental entityState ArchivesOther

Ensure that records officers receive training?63A-12-103(3)Chief administrative officerRecord officerGovernmental entityState ArchivesOther

10 of 13

Slide20

Whose job is it to…

Designate and classify records?63A-12-103(2)Chief administrative officerRecord officerGovernmental entityState ArchivesOther

Designate and classify records?63A-12-103(2)Chief administrative officerRecord officerGovernmental entityState ArchivesOther

11 of 13

Slide21

Whose job is it to…

Attend live Archives trainings?Chief administrative officerRecord officerGovernmental entityState ArchivesOther

Attend live Archives trainings?(Chief administrative officer)(Record officer)Governmental entityState ArchivesOther

12 of 13

Slide22

Whose job is it to…

Handle records on a daily basis?Chief administrative officerRecord officerGovernmental entityState ArchivesOther

Handle records on a daily basis?(Chief administrative officer)(Record officer)(Governmental entity)(State Archives)(Other)

13 of 13

Slide23

Whose job is it to…

CAO

ARO

Gov. Entity

Archives

Other

Citation

Establish a

program to manage records

X

63A-12-103(1)

Maintain a

program to manage records

X

63A-12-103(1)

Appoint

record officer(s) to work

with the State

Archives

X

63A-12-103(2)

Care

for and

maintain

records

X

X

63A-12-103(2)

Schedule

records

X

X

63A-12-103(2)

Dispose

of records

X

X

63A-12-103(2)

Classify

records

X

X

63A-12-103(2)

Designate

records

X

X

63A-12-103(2)

Provide

access to records

X

X

63A-12-103(2)

Preserve

records

X

X

63A-12-103(2)

Ensure

that GRAMA officers receive training

X

63A-12-103(3)

Maintain

documentation

on

agency

policies

&

procedures

X

63A-12-103(4)

Maintain documentation on the organization & functions of entity

X

63A-12-103(4)

Submit

proposed

record schedules to State Records Committee

X

63A-12-103(5)

Take

surveys made by the state

archivist/Archives

X

63A-12-103(6)

Report

the

designation of

each record

series

X

63A-12-103(8)

Report

the

classification

of each

record series

X

63A-12-103(9)

Report

retention schedules

of historical

non-records

X

63A-12-103(10)

Complete

online training

(X)

X

63G-2-108

Obtain

certification from

the Archives

(X)

X

63G-2-108

Respond to a GRAMA request within

5 or 10 business days

X

63G-2-204(3)

Approve or deny a records request appeal

X

X (designee)

63G-2-401(5,9)

Send written notice of

decision made

on records request appeal

X

63G-2-401(7)

Handle

records on a daily basis

(X)

(X)

Attend

live Archives trainings

(X)

(X)

Communicate with the

Archives to transfer records

X

63A-12-103(2)

Slide24

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

Slide25

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

Slide26

RM Program Team

Slide27

Questions?

Slide28

END


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