EH - Records Access and Management / GRAMA
1. PURPOSE AND PHILOSOPHY
1.1Nebo School District and its employees receive and produce large amounts of information, most of which can be classified as “Records,” “Documents,” or “Electronically Stored Information (ESI)” as those terms are defined below. Various laws, along with other legal and managerial obligations as outlined in this policy, govern the retention and disclosure of such information.
1.1.1As a governmental entity, Nebo School District is subject to Utah’s open Records laws. Specifically, the District complies with the Government Records Access and Management Act (GRAMA) (Utah Code Ann. § 63G-2-101, et seq.) and the Public Records Management Act (Utah Code Ann. § 63A-12-100, et seq.). These laws require the District to classify, manage, and provide public access to certain Records as more fully described herein.
1.1.2As an educational institution, the District is subject to the federal Family Educational Rights and Privacy Act (FERPA) (20 U.S.C. § 1232g; 34 CFR Part 99), which governs student educational records. Management of student records is outside the scope of this policy, and references to Records herein does not include student educational records. Nebo School District Policy JO, Student Records and Data Protection governs student records under FERPA.
1.1.3As a body subject to civil lawsuits, the District may at times be required to respond to discovery requests under either the federal or Utah Rules of Civil Procedure. Likewise, the District frequently receives subpoenas requiring prompt production of Records, Documents, and ESI. An effective records management system is essential to upholding these legal obligations.
1.1.4As a large organization, the District has an interest in the effective management of its Records, Documents, and ESI to avoid unnecessary stockpiles, to free up storage space, and to facilitate rapid acquisition when such information is needed.
1.2This policy outlines the requirements necessary to properly manage, classify, access, preserve, protect, and dispose of District Records, Documents, and ESI in compliance with applicable laws, regulations, and effective business practices. All employees are expected to follow the provisions set forth herein.
2. DEFINITIONS
2.1“Documents” and “Electronically Stored Information (ESI)” are given the meaning ascribed to them in Federal Rule of Civil Procedure 34 and include writings, drawings, graphs, charts, photographs, sound recordings, images, and other data or data compilations—stored in any medium from which information can be obtained either directly or, if necessary, after translation into a reasonably usable form. Documents and ESI include Records, as defined below, as well as those items in § 2.2.1 that are not included in the definition of Record.
2.2“Record” is used in this policy as defined in Utah Code Ann. § 63G-2-103 and includes, but is not limited to, a book, letter, document, paper, map, plan, photograph, film, card, tape, recording, electronic data, or other documentary material regardless of physical form or characteristics that is prepared, owned, received, or retained by the District, and the information is reproducible by photocopy or other mechanical or electronic means.
2.2.1Consistent with Utah Code Ann. § 63G-2-103, the term Record, as used in this policy, does not include the following:
2.2.1.1a personal note or personal communication prepared or received by an employee or officer of the District:
2.2.1.1.1in a capacity other than the employee's or officer's governmental capacity; or
2.2.1.1.2that is unrelated to the conduct of the public's business;
2.2.1.2a temporary draft or similar material prepared for the originator's personal use or prepared by the originator for the personal use of an individual for whom the originator is working;
2.2.1.3material that is legally owned by an individual in the individual's private capacity;
2.2.1.4material to which access is limited by the laws of copyright or patent unless the copyright or patent is owned by the District;
2.2.1.5proprietary software;
2.2.1.6junk mail or a commercial publication received by the District or an official or employee of the District;
2.2.1.7a book that is cataloged, indexed, or inventoried and contained in the collections of a library open to the public;
2.2.1.8material that is cataloged, indexed, or inventoried and contained in the collections of a library open to the public, regardless of physical form or characteristics of the material;
2.2.1.9a daily calendar
2.2.1.10a note prepared by the originator for the originator's own use or for the sole use of an individual for whom the originator is working;
2.2.1.11a computer program that is developed or purchased by or for any governmental entity for its own use;
2.2.1.12a note or internal memorandum prepared as part of the deliberative process by a member of a body charged by law with performing a quasi-judicial function;
2.2.1.13a telephone number or similar code used to access a mobile communication device that is used by an employee or officer of the District, provided that the employee or officer has designated at least one business telephone number that is a public record as provided in Utah Code Ann. § 63G-2-301;
2.2.2“Record Series” means a group of Records that may be treated as a unit for purposes of designation, description, management, or disposition.
3. RECORDS OFFICERS
3.1The Superintendent shall designate one or more Records Officers.
3.2The Records Officer(s) shall be trained and certified according to Utah state laws and administrative rules.
3.3The Records Officer(s) will review and respond to any request for access to Records (“GRAMA request”). GRAMA requests may be processed by use of the District’s GRAMA forms.
4. RECORDS MANAGERS
4.1Each Records Manager will assist the Records Officer(s) in performing the duties and responsibilities set forth in Utah Code Ann. § 63G-2-101, et seq. Specifically, Records Managers will coordinate with the Records Officer(s) in maintaining, classifying, scheduling, and reporting to the Utah State Archives each Record or Record series produced, received, or maintained by the District. Specific Record management and maintenance responsibilities may be designated by the Records Officer(s).
4.2Records Managers are designated as follows:
4.2.1The Superintendent is the Records Manager for all Records of the Superintendent’s Office.
4.2.2The Business Administrator is the Records Manager for all business and financial Records, as well as Board of Education Records.
4.2.3District Legal Counsel is the Records Manager for all Records evidencing the District’s real property, water rights, certain procurements, contracts, and other legal documents.
4.2.4Except as otherwise provided by District policy, the Director of Operations is the Records Manager for all purchasing, procurement, and facilities Records.
4.2.5The Director of Human Resources is the Records Manager for all employee Records, including personnel files.
4.2.6The Director of Special Education and Federal Programs is the Records Manager for all special education / federal program Records.
4.2.7The Director of Secondary Education is the Records Manager for all Records in secondary schools.
4.2.8The Director of Elementary Education is the Records Manager for all Records in elementary schools.
4.2.9Each Principal and Supervisor is a Records Manager responsible for managing and maintaining Records at his/her school or department site.
5. RECORDS CLASSIFICATION
5.1A Record shall be classified under one of the following categories:
5.1.1“Public Records” as described in Utah Code Ann. § 63G-2-301;
5.1.2“Private Records” as described in Utah Code Ann. §§ 63G-2-302 and303;
5.1.3“Controlled Records” as described in Utah Code Ann. § 63G-2-304;
5.1.4“Protected Records” as described in Utah Code Ann. § 63-2-305; OR
5.1.5A Record to which access is restricted as described in Utah Code Ann. § 63G-2-201(3)(b), or Utah Code Ann. § 63G-2-107, including student educational records to which access is restricted by FERPA.
5.2Public Records. Records defined and described in Utah Code Ann. § 63G-2-301 are classified as public.
5.3Private Records. In addition to the Records described in Utah Code Ann. § 63G-2-302(1), the following Records are classified as private. The following list of private Records is not exhaustive.
5.3.1Records concerning a current or former employee of, or applicant for employment with the District, including performance evaluations and personal status information such as race, religion, or disabilities, but not including Records that are public under Utah Code Ann. § 63G-2-301(2)(b) or 63G-2-301(3)(o).
5.3.2Records in any personnel file, applications, nominations, recommendations, or proposals for public employment or appointment, except information that is otherwise classified as public.
5.3.3Records describing an individual's finances except Records defined by law as public, and the following:
5.3.3.1Information provided to the District for the purpose of complying with a financial assurance requirement; or
5.3.3.2Records that must be disclosed in accordance with another law or administrative rule.
5.3.4Records containing data on individuals the disclosure of which constitutes a clearly unwarranted invasion of personal privacy.
5.4Controlled Records. The following Records are classified as controlled:
5.4.1Records containing medical, psychiatric, or psychological data about an individual.
5.4.2Records the District believes the release of which to the subject would be detrimental to the subject’s mental health or to the safety of any individual, or the release of which would constitute a violation of professional practice and medical ethics.
5.5Protected Records. Records listed in Utah Code Ann. § 63G-2-305 are classified as protected, including but not limited to, Records protected by the attorney-client privilege.
6. RECORDS ACCESS
6.1Access to Public Records
6.1.1A person may request to inspect or receive copies of Public Records by filing a written GRAMA request. The GRAMA request must contain the requestor’s name, mailing address, and daytime telephone number. The request must include a specific description of the Records being requested. GRAMA requests may be processed by use of the District’s GRAMA forms.
6.1.2All GRAMA requests shall be submitted to a Records Officer.
6.1.3Any inspection of a Public Record shall be during normal business hours in accordance with Utah Code Ann. § 63G-2-201.
6.1.4Access to Private, Controlled, and Protected Records shall be granted only in accordance with Utah Code Ann. § 63G-2-202. Requests for Records classified as Private, Controlled, Protected, or otherwise restricted under Utah Code Ann. § 63G-2-201(3)(b) or § 63G-2-107 shall be denied.
6.2Approved GRAMA requests shall be provided in a timely manner in accordance with Utah Code Ann. § 63G-2-204.
6.3GRAMA requests may be responded to and processed by use of the District’s GRAMA forms.
7. FEES FOR RECORDS REQUESTS
7.1A fee shall be charged for the District’s actual cost of duplicating a requested Record and also for personnel time in compiling and obtaining the Record as follows (Utah Code Ann. § 63G-2-203):
7.1.1A copy fee of ten (10) cents per page for each single sided copy.
7.1.2A copy fee of fifteen (15) cents per page for each double sided copy.
7.1.3A fee for District personnel time shall be charged for searching, formatting, manipulating, tailoring, summarizing, compiling, or supervising a requestor’s access to a Record, when such activities exceed fifteen (15) minutes. The fee will be the hourly rate of the lowest paid employee who, in the discretion of the custodian of records, has the necessary skill, training, and authorization to perform the request.
7.2The District shall require pre-payment from a requestor if the fees to produce the Record are expected to exceed fifty dollars ($50.00).
7.3The District may not charge fees for:
7.3.1Reviewing a Record to determine whether it is subject to disclosure, except as otherwise permitted by Utah Code Ann. § 63G-2-203; OR
7.3.2The requestor’s inspecting the Record.
8. APPEALS OF RECORDS REQUEST DENIALS
8.1If a Records Officer denies a Records request, the requestor may submit a written appeal to the Superintendent by use of the District’s Notice of Appeal form according to time limits and provisions of Utah Code Ann. § 63G-2-401.
8.1.1If the requestor is dissatisfied with the decision of the Superintendent, the requestor may file an appeal to the State Records Committee in accordance with Utah Code Ann. § 63G-2-403, or petition for judicial review in the district court as provided by Utah Code Ann. § 63G-2-404.
8.2An individual may contest the accuracy or completeness of a Record in accordance with Utah Code Ann. § 63G-2-603.
9. RETENTION OF RECORDS, DOCUMENTS, AND ESI
9.1The District shall retain Records according to the schedules established by the State Records Committee in accordance with Utah Code Ann. § 63G-2-604. The retention schedules should be familiar to all Records Managers and is available the Utah Division of Archives and Records Service website.
9.1.1Each employee of the District is considered the custodian of all Records created or received in his/her official capacity as an employee. Employees must manage, retain, and delete Records for which they are the custodian consistent with state retention schedules.
9.1.2Records for which no state retention schedule exists should be discarded as soon as the purpose for which they were created has been satisfied.
9.1.3Except as provided in subsection 2.2.1 above, correspondence sent or received by an employee in his/her official capacity, including but not limited to letters, email, voice mail, text messages, and social media postings, may constitute Records and must be managed as follows.
9.1.3.1Correspondence governed by a state retention schedule must be retained and managed according to the applicable schedule.
9.1.3.2Correspondence that names or otherwise identifies a student may constitute a student record governed by FERPA. Except where governed by a state retention schedule, correspondence that names or identifies a student should either be destroyed as soon as it is no longer needed by the employee or maintained in the student’s file.
9.1.3.3Employees may delete or destroy any correspondence not governed by 10.1.3.1 or 10.1.3.2 as soon as the purpose of the correspondence is satisfied.
9.1.3.4The District will configure its email system to delete all emails from employee accounts seven (7) years from the date the email was sent/received.
9.2Except when under the requirements of a litigation hold as described in District policy, all Documents and ESI that do not fall within the definition of Records shall be discarded as soon as the purpose for which they were created has been satisfied.
10. SUBPOENAS AND DISCOVERY REQUESTS
Subpoenas and discovery requests for Records, Documents, or ESI should be directed to the Legal Department.
11. STUDENT RECORDS
All student records are designated as “education records” and the disclosure of such education records is restricted under GRAMA by the Family Educational Rights and Privacy Act of 1974 (FERPA) (20 U.S.C. § 1232(g); 34 C.F.R. § 99, et seq.; and 34 C.F.R. § 300, et seq.). The District may not release information related to educational records without parental consent, except as otherwise provided in FERPA (see Nebo School District Policy JO, Student Records).
12. COPYRIGHTED OR PATENTED MATERIALS
Any Record which is copyrighted, either by formal filing under federal copyright laws or by informal claim of copyright, or which is covered by a patent, trademark, or other protected designation, shall not be copied or provided to any person without a valid order of a court ordering such disclosure or written permission from the author of the Record.