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Update: Correspondence General Schedules to be Resubmitted in May

April 11, 2014 Leave a comment

Update: Correspondence General Schedules

Up for Public Comment for an Additional 30 Days



The proposed correspondence general retention schedules went before to the State Records Committee for approval on April 10, 2014, but were not approved. The Utah State Records Committee provided some clarity to the proposed description and moved to have the schedules up for review for another 30 days.

Below are the revised correspondence general retention schedules incorporating the guidance given by the State Records Committee. Changes are highlighted in blue. We welcome your input on these proposed schedules. Comments can be submitted through this post or by emailing recordsmanagement@utah.gov.

If you have questions regarding how to handle the retention of correspondence in the interim, please contact your records analyst at the State Archives:
Local Government Analyst: Renée Wilson, reneewilson@utah.gov or 801-531-3842
State Government Analyst: Kendra Yates, kendrayates@utah.gov or 801-531-3866

 

-Executive Correspondence-
Incoming and outgoing business-related correspondence, regardless of format or mode of transmission, that provides unique information relating to the functions, policies, procedures or programs of an agency. These records document executive decisions made regarding agency interests. Executive decision makers may include the Director, Chief Administrative Officer, Public Information Officer or other internal administrators as identified by the executive office.
Permanent. May be transferred to the State Archives. Utah Code 9-7-101(8)(b)(2010) – not a publication. Utah Code 63G-2-301 (3)(h)(2013)- PUBLIC

 

-Administrative Correspondence-
Incoming and outgoing business-related correspondence, regardless of format or mode of transmission, created in the course of administering agency functions and programs. Administrative correspondence documents work accomplished, transactions made, or actions taken. This correspondence documents the implementation of agency functions rather than the creation of functions or policies. Business-related correspondence that is related to a core function with an associated retention schedule should follow the associated schedule.
3 years and then destroy. Utah Code 63G-2-301 (3)(h)(2013)- PUBLIC
-Transitory Correspondence-
Incoming and outgoing correspondence, regardless of format or mode of transmission, related to matters of short-term interest. Transmittal correspondence between individuals, departments or external parties containing no final contractual, financial or policy information. This correspondence does not impact agency functions. When resolved, there is no further use or purpose.
Until administrative need ends and then destroy. Utah Code 63G-2-301 (3)(h)(2013)- PUBLIC

Social Media and Email Management: Presenters’ Handouts

April 10, 2014 Leave a comment

Social Media and Email Management

Presenters’ Handouts

Thank you to everyone who attended the training event on Friday, April 4th. We hope that you found the presentations helpful in fulfilling your roles as records officers. Below you will find copies of the presentation slides for future reference:

Social Media: Strategies for Successfully Managing Legal Risks by Dr. Randy L. Dryer, Presidential Honors Professor at S.J. Quinney College of Law, University of Utah, SocialMedia_ManagingLegalRisks

Creating and Implementing a Social Media Policy Agency-wide by Matthew Gerrish, Social Media Writer/Editor at Weber State University, SocialMediaPolicies_WeberState

Digital Preservation of Social Media by Renée Wilson, Records Analyst at the Utah State Archives and Records Service, Preservation_Social_Media

Email Management by Lorianne Ouderkirk, Records Analyst Manager at the Utah State Archives and Records Service, EmailTraining_2014_ClassCopy, Handout: Department of Administrative Services Internal Policies and Procedures for email management. The correspondence retention schedules used in this presentation went to the State Records Committee for approval on April 10, 2014 but were not approved. The State Records Committee provided some clarity to the description and ruled to have the schedules up for review for another 30 days. If you have questions regarding how to handle the retention of email correspondence in the interim, please contact your records analyst at the State Archives:
Local Government Analyst: Renée Wilson, reneewilson@utah.gov or 801-531-3842
State Government Analyst: Kendra Yates, kendrayates@utah.gov or 801-531-3866

Responding to a GRAMA Request for Email by Rosemary Cundiff, Government Records Ombudsman at the Utah State Archives and Records Service, RespondingtoGRAMARequestforEmail_2014

Correspondence General Schedule Changes

As part of the General Schedule Update Project, the Utah State Archives has posted three schedules for public comment. The schedules are for the retention of correspondence and would replace the current general schedules for Policy and Program Correspondence and Transitory Correspondence.

In an age where so much correspondence is conducted by email, a clearer definition of what constitutes permanent correspondence, transitory correspondence, and how to handle correspondence that falls in-between is required. The Utah State Archives is proposing the following changes to the general retention schedule for correspondence. We appreciate your input. Please comment below or send your proposed changes to Rebekkah Shaw (rshaw@utah.gov, 801-531-3851).

 

-Executive Correspondence-
Incoming and outgoing business-related correspondence, regardless of format, that provides unique information relating to the functions, policies, procedures or programs of an agency. These records document executive decisions made regarding agency interests. Executive decision makers may include the Director, Chief Administrative Officer, Public Information Officer or other internal administrators.
Permanent. May be transferred to the State Archives. Utah Code   9-7-101(8)(b)(2010) – not a publicationUtah Code 63G-2-301 (3)(h)(2013)- PUBLIC

 

-Administrative Correspondence-
Incoming and outgoing business-related correspondence, regardless of format, created in the course of administering agency functions and programs. Administrative correspondence documents work accomplished, transactions made, or actions taken. This correspondence documents the implementation of agency functions rather than the creation of functions or policies. Business-related correspondence that is related to a core function with an associated retention schedule should follow the associated schedule.
3 years and then destroy. Utah Code 63G-2-301 (3)(h)(2013)- PUBLIC
-Transitory Correspondence-
Incoming and outgoing correspondence, regardless of format, related to matters of short term interest. Transmittal correspondence between individuals, departments or external parties containing no substantive contractual, financial or policy information. When resolved, there is no further use or purpose.
Until administrative need ends and then destroy. Utah Code 63G-2-301 (3)(h)(2013)- PUBLIC

Upcoming Events: April to June 2014

April 1, 2014 Leave a comment

Upcoming Events

April to June 2014

All training events hosted by the Utah State Archives are free, online registration
is available at http://archives.state.ut.us/cgi-bin/traininglist.cgi

April 2014

In-Person Training Events
To register visit: http://archives.state.ut.us/cgi-bin/traininglist.cgi
Apr 4, 2014, 9:30 a.m.-2:30 p.m. Topic: Records and Information Management Month Conference, presentations will focus on social media and email management. The program will be:

  • 9:30 a.m.-9:45 a.m.: Welcome by Kenneth Williams, Deputy Director of Utah State Archives
  • 9:45 a.m.-10:45 a.m.: Social Media: Strategies for Successfully Managing Legal Risks by Randy L. Dryer, Presidential Honors Professor at S.J. Quinney College of Law
  • 10:45 a.m.-11:15 a.m.: Creating and Implementing a Social Media Policy Agency-wide by Matthew Gerrish, Social Media Writer/Editor at Weber State University
  • 11:15 a.m.-11:45 a.m.:Digital Preservation of Social Media by Renée Wilson, Records Analyst at Utah State Archives
  • 11:45 a.m.-1:00 p.m.: Lunch on your own, there are many places within walking distance
  • 1:00 p.m.-2:00 p.m.: Email Management by Lorianne Ouderkirk, Records Analyst Manager at Utah State Archives
  • 2:00 p.m.-2:30 p.m.: Responding to Public Records Requests for Email by Rosemary Cundiff, State Records Ombudsman at Utah State Archives
  • Seats are still available, to register visit http://archives.state.ut.us/cgi-bin/traininglist.cgi

    Apr 16, 2014, 9:30 a.m.-Noon. Topic: Management and Care of Historic Records

    May 2014

    Lunch ‘n’ Learn
    Lunch ‘n’ Learn sessions are live, online sessions. A link to the session will be sent to participants the morning of the event. To register visit: http://archives.state.ut.us/cgi-bin/traininglist.cgi
    May 9, 2014, 12:00 p.m.-1:00 p.m. Topic: Updates on the Government Records and Access Management Act

    In-Person Training Events
    To register visit: http://archives.state.ut.us/cgi-bin/traininglist.cgi
    May 16, 2014, 9:00 a.m.-Noon. Topic: Basic Records Management I: Records Management
    May 16, 2014, 1:00 p.m.-4:00 p.m. Topic: Records Access I: Public Records Requests

    June 2014

    Lunch ‘n’ Learn
    Lunch ‘n’ Learn sessions are live, online sessions. A link to the session will be sent to participants the morning of the event. To register visit: http://archives.state.ut.us/cgi-bin/traininglist.cgi
    June 13, 2014, Noon-1:00 p.m. Topic: Public Records Management Act

    In-Person Training Events
    To register visit: http://archives.state.ut.us/cgi-bin/traininglist.cgi
    June 6, 2014, 9:00 a.m.-Noon. Topic: Basic Records Management I: Records Management
    June 17, 9:00 a.m.-3:00 p.m.: Records Access I: Public Records Requests for Law Enforcement

Categories: Records Management

New Tools for CAOs

March 5, 2014 Comments off

To keep agency information up-to-date, records analysts from the Utah State Archives will contact the chief administrative officers (CAOs) of all governmental entities to review, update, and approve or remove records officers from the agency listing. Chief administrative officers will receive an email with a unique link to the Records Officer Review page for his or her agency:

cao_email

The unique link (indicated here by the red arrow) navigates each CAO to a protected webpage where he or she can review the agency’s records officer information:

records_officer_review

From the webpage, the CAO can assign individuals as records officers to specific agencies, remove individuals as officers from specific agencies, add new individuals as records officers, and update contact information for existing records officers.

It is the responsibility of the chief administrative officer to “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” (Utah Code 63A-12-103(2)).

Also, each records officer “shall, on an annual basis, successfully complete online training and obtain certification from state archives in accordance with Section 63A-12-110″ (Utah Code 63G-2-108).

The Utah State Archives is required by law to post on its website a list of all records officers for each governmental entity (Utah Code 63A-12-110(2d)).

It is for these reasons that we ask each chief administrative officer to please verify the identity and contact information of records officers for his or her agency.

Questions regarding the update of records officer’s information can be directed to:

State government agencies—Kendra Yates, kendrayates@utah.gov or 801-531-3866

Local government agencies—Renée Wilson, reneewilson@utah.gov or 801-531-3842

Social Media and Email Management Planned for 2014 Spring Event

February 25, 2014 2 comments

Upcoming Events: March to May 2014

February 21, 2014 Comments off

Upcoming Events

March to May 2014

March 2014

Lunch ‘n’ Learn
Lunch ‘n’ Learn sessions are live, online sessions. A link to the session will be sent to participants the morning of the event. To register visit: http://archives.state.ut.us/cgi-bin/traininglist.cgi
Mar 14, 2014, 12:00 p.m.-1:00 p.m. Topic: Records Appraisal

In-Person Training Events
To register visit: http://archives.state.ut.us/cgi-bin/traininglist.cgi
Mar 11, 2014, 9:00 a.m.-Noon Topic: Basic Records Management I: Records Management
Mar 20, 2014, 9:00 a.m.-Noon Topic: Basic Records Management I: Records Management (St. George)
Mar 20, 2014, 1:00 p.m.-4:00 p.m. Topic: Records Access I: Public Records Requests (St. George)
Mar 21, 2014, 9:00 a.m.-1:00 p.m. Topic: Records Access I: Public Records Requests for Law Enforcement Records (St. George)

April 2014

In-Person Training Events
To register visit: http://archives.state.ut.us/cgi-bin/traininglist.cgi
Apr 4, 2014, 9:30 a.m.-3:00 p.m. Topic: Records and Information Management Month Conference, presentations will focus on social media and email management. A more detailed program is available on the registration page http://archives.state.ut.us/cgi-bin/traininglist.cgi
Apr 16, 2014, 9:30 a.m.-Noon Topic: Management and Care of Historic Records

May 2014

Lunch ‘n’ Learn
Lunch ‘n’ Learn sessions are live, online sessions. A link to the session will be sent to participants the morning of the event. To register visit: http://archives.state.ut.us/cgi-bin/traininglist.cgi
May 9, 2014, 12:00 p.m.-1:00 p.m. Topic: Updates on the Government Records and Access Management Act

In-Person Training Events
To register visit: http://archives.state.ut.us/cgi-bin/traininglist.cgi
May 16, 2014, 9:00 a.m.-Noon Topic: Basic Records Management I: Records Management
May 16, 2014, 1:00 p.m.-4:00 p.m. Topic: Records Access I: Public Records Requests

GRS proposal withdrawn, focus group to address issue

January 31, 2014 2 comments

     In an earlier post (January 22, 2014), the Division of Archives proposed changes to general retention schedules. In order to be consistent with the requirements of the Open and Public Meetings Act adopted in 2013, the proposed change was to make audio recordings of open and public meetings permanent instead of authorizing them to be destroyed three years after the approval of the official minutes. The post invited public comment about the proposed changes.

      Archives staff members appreciate the comments of everyone who took the time to reply.

     The prevailing sentiment was that the proposed changes should not be adopted.

     As a result of the concerns sent in response to the proposed changes, the Archives has withdrawn the proposed general schedule from consideration for the February 13 State Records Committee meeting.

     A focus group composed of records officers and chief administrative officers who contacted the Archives will be formed to address the issue of audio recordings. Others who would like to become involved may contact Rebekkah Shaw (rshaw@utah.gov, 801-531-3851).

     Until further notice, records officers should continue to apply the corresponding approved state (schedule 1, item 41), county (schedule 1, item 44), municipal (schedule 1, item 45), and school district (schedule 15, item 7) retention schedule for recordings of open and public meetings which specify that:

• Approved written minutes are permanent,

• Open meeting recordings have a 3-year retention after approval of official minutes, and

• Closed meeting recordings are permanent.

Categories: Records Management

Proposed GRS changes will make audio recordings permanent records

January 22, 2014 Comments off

The Utah State Archives is proposing changes to the general retention schedule for minutes and audio recordings of open and public meetings.

Current state (schedule 1, item 41), county (schedule 1, item 44), municipal (schedule 1, item 45), and school district (schedule 15, item 7) general retention schedules allow agencies to destroy audio recordings of open and public meetings three years after approval of the official minutes.

2013 amendments to the Open and Public Meetings Act (Utah Code Title 52, Chapter 4) require a “state public body” to post approved minutes and audio recordings to the Utah Public Notice Website (Utah Code 54-4-203(4)(d)). The written minutes and recordings of open public meetings are “required to be retained permanently” and “shall be maintained in or converted to a format that meets long-term storage requirements.” (Utah Code 54-4-203(6).) The Division of State Archives is charged with “maintaining an archive of all public information posted to the website.” (Utah Code 63F-1-701(5)(c).)

While only state public bodies (“administrative, advisory, executive, or legislative bod[ies] of the state”) are required to post recordings, any governmental entity may post recordings.  If they do, the recordings will be permanently retained. In order to be consistent with the requirements of the Open and Public Meetings Act, the Archives will submit a proposal to the State Records Committee to make audio recordings of open and public meetings permanent instead of authorizing them to be destroyed three years after the approval of the official minutes. (The current retention schedule and the proposed changes are shown in the table below.) Governmental entities will have the option to transfer custody of the recordings to the State Archives where the long-term storage requirement will be met.

The proposed changes will be considered at the committee’s February 13 meeting. Comments on the proposed changes are welcome and should be submitted to Rebekkah Shaw (rshaw@utah.gov, 801-531-3851), by January 30.

 Schedule & Description Existing GRS

Retention

Comments/Citations
-Meeting Records-

When a public body convenes to discuss or act upon a matter under its jurisdiction, (Utah Code 52-4-103(5) (a) (2012)) they must give a public notice which includes the agenda and schedule (Utah Code 52-4-202(2009)). This schedule includes pending minutes.

Agenda:

SD 1-2, 15-1

CNT 1-2

MUN 1-1

 

Retain until official minutes are approved

Utah Code 52-4 (Open and Public Meetings Act)
Utah Code 52-4-103(5)(2012)[meeting defined]

Utah Code 63F-1-701(5)(c)(2013)[Public Notice Website]

-Open Meeting Minutes-

A meeting convenes for the “purpose of discussing, receiving comments from the public about, or acting upon a matter over which the public body has jurisdiction or advisory power.” (Utah Code 52-4-103(5) (a) (2012). Written minutes and a recording shall be kept of all open meetings. Approved minutes of an open meeting are the official record of the meeting. Included in the minutes shall be the agenda, supporting information requested by a member of the body, votes taken, the substance of testimony or comments given and related records. Recordings must be complete and unedited. (Utah Code 52-4-203(2013))

Minutes:
SD
15-2, 15-5, 17-24

SG 1-2, 1-51

CNT 1-15,

MUN 1-13
Recordings: (previous schedules do not require permanent disposition for open meetings)

SD 15-7

SG 1-41

CNT 1-44

MUN 1-45

Permanent. May be transferred to the State Archives.  

 

Utah Code 52-4 (Open and Public Meetings Act)

Utah Code 63G-2-301(2)(e)(2013)

Utah Code 52-4-103(5)(2012)[meeting defined]

Utah Code 63F-1-701(5)(c)(2013)[Public Notice Website]

-Closed Meeting Records-

A meeting convenes for the “purpose of discussing, receiving comments from the public about, or acting upon a matter over which the public body has jurisdiction or advisory power.” (Utah Code 52-4-103(5) (a) (2012).  No meeting is required to be closed. A meeting can be closed if the majority of members approve and the matter discussed is permitted under Utah Code 52-4-205(2013).  Final action votes cannot be taken in a closed meeting.  (Utah Code 52-4-205(2013)). Recordings shall be complete and unedited (Utah Code 52-4-206(2) (2010)).

Minutes:
SD
15-2, 15-5, 17-24

SG 1-2, 1-51

CNT 1-15,

MUN 1-13
Recordings:
SD 15-7

SG 1-41

CNT 1-44

MUN 1-45

Permanent. May be transferred to the State Archives.  

 

Utah Code 52-4 (Open and Public Meetings Act)

Utah Code 63G-2-305(32)(2012)

Utah Code 52-4-103(5)(2012)[meeting defined]

Utah Code 63F-1-701(5)(c)(2013)[Public Notice Website]

Categories: Records Management

Sharing Records

January 8, 2014 Comments off

               Many government records are shared by more than one governmental entity. For example, law enforcement records are shared with the Department of Child and Family Services and with county attorneys, and financial records are shared with the State Auditor’s Office. Records are sometimes shared with the federal government. Sharing records within government is governed by the Government Access and Management Act. Section  63G-2-206 describes the conditions on which a governmental entity may provide a record that is private, controlled, or protected to another governmental  entity, a government-managed corporation, a political subdivision, the federal government, or another state. Examples of these conditions include when sharing is allowed by statute, when the recipient is authorized to conduct an audit, and when the recipient will use the record for a purpose similar to that for which the record was created. GRAMA also describes the conditions on which records can be shared with contractors and private providers. The Archives has published guidelines on its website called, “What GRAMA says About Sharing Records.” The Archives has also added new record sharing forms which can be used when sharing of restricted records. These forms are designed to help government understand and document the terms and conditions on which restricted records are shared.  They also document agreements about providing access to shared records.

Categories: Records Management
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