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: 702739
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Presentations text content in Public Records Management Act
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 officerusually in senior-level management
appoints record officer(s) and makes sure they’re trained
implements records management plandocuments policies & proceduressubmits retention schedules to Archivesmakes sure things get done
Slide5
What’s an ARO?
Appointed records officerdirectly responsible for the records
works with Archives to maintain, preserve, and dispose of the records
designates 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
Designationpreliminary 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
Classificationto 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))
Attend live Archives trainings?Chief administrative officer
Record officer
Governmental entityState ArchivesOther
Attend live Archives trainings?
(Chief administrative officer)
(Record officer)
Governmental entity
State Archives
Other
12 of 13
Slide22
Whose job is it to…
Handle records on a daily basis?Chief administrative officer
Record officer
Governmental 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. EntityArchivesOtherCitationEstablish a program to manage recordsX
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 decisionsoverrides your opinionjust doesn’t care
Slide25
Getting the CAO on board
Focus on the positivewhat are the tangible benefits of RM?
run the numbers to show savings
demonstrate advantages of good RMBe the expertknow what records your agency usesknow record life cyclesknow the lawJoin a professional organization for support and ideasARMA International, Utah-Salt Lake ChapterUtah Municipal Clerks AssociationUtah League of Cities and TownsUtah Association of Special DistrictsInstitute of Certified Records Managers
Download this presentation
DownloadNote - The PPT/PDF document "Public Records Management Act" is the property of its rightful owner. Permission is granted to download and print the materials on this web site for personal, non-commercial use only, and to display it on your personal computer provided you do not modify the materials and that you retain all copyright notices contained in the materials. By downloading content from our website, you accept the terms of this agreement.
Presentations text content in Public Records Management Act
Public Records Management Act
Roles and Responsibilities of CAOs and AROs
Renée Wilson, Records Analyst
reneewilson@utah.gov
Slide2The
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
Slide363A-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.
Slide4What’s a CAO?
Chief administrative officerusually in senior-level management
appoints record officer(s) and makes sure they’re trained
implements records management plandocuments policies & proceduressubmits retention schedules to Archivesmakes sure things get done
Slide5What’s an ARO?
Appointed records officerdirectly responsible for the records
works with Archives to maintain, preserve, and dispose of the records
designates 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)
Slide6RM Program Team
Slide7Designation vs. Classification
Designationpreliminary 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))
Slide8Designation vs. Classification
Classificationto 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))
Slide9And now, a test!
Slide10Whose 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 officer
Record officer
Governmental entity
State Archives
Other
1 of 13
Slide11Whose 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 officer
Record officer
Governmental entity
State Archives
Other
2 of 13
Slide12Whose 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 officer
Record officer
Governmental entity
State Archives
Other
3 of 13
Slide13Whose job is it to…
Schedule records?
63A-12-103(2)
Chief administrative officerRecord officerGovernmental entityState ArchivesOther
Schedule records?
63A-12-103(2)
Chief administrative officer
Record officer
Governmental entity
State Archives
Other
4 of 13
Slide14Whose 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 officer
Record officer
Governmental entity
State Archives
Other
5 of 13
Slide15Whose 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 officer
Record officer
Governmental entity
State Archives
Other
6 of 13
Slide16Whose 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-2-108
Chief administrative officer
Record officer
Governmental entity
State Archives
Other
O
7 of 13
Slide17Whose 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 officer
Record officer
Governmental entity
State Archives
Other
8 of 13
Slide18Whose job is it to…
Complete online training?
63G-2-108
Chief administrative officerRecord officerGovernmental entityState ArchivesOther
Complete online training?
63G-2-108
(Chief administrative officer)
Record officer
Governmental entity
State Archives
Other
9 of 13
Slide19Whose 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 officer
Record officer
Governmental entity
State Archives
Other
10 of 13
Slide20Whose 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 officer
Record officer
Governmental entity
State Archives
Other
11 of 13
Slide21Whose job is it to…
Attend live Archives trainings?Chief administrative officer
Record officer
Governmental entityState ArchivesOther
Attend live Archives trainings?
(Chief administrative officer)
(Record officer)
Governmental entity
State Archives
Other
12 of 13
Slide22Whose job is it to…
Handle records on a daily basis?Chief administrative officer
Record officer
Governmental entityState ArchivesOther
Handle records on a daily basis?
(Chief administrative officer)
(Record officer)
(Governmental entity)
(State Archives)
(Other)
13 of 13
Slide23Whose job is it to…
CAO
ARO
Gov. EntityArchivesOtherCitationEstablish a program to manage recordsX
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)
Slide24Getting the CAO on board
What if my CAO doesn’t care?no financial support
no moral support
fights your decisionsoverrides your opinionjust doesn’t care
Slide25Getting the CAO on board
Focus on the positivewhat are the tangible benefits of RM?
run the numbers to show savings
demonstrate advantages of good RMBe the expertknow what records your agency usesknow record life cyclesknow the lawJoin a professional organization for support and ideasARMA International, Utah-Salt Lake ChapterUtah Municipal Clerks AssociationUtah League of Cities and TownsUtah Association of Special DistrictsInstitute of Certified Records Managers
Slide26RM Program Team
Slide27Questions?
Slide28END
Slide29Slide30