• UTAH COUNTY ACADEMY OF SCIENCES

    Policies and Procedures on

    RECORDS ACCESS AND MANAGEMENT / GRAMA

    POLICY EH

    PURPOSE AND PHILOSOPHY

    The Utah County Academy of Sciences (UCAS) and its employees receive and produce large amounts of information, most of which can be classified as “Records,” “Documents,” or “Electronically Stored Information (ESI)”. Various laws, along with other legal and managerial obligations as outlined in this policy, govern the retention and disclosure of such information.

    a. As a governmental entity, UCAS is subject to Utah’s open Records laws. Specifically, the District complies with the Government Records Access and Management Act (GRAMA) (Utah Code Ann., Section 63G-2-101, et seq.) and the Public Records Management Act (Utah Code Ann., Section 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.

    b. As an educational institution, UCAS is subject to the federal Family Educational Rights and Privacy Act (FERPA) (20 U.S.C. Section 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 does not include student educational records. UCAS Policy #EC – Records and Data Management governs student records under FERPA.

    I. As a body subject to civil lawsuits, UCAS 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.

    II. As a large organization, UCAS 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.

    c. This policy outlines the requirements necessary to properly manage, classify, access, preserve, protect, and dispose of UCAS Records, Documents, and ESI in compliance with applicable laws, regulations, and effective business practices. All employees are expected to follow this policy.

    1. DEFINITIONS

    a. “Documents” and “Electronically Stored Information (ESI)” are given the meaning 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.

    b. “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 UCAS, and the information is reproducible by photocopy or other mechanical or electronic means.

    2. RECORDS MANAGERS

    Records Managers will perform the duties and responsibilities set forth in Utah Code Ann., Section 63G-2-101, et seq. Specifically, Records Managers will be responsible for the maintaining, classifying, scheduling, and reporting to the Utah State Archives each Record or Record series produced, received, or maintained by UCAS.

    The Superintendent shall designate one or more Records Managers which shall be trained and certified according to Utah state laws and administrative rules.

    The Records Manager will review and respond to any request for access to Records (“GRAMA request”). All GRAMA requests shall be processed by use of the District’s GRAMA forms.

    a. Records Managers are designated as follows:

    I. The Superintendent is the Records Manager for all Records of the Superintendent’s Office.

    II. The Business Administrator is the Records Manager for all business and financial Records, as well as Board of Education Records, the Records Manager for all purchasing, procurement, and facilities Records, all employee Records, including personnel files.

    III. The Director of Special Education and Federal Programs is the Records Manager for all special education / federal program Records.

    IV. Each school administrator is a Records Manager responsible for managing and maintaining Records at his/her school or department site.

    3. RECORDS CLASSIFICATION

    Record shall be classified under one of the following categories:

    a. “Public Records” as described Public Records. Records defined and described in Utah Code Ann. §63G-2-103(21) and 301 are classified as public.

    b. Private Records. In addition to the Records described in Utah Code Ann., Section 63G-2- 302(1), the following Records are classified as private. The following list of private Records is not exhaustive.

    I. Records 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 Subsection 63G-2-301(2)(b) or 63G-2-301(3)(o).

    II. Records in any personnel file, applications, nominations, recommendations, or proposals for public employment or appointment, except information that is otherwise classified as public.

    III. Records describing an individual’s finances except Records defined by law as public, and the following:

    A. Information provided to the District for the purpose of complying with a financial assurance requirement; or

    B. Records that must be disclosed in accordance with another law or administrative rule.

    C. Records containing data on individuals the disclosure of which constitutes a clearly unwarranted invasion of personal privacy.

    c. Controlled Records contain medical, psychiatric, or psychological data about an individual. Records 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.

    d. Protected Records. Records listed in Utah Code Ann., Section 63G-2-305 are classified as protected, including but not limited to, Records protected by the attorney-client privilege.

    4. RECORDS ACCESS

    A 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. A GRAMA request must be on an official GRAMA form.

    All GRAMA requests shall be submitted to a Records Manager at UCAS. Any inspection of a Public Record shall be during normal business hours in accordance with Utah Code Ann., Section 63G-2-201.

    Access to Private, Controlled, and Protected Records shall be granted only in accordance with Utah Code Ann., Section 63G-2-202. Requests for Records classified as Private, Controlled, Protected, or otherwise restricted under Utah Code Ann., Section 63G-2-201(3)(b) shall be denied.

    Approved GRAMA requests shall be provided in a timely manner in accordance with Utah Code Ann., Section 63G-2-204.

    5. RETENTION OF RECORDS, DOCUMENTS, AND ESI

    UCAS shall retain Records according to the schedules established by the State Records Committee in accordance with Utah Code Ann., Section 63G-2-604.

    Each employee of UCAS 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.

    Except as provided in Section 2 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.

    a. Correspondence governed by a state retention schedule must be retained and managed according to the applicable schedule.

    b. UCAS will configure its email system to delete all emails from employee accounts two (2) years from the date the email was sent/received.

    Except when under the requirements of a litigation hold, 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.

    6. SUBPOENAS AND DISCOVERY REQUESTS

    Subpoenas and discovery requests for Records, Documents, or ESI should be directed to the Superintendent or Business Manager.

    7. 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. Section 1232(g); 34 C.F.R. Section 99, et seq.; and 34 C.F.R. Section 300, et seq.). The District may not release information related to educational records without parental consent, except as otherwise provided in FERPA (see UCAS Policy #EC – Records and Data Management).

    Federal Rule of Civil Procedure 34.
    Utah Code Ann., Section 63A-12-100
    Utah Code Ann., Section 63G-2-101

    Pending Board Approval 11/15/2018