No. 38569 (Amendment): Rule R13-2. Access to Records

(Amendment)

DAR File No.: 38569
Filed: 06/02/2014 03:24:43 PM

RULE ANALYSIS

Purpose of the rule or reason for the change:

The Department determined that amendments were necessary after reviewing the statutory authorization for rulemaking related to records management and records access.

Summary of the rule or change:

This amendment, in Section R13-2-1, clarifies the authority upon which the rule relies. In Section R13-2-2, it updates the definition of terms. In Section R13-2-3, it addresses rulemaking authorized by Subsection 63A-12-104(2) and designates that records management activities occur at the division level. In Section R13-2-4, it clarifies provisions previously promulgated in response to the rulemaking authorized by Subsection 63G-2-204(2)(d) that permits a governmental entity to enact rules specifying where and to whom requests for access are directed. In Section R13-2-5, pursuant to Section 63G-2-401, authorization to delegate the duties of the chief administrative officer related to GRAMA appeals, this amendment informs the public to whom appeals may be directed. In Section R13-2-6, this amendment clarifies where the department's GRAMA schedule of fees may be obtained. In Section R13-2-7, this amendment clarifies that forms are not required to submit a GRAMA request or a GRAMA appeal, but it provides the web address of forms that are available. Finally, in Section R13-2-8, it modifies the descriptive section title to clarify that this section addresses access to permanent or historical records in the custody of the Division of Archives and Records Service.

State statutory or constitutional authorization for this rule:

• Section 63A-12-104
• Subsection 63G-2-204(2)(d)

Anticipated cost or savings to:

the state budget:

This amendment provides clarification, but does not change the GRAMA request process established by statute. It does not change the costs associated with fulfilling a GRAMA request. There may be a slight savings in terms of time realized by a state agency that submits a GRAMA request or an appeal to the correct location, thereby avoiding delays that may accrue when a request or an appeal is misdirected. Having noted that, state agencies do not typically submit GRAMA requests to the department. This amendment does not alter fees associated with the fulfillment of a GRAMA request. For FY 2015, those fees are found in H.B. 8 (2014 General Legislative Session). Additionally, the rule will have no measurable impact to the department's budget. Statute requires the department to manage records. This rule provides clarification as to what level that activity will occur. Statute requires the department to respond to GRAMA requests. This rule provides clarification as to where requests shall be directed.

local governments:

This amendment provides clarification, but does not change the GRAMA request process established by statute. It does not change the costs associated with fulfilling a GRAMA request. There may be a slight savings in terms of time realized by a local government entity that submits a GRAMA request or an appeal to the correct location, thereby avoiding delays that may accrue when a request or an appeal is misdirected. This amendment does not alter fees associated with the fulfillment of a GRAMA request. For FY 2015, those fees are found in H.B. 8 (2014).

small businesses:

This amendment provides clarification, but does not change the GRAMA request process established by statute. It does not change the costs associated with fulfilling a GRAMA request. There may be a slight savings in terms of time realized by small businesses that submit a GRAMA request or an appeal to the correct location, thereby avoiding delays that may accrue when a request or an appeal is misdirected. This amendment does not alter fees associated with the fulfillment of a GRAMA request. For FY 2015, those fees are found in H.B. 8 (2014).

persons other than small businesses, businesses, or local governmental entities:

This amendment provides clarification, but does not change the GRAMA request process established by statute. It does not change the costs associated with fulfilling a GRAMA request. There may be a slight savings in terms of time realized by persons who submits a GRAMA request or an appeal to the correct location, thereby avoiding delays that may accrue when a request or an appeal is misdirected. This amendment does not alter fees associated with the fulfillment of a GRAMA request. For FY 2015, those fees are found in H.B. 8 (2014).

Compliance costs for affected persons:

This amendment will have no measurable impact to persons who submit a GRAMA request or a GRAMA appeal. By clarifying where requests and appeals are to be directed, the amendment may help to avoid delays associated with persons misdirecting GRAMA requests or appeals.

Comments by the department head on the fiscal impact the rule may have on businesses:

This amendment will not have a fiscal impact on businesses. It does not change the process or the fees associated with submitting a GRAMA request.

Kimberly K. Hood, Executive Director

The full text of this rule may be inspected, during regular business hours, at the Division of Administrative Rules, or at:

Administrative Services
Administration
Room 3120 STATE OFFICE BLDG
450 N STATE ST
SALT LAKE CITY, UT 84114-1201

Direct questions regarding this rule to:

• Kenneth Hansen at the above address, by phone at 801-538-3777, by FAX at 801-538-3844, or by Internet E-mail at [e-mail]
• Marilee Richins at the above address, by phone at 801-538-3215, by FAX at 801-538-3844, or by Internet E-mail at [e-mail]

Interested persons may present their views on this rule by submitting written comments to the address above no later than 5:00 p.m. on:

07/15/2014

This rule may become effective on:

07/22/2014

Authorized by:

Kimberly Hood, Executive Director

RULE TEXT

R13. Administrative Services, Administration.

R13-2. Management of Records and Access to Records.

R13-2-1. Authority and Purpose[ and Authority].

Under authority of [Subsections 63G-2-204(2)(d), and]Section 63A-12-104[(2)] and 63G-2-204(2)(d), this rule [provides procedures for access and denial of access to government records]specifies how permanent and historical records in the custody of the Division of Archives and Records Service may be accessed, at what level the requirements of Title 63A, Chapter 12 are undertaken, and where and to whom requests for access to records shall be directed.

 

R13-2-2. Definitions.

Terms used in this rule are defined in Section 63G-2-103. Additional terms are defined as follows:

(1) "Department" means the Department of Administrative Services created by Section 63A-1-104.

(2) "Division" means a division of the Department of Administrative Services listed in Section 63A-1-109.[

(3) "Office" means an office of the Department of Administrative Services.]

 

R13-2-3. Public Records Management Duties[Records Officer].

[Each division director shall comply with Section 63A-12-103 and shall appoint a records officer to perform the following functions:

(a) the duties set forth in Section 63A-12-103; and

(b) review and respond to requests for access to division records.]The department shall undertake the duties specified in Section 63A-12-103 at the division level, and at the department level by the executive director's office for areas not otherwise under the function of a division.

 

R13-2-4. Requests for Access.

(1) Except as provided by Section R13-2-8 regarding access to permanent or historical records in the custody of the Division of Archives and Records Service, a request for access to records shall be made in writing, include the information required by Section 63G-2-204, and be directed to the records officer of the [office or ]division which the requester believes [generated or ]possesses the records.

(2) [The offices and divisions of the department are as described in Sections 63A-1-104 and 63A-1-109 and are located at the corresponding address indicated below]Requests may be submitted to:

(a) Administrative Services, including the Executive Director's Office, and the Office of Child Welfare Parental Defense, 3120 State Office Building, Salt Lake City, UT 84114.

(b) Administrative Rules, [5110 State Office Building]PO Box 141007, Salt Lake City, UT 84114-1007.

(c) Archives and Records Service, 346 S. Rio Grande Street, Salt Lake City, UT 84101-1106.

(d) [Child Welfare Parental Defense, 3120 State Office Building, Salt Lake City, UT 84114.

(e) Debt Collection, Division of Finance, 2110 State Office Building, Salt Lake City, UT 84114.

(f)]Facilities Construction and Management, 4110 State Office Building, Salt Lake City, UT 84114.

[(g)](e) Finance, including the Office of State Debt Collection, and Consolidated Budget and Accounting, 2110 State Office Building, Salt Lake City, UT 84114.

[(h)](f) Fleet Operations, 4120 State Office Building, Salt Lake City, UT 84114.

[(i)](g) Purchasing and General Services, including the Surplus Property Program, 3150 State Office Building, Salt Lake City, UT 84114.

[(j)](h) Risk Management, 5120 State Office Building, Salt Lake City, UT 84114.[

(k) Surplus Property, Division of Purchasing and General Services, 3150 State Office Building, Salt Lake City, UT 84114.

]

R13-2-5. Appeal of [Office or Division]a Fee Waiver Denial, Access Determination Decision, or Extraordinary Circumstances Claims or Dates.

[(1) Except as provided by R13-2-8, if a requester is dissatisfied with the initial decision rendered by an office or division, the requester may appeal the decision to the department executive director under the procedures of Section 63G-2-401 et seq.

(2) An individual may contest the accuracy or completeness of a document pertaining to that individual pursuant to Section 63G-2-603. This type of request shall be made to the records officer.]To appeal the decision of a records officer, a requester shall submit a written notice of appeal providing information required by Subsection 63G-2-401(2) to the department's designated chief administrative officer for GRAMA appeals: DAS GRAMA Appeals Officer, Division of Administrative Rules, PO Box 141007, Salt Lake City, UT 84114-1007.

 

R13-2-6. Fees.

(1) A schedule of fees that may be charged in response to a records request[fee schedule for the actual costs of providing a record] may be obtained [from an office or division ]by contacting the records officer. The fee schedule is also available in the annual appropriations bill and posted on the department's website at http://www.das.utah.gov/.

(2) Fees for providing a record may be waived under certain circumstances described in Subsection 63G-2-203(4). [Requests]A request for [this waiver of fees]a fee waiver [may]shall be made in writing to the records officer as part of the records request.

 

R13-2-7. Forms.

(1) Request and appeal forms are available at http://archives.utah.gov/recordsmanagement/forms/forms-grama.html, or from the records officer[ of each office or division].

(2) These forms are provided as a convenience, and a requester is not required to use these forms as long as information required by the statute is provided.

 

R13-2-8. Access to Permanent or Historical Records in the Custody of the Division of Archives and Records Service.

(1) An individual need not submit a formal records request to inspect public records of permanent or historical value stored at the state archives.

(2) An individual may request access to records that are noncurrent records of permanent or historical value in the custody of the state archives. The individual shall direct that request to the state archives' research center, 346 S Rio Grande, Salt Lake City, UT 84101-1106.

(3) If the requester is dissatisfied with the initial decision rendered by the research center, or if the state archives' research center denies access to these records, the requester may appeal the decision to the state archivist under the procedures of Section 63G-2-401 et seq.

 

KEY: [freedom of information, ]public information, [confidentiality of information, ]access to information, GRAMA requests, GRAMA appeals

Date of Enactment or Last Substantive Amendment: [August 7, 2012]2014

Notice of Continuation: October 4, 2011

Authorizing, and Implemented or Interpreted Law: 63G-2-204(2)(d); 63A-12-104[(2)]

 

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