PUBLIC RECORDS MANAGEMENT ACTRoles and Responsibilities of CAOs and

AROs

Renée Wilson, Records Analystreneewilson@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 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

63A-12-103: DUTIES OF GOVERNMENTAL ENTITIESThe 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.

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

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)

RM PROGRAM TEAM

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))

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))

AND NOW, A TEST!

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

1 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

2 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

3 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

4 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

5 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

6 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

7 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

8 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

9 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

10 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

11 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

12 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)

13 of 13

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)

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

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

RM PROGRAM TEAM

QUESTIONS?

END