63A-12 - Division of Archives and Records Service and Management of Government Records

Title 63A > 63A-12

Sections (20)

General Provisions

63A-12-100.5 - Definitions.

63A-12-100.5(1) Except as provided under Subsection (2), the definitions in Section 63G-2-103 apply to this chapter. 63A-12-100.5(2) As used in this chapter:“Chief administrative officer” means the individual designated by a governmental entity to perform the duties described in Section 63A-12-103.”Division” means the Division of Archives and Records Service.”Record” means:the same as that term is defined in Section 63G-2-103; ora video or audio recording of an interview, or a transcript of the video or audio recording, that is conducted at a Children’s Justice Center established under Section 67-5b-102, the release of which is governed by Section 77-37-4.”Records officer” means an individual appointed by the chief administrative officer whose primary responsibility is to care, maintain, use, schedule, dispose, classify, designate, manage access to, and preserve records in accordance with applicable laws.”State archives” means the Division of Archives and Records Service.”Vulnerable adult” means the same as that term is defined in Section 26B-6-201.”Vulnerable record” means a record or data relating to:national security interests;the care, custody, or control of a child;a fiduciary trust over money;health care of a child; orthe following, in relation to a vulnerable adult:protection, health care, or other care; orthe provision of food, shelter, clothing, assistance with an activity of daily living, or assistance with financial resource management.

63A-12-101 - Division of Archives and Records Service created — Duties.

63A-12-101(1) There is created the Division of Archives and Records Service within the department. 63A-12-101(2) The state archives shall:administer the state’s archives and records management programs, including storage of records, central reformatting programs, and quality control;apply fair, efficient, and economical management methods to the collection, creation, use, maintenance, retention, preservation, disclosure, and disposal of records and documents;establish standards, procedures, and techniques for the effective management and physical care of records;conduct surveys of office operations and recommend improvements in current records management practices, including the use of space, equipment, automation, and supplies used in creating, maintaining, storing, and servicing records;establish standards for the preparation of schedules providing for the retention of records of continuing value and for the prompt and orderly disposal of state records no longer possessing sufficient administrative, historical, legal, or fiscal value to warrant further retention;establish, maintain, and operate centralized reformatting lab facilities and quality control for the state;provide staff and support services to the Records Management Committee created in Section 63A-12-112 and the Government Records Office, created in Section 63A-12-202;develop training programs to assist records officers and other interested officers and employees of governmental entities to administer this chapter and Title 63G, Chapter 2, Government Records Access and Management Act;provide access to public records deposited in the archives;administer and maintain the Utah Public Notice Website established under Section 63A-16-601;provide assistance to any governmental entity in administering this chapter and Title 63G, Chapter 2, Government Records Access and Management Act;prepare forms for use by all governmental entities for a person requesting access to a record; andif the department operates the Division of Archives and Records Service as an internal service fund agency in accordance with Section 63A-1-109.5, submit to the Rate Committee established in Section 63A-1-114:the proposed rate schedule as required by Section 63A-1-114; andother information or analysis requested by the Rate Committee. 63A-12-101(3) The state archives may:establish a report and directives management program;establish a forms management program; andin accordance with Section 63A-12-101, require that an individual undergo a background check if the individual:applies to be, or currently is, an employee or volunteer of the division; andwill have direct access to a vulnerable record in the capacity described in Subsection (3)(c)(i). 63A-12-101(4) The executive director may direct the state archives to administer other functions or services consistent with this chapter and Title 63G, Chapter 2, Government Records Access and Management Act.

63A-12-102 - State archivist — Duties.

63A-12-102(1) With the approval of the governor, the executive director shall appoint the state archivist to serve as director of the state archives. The state archivist shall be qualified by archival training, education, and experience. 63A-12-102(2) The state archivist is charged with:

the custody and permanent retention and preservation of: the enrolled copy of the original 1895 Utah Constitution; Indian war records; oaths of office of all state officials, including legislative officials, required under Article IV, Section 10 of the Utah Constitution to take an oath of office; all other records, excluding legislative records described in Section 63A-12-102.5, kept by or deposited with the state archivist for permanent preservation as provided by law; and the retention and preservation of legislative records, as provided in Section 63A-12-102.5. 63A-12-102(3) The state archivist is the official custodian of all noncurrent records of permanent or historic value that are not required by law to remain in the custody of the originating governmental entity. Upon the termination of any governmental entity, its records shall be transferred to the state archives.

63A-12-102.5 - Preservation of legislative records.

63A-12-102.5(1) As used in this section:

“Historical legislative record” means a permanent legislative record or a supplemental legislative record that a legislative office transmitted to the state archivist before March 3, 2023, for retention and preservation. “Legislative office” means: the Senate, the House of Representatives, or a staff office of the Legislature; or as applicable, a body designated by the Legislative Management Committee to be responsible for:

the retention of a legislative record; or the transmission of a legislative record to the division, as provided in this section, if the body chooses to transmit the legislative record to the division. “Legislative retention schedule” means the retention schedule attached as Appendix A to the Legislative Management Committee Policy L. Legislative Records. “Permanent legislative record” means: a joint proclamation issued by the president of the Senate and the speaker of the House of Representatives convening a session of the Legislature under Article VI, Section 2 of the Utah Constitution; a session journal of the Senate or House of Representatives; a recording of Senate or House of Representatives floor proceedings; a numbered bill or resolution of the Senate or House of Representatives, including:

a public substitute or amendment; a fiscal note or other information required to accompany a numbered bill or resolution; and an enrolled bill or resolution; an introduced article of impeachment or amendment to an article of impeachment; as prepared by the Legislature and provided to the public, a list of actions taken on legislation during a legislative session or descriptions of the status of legislation considered during a legislative session; a notice, agenda, handout or other public meeting material, recording, or minutes of the Legislative Management Committee, Executive Appropriations Committee, standing and interim committees of the Legislature, appropriations subcommittees of the Legislature, audit subcommittees of the Legislature, and other legislative committees, task forces, or commissions, excluding a rules or sifting committee of the Legislature; a statutorily required budget or appropriations report; an audit or review report of the Office of the Legislative Auditor General and a record that supports the conclusions and findings of the audit or review report; a version of the Utah Code after the Office of Legislative Research and General Counsel prepares an updated Utah Code database incorporating any duly enacted legislation making changes to the Utah Code; the Laws of Utah; a biennial version of the Utah Constitution after the Office of Legislative Research and General Counsel incorporates into the Utah Constitution amendments that passed during the preceding regular general election; or a notice of appeal under Section 63G-9-401 relating to a decision of the board of examiners and a record accompanying a notice of appeal. “Supplemental legislative record” means a legislative record that is not a permanent legislative record. 63A-12-102.5(2) A legislative office may, but is not required to, transmit a legislative record to the state archivist for retention and preservation as provided in this section. 63A-12-102.5(3) A legislative office shall consult with the state archivist as the legislative office determines the method and timing of transmitting a legislative record that the legislative office chooses to transmit to the state archivist for the state archivist’s retention and preservation as provided in this section. The transmission of a digital copy of a legislative record is sufficient for purposes of the transmission of the legislative record to the state archivist. 63A-12-102.5(4) A legislative record that a legislative office transmits to the state archivist for retention and preservation remains in the control and legal custody of the legislative office and, although retained and preserved by the state archivist, does not become subject to the control or legal custody of the state archivist. The state archivist shall allow a legislative office full and continuing access to any legislative record transmitted to the state archivist for retention and preservation under this section. 63A-12-102.5(5) The state archivist may not disclose a supplemental legislative record without the prior written consent of the legislative office that transmitted the supplemental legislative record to the state archivist. If the state archivist receives a subpoena or other request for a supplemental legislative record, the state archivist shall immediately provide written notice of the subpoena or other request to: the legislative office that transmitted the supplemental legislative record to the state archivist; and legislative general counsel. 63A-12-102.5(6) The state archivist shall:

permanently retain and preserve a historical legislative record; permanently retain and preserve a permanent legislative record that a legislative office chooses to transmit to the state archivist after March 3, 2023; and retain and preserve, according to the legislative retention schedule, a supplemental legislative record that a legislative office chooses to transmit to the state archivist for retention and preservation after March 3, 2023.

63A-12-103 - Duties of governmental entities.

Each governmental entity shall designate a chief administrative officer who shall be responsible to: 63A-12-103(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; 63A-12-103(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; 63A-12-103(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; 63A-12-103(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 privacy, transparency, legal, and financial rights of persons directly affected by the entity’s activities; 63A-12-103(5) submit to the state archivist proposed schedules of records for final approval by the Records Management Committee created in Section 63A-12-112; 63A-12-103(6) cooperate with the state archivist in conducting surveys made by the state archivist; 63A-12-103(7) comply with rules issued by the Department of Government Operations as provided by Section 63A-12-104; 63A-12-103(8) report to the state archives:the designation of each record series that the governmental entity maintains;the classification of each record series that the governmental entity has classified; andthe name of the governmental entity’s:chief administrative officer; andrecords officers; 63A-12-103(9) ensure that the governmental entity complies with the requirements found in:this part;Title 63G, Chapter 2, Government Records Access and Management Act; andChapter 19, Part 4, Duties of Governmental Entities; and 63A-12-103(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-12-104 - Rulemaking authority.

Title 63G, Chapter 3, Utah Administrative Rulemaking Act : 63A-12-104(1) the state archivist may make rules establishing procedures for the collection, storage, designation, classification, access, mediation for records access, and management of records under this chapter and Title 63G, Chapter 2, Government Records Access and Management Act; and 63A-12-104(2) a governmental entity may make rules, policies, or ordinances specifying at which level within the governmental entity the requirements described in this chapter will be undertaken.

63A-12-105 - Records are property of the state — Disposition — Penalties for intentional mutilation or destruction.

63A-12-105(1) All records created or maintained by a state governmental entity are the property of the state and shall not be mutilated, destroyed, or otherwise damaged or disposed of, in whole or part, except as provided in this chapter and Title 63G, Chapter 2, Government Records Access and Management Act. 63A-12-105(2) Except as provided in Subsection (2)(b), all records created or maintained by a political subdivision of the state are the property of the state and shall not be mutilated, destroyed, or otherwise damaged or disposed of, in whole or in part, except as provided in this chapter and Title 63G, Chapter 2, Government Records Access and Management Act. Records which constitute a valuable intellectual property shall be the property of the political subdivision. The state archives may, upon request from a political subdivision, take custody of any record series of the political subdivision. A political subdivision which no longer wishes to maintain custody of a record which must be retained under the political subdivision’s retention schedule or the state archive’s retention schedule shall transfer it to the state archives for safekeeping and management. 63A-12-105(3) It is unlawful for a person to intentionally mutilate, destroy, or to otherwise damage or dispose of the record copy of a record knowing that the mutilation, destruction, damage, or disposal is in contravention of: a governmental entity’s properly adopted retention schedule; or if no retention schedule has been properly adopted by the governmental entity, the model retention schedule, as provided in Section 63G-2-604. Violation of this Subsection (3) is a class B misdemeanor. An employee of a governmental entity that violates this Subsection (3) may be subject to disciplinary action as provided under Section 63G-2-804.

63A-12-106 - Certified and microphotographed copies.

63A-12-106(1) Upon demand, the state archives shall furnish certified copies of a record in the state archives’s exclusive custody that is classified public or that is otherwise determined to be public under this chapter by the originating governmental entity, the director of the Government Records Office, created in Section 63A-12-202, or a court of law. When certified by the state archivist under the seal of the state archives, a copy has the same legal force and effect as if certified by the originating governmental entity. 63A-12-106(2) The state archives may microphotograph records when the state archives determines that microphotography is an efficient and economical way to care, maintain, and preserve the record. A transcript, exemplification, or certified copy of a microphotograph has the same legal force and effect as the original. Upon review and approval of the microphotographed film by the state archivist, the source documents may be destroyed. 63A-12-106(3) The state archives may allow another governmental entity to microphotograph records in accordance with standards set by the state archives.

63A-12-107 - Right to replevin.

To secure the safety and preservation of records, the state archivist or the state archivist’s representative may examine all records. On behalf of the state archivist, the attorney general may replevin any records that are not adequately safeguarded.

63A-12-108 - Inspection and summary of record series.

63A-12-110 - Online training course.

63A-12-110(1) As used in this section, “records officer” is as defined in Section 63G-2-103. 63A-12-110(2) The division shall:

develop an online training course for records officers of all governmental entities and political subdivisions; make the online training course available on or before January 1, 2013; on an annual basis, provide certification to a records officer after the records officer successfully completes the online training course; and post a list on its website of all records officers, including for each: the name of the records officer; the name of the governmental entity or political subdivision to which the records officer provides services as a records officer; contact information for the records officer; the most recent date on which the records officer completed the online training course; and the date on which the records officer’s certification expires. 63A-12-110(3) The online training course described in this section shall train a records officer regarding the provisions of: Title 63G, Chapter 2, Government Records Access and Management Act; rules made under Title 63G, Chapter 2, Government Records Access and Management Act; and other legal and policy matters relating to responding to a public records request. 63A-12-110(4) The division:

shall develop the online training course in consultation with the attorney general’s office; and may make rules, in accordance with Title 63G, Chapter 3, Utah Administrative Rulemaking Act.

63A-12-112 - Records Management Committee — Creation — Membership — Administration.

63A-12-112(1) There is created the Records Management Committee composed of the following seven members:

the director of the Utah Historical Society or the director’s designee; the director of the Division of Archives and Records Services or the director’s designee; and five members appointed by the governor as follows: a member of the Utah State Bar who understands public records keeping under Title 63G, Chapter 2, Government Records Access and Management Act; a member with experience in public finance; an individual from the private sector whose principal professional responsibilities are to create or manage records; a member representing political subdivisions, recommended by the Utah League of Cities and Towns; and a member representing the news media. 63A-12-112(2) Except as provided in Subsection (2)(b), the governor shall appoint each member to a four-year term. Notwithstanding Subsection (2)(a), the governor shall, at the time of appointment or reappointment, adjust the length of committee members’ terms to ensure that the terms of members appointed by the governor are staggered so that approximately half of the committee members appointed by the governor are appointed every two years. Each appointed member of the committee is eligible for reappointment for one additional term. 63A-12-112(3) When a vacancy occurs in the membership of the committee for any reason, the applicable appointing authority shall appoint a replacement for the unexpired term. 63A-12-112(4) A member of the Records Management Committee may not receive compensation or benefits for the member’s service on the committee, but may receive per diem and travel expenses in accordance with:

Section 63A-3-106; Section 63A-3-107; and rules made by the Division of Finance under Sections 63A-3-106 and 63A-3-107.

63A-12-113 - Records Management Committee — Duties.

63A-12-113(1) The Records Management Committee shall:

appoint a chair from among the committee’s members; and review and determine whether to approve each schedule for the retention and disposal of records, including a proposed schedule submitted to the committee under Section 63G-2-604, within three months after the day on which the proposed schedule is submitted to the committee. 63A-12-113(2) The Records Management Committee may make recommendations to a governmental entity regarding the entity’s management of records. 63A-12-113(3) Four members of the Records Management Committee are a quorum for the transaction of business. 63A-12-113(4) The state archivist shall provide staff and support services for the Records Management Committee. 63A-12-113(5) The Office of the Attorney General shall provide counsel to the Records Management Committee.

63A-12-114 - Utah Open Records Portal Website.

63A-12-114(1) As used in this section:

“Governmental entity” means the same as that term is defined in Section 63G-2-103. “Website” means the Utah Open Records Portal Website created in this section. 63A-12-114(2) There is created the Utah Open Records Portal Website to be administered by the division. 63A-12-114(3) Unless otherwise provided by a governmental entity, the website shall serve as an additional point of access for requests for records under Title 63G, Chapter 2, Government Records Access and Management Act. 63A-12-114(4) The division is responsible for:

establishing and maintaining the website, with the technical assistance of the Division of Technology Services, including the provision of equipment, resources, and personnel as necessary; providing a mechanism for governmental entities to gain access to the website for the purpose of posting, modifying, and maintaining records; and maintaining an archive of all records posted to the website. 63A-12-114(5) The timing for posting and the content of records posted to the website is the responsibility of the governmental entity posting the record.

63A-12-116 - Background check for individuals with direct access to a vulnerable record.

63A-12-116(1) If, under Subsection 63A-12-101(3)(c), state archives requires an individual to undergo a background check:

the individual shall: submit to state archives, in a form designated by state archives, a fingerprint card and other information required by state archives for the background check; and consent to a criminal background check by the Federal Bureau of Investigation, the Bureau of Criminal Identification, or any other state entity that performs criminal background checks; and state archives shall: submit the fingerprint card and information described in Subsection (1)(a)(i) to the Utah Bureau of Criminal Identification; and pay all fees required to conduct the background check, including fees described in Subsection 53-10-108(15)(a) and fees required by the Federal Bureau of Investigation. 63A-12-116(2) The Bureau of Criminal Identification shall provide all results of a criminal background check described in this section to state archives, including results from state, regional, and nationwide background checks. 63A-12-116(3) State archives may make rules, in accordance with Title 63G, Chapter 3, Utah Administrative Rulemaking Act, to:

establish procedures for requiring and conducting a background check under this section; and specify requirements for the information and fingerprint card required for a background check under this section.

Government Records Office

63A-12-201 - Definitions.

63A-12-201(1) “Director” means the director of the office, appointed under Subsection 63A-12-202(2). 63A-12-201(2) “Office” means the Government Records Office, created in Subsection 63A-12-202(1). 63A-12-201(3) “Records appeal process” means the process described in Title 63G, Chapter 2, Part 4, Appeals.

63A-12-202 - Government Records Office — Director — Annual report.

63A-12-202(1) There is created within the division the Government Records Office. 63A-12-202(2) The governor shall appoint the director of the office:in consultation with the executive director; andwith the advice and consent of the Senate. 63A-12-202(3) The director shall be:an attorney in good standing, authorized to practice law in Utah;knowledgeable regarding state law and practices relating to records management, including the provisions of Title 63G, Chapter 2, Government Records Access and Management Act;committed to:ensuring that records, and information in records, properly classified as private, protected, or controlled are disclosed only to the extent expressly provided by law;protecting the privacy of persons whose information is in the custody of a government entity; andthe disclosure of records, and information contained in records, to the extent required by law; andcapable of adjudicating appeals relating to the disclosure or nondisclosure of records in a manner that is impartial, responsible, and strictly in accordance with the requirements of law. 63A-12-202(4) An appointment described in Subsection (2) is for a four-year term.The governor may, in accordance with Subsection (2), reappoint the same individual to consecutive terms as the director.The governor may remove the director, only for cause, before the end of a four-year term.Appointment of a director or an interim director is governed by the provisions of Section 67-1-1.5, relating to an executive branch management position. 63A-12-202(5) The Office of the Attorney General shall provide counsel to the office. 63A-12-202(6) The office shall, on an annual basis before October 1, electronically transmit a written report to the Government Operations Interim Committee on the work performed by the office during the previous year, that includes:metrics on the standardization and efficiency of processing appeals; andthe effective implementation of the records ombudsman’s role.

63A-12-203 - Duties of director and office — Reassignment of classification or designation — Rulemaking authority — Transition from State Records Committee.

63A-12-203(1) The director shall:supervise and manage the office;appoint and supervise a government records ombudsman to fulfill the duties described in Section 63A-12-204;administer the records appeal process;hear appeals regarding disputed fees under Section 63G-2-203;hear and decide appeals from determinations of access under Section 63G-2-403; anddetermine disputes submitted by the state auditor under Subsection 67-3-1(17)(d). 63A-12-203(2) The director may:employ staff to support the work of the office;by order, after notice and hearing, reassign classification or designation for any record series by a governmental entity if the governmental entity’s classification or designation is inconsistent with Title 63G, Chapter 2, Government Records Access and Management Act; anddesignate another individual to hear and decide appeals for a specific case if the director has a conflict of interest in relation to that case. 63A-12-203(3) The office shall be a resource to citizens and government entities in relation to government records, including:ensuring lawful access to records;ensuring the lawful restriction of access to records;classification of records;retention of records; andresolving records disputes informally, via informal mediation, or via the records appeal process. 63A-12-203(4) An affected governmental entity or any other interested person may appeal the reassignment of a record under Subsection (2)(b) to a district court within 30 days after the day on which the director makes the reassignment.The district court shall hear an appeal described in Subsection (4)(a) de novo. 63A-12-203(5) The director shall makes rules, in accordance with Title 63G, Chapter 3, Utah Administrative Rulemaking Act, to govern the procedures and proceedings for appeals made to the director as described in this part. 63A-12-203(6) The director shall, to the extent practicable and until the rules described in Subsection (5) are in effect, utilize the rules made by the former State Records Committee before January 1, 2025, with the director acting in place of the former State Records Committee. 63A-12-203(7) Any case or other matter that was, before appointment of the first director, pending before the former State Records Committee, is transferred to the director for resolution upon the director’s appointment, to be resolved as soon as reasonably possible.

63A-12-204 - Government records ombudsman.

63A-12-204(1) The government records ombudsman, appointed under Section 63A-12-202, shall:be familiar with the provisions of Title 63G, Chapter 2, Government Records Access and Management Act;serve as a resource for a person who is making or responding to a records request or filing an appeal relating to a records request; andupon a request from a requester or responder, and with the consent of both the requester and responder, mediate a dispute between a requester and responder, including a dispute between a requester and a governmental entity regarding the governmental entity’s access denial, as defined in Section 63G-2-400.5.Before the conclusion of a mediation under Subsection (1)(a)(iii), a requester or responder may withdraw consent for the mediation.If a requester or responder withdraws consent under Subsection (1)(b)(i), the government records ombudsman shall, in accordance with Subsection (3)(a)(ii), certify that the mediation was not concluded because of a lack of the required consent. 63A-12-204(2) The government records ombudsman may not testify, or be compelled to testify, regarding a matter for which the government records ombudsman provides services under this section:in an appeals proceeding described in Title 63G, Chapter 2, Part 4, Appeals; orbefore an administrative body or a court. 63A-12-204(3) Upon the conclusion of a mediation described in Subsection (1)(a)(iii), or upon the government records ombudsman’s determination that the required consent for the mediation is lacking, the government records ombudsman shall:certify in writing that the mediation:is concluded; ordid not take place or was not concluded because of a lack of the required consent; andprovide a copy of the written certification to the requester and the responder.

63A-12-205 - Independent performance survey and evaluation.

63A-12-205(1) Beginning in 2027 and every two years thereafter, the Division of Human Resource Management shall conduct a survey to collect feedback regarding the director’s job performance.The Division of Human Resource Management shall include as survey respondents a sample of each of the following groups:individuals who have appeared before the director;staff who have worked with the director; andany other class of respondents the Division of Human Resource Management determines helpful.A survey response is anonymous, including any comment included with a survey response.If the Division of Human Resource Management provides any survey information to the director, the division shall provide the information in a manner that protects the survey respondent’s confidentiality. 63A-12-205(2) In a survey under this section, the Division of Human Resource Management:shall include questions relating to whether the director’s behavior furthers the elements of procedural fairness, including neutrality, careful deliberation, respectful treatment of parties, and providing parties the opportunity to be heard; andmay include questions concerning the director’s legal ability, temperament and integrity, and administrative performance. 63A-12-205(3) The Division of Human Resource Management may allow survey respondents to indicate responses:on a numerical scale from one to five; orin the affirmative or negative, with an option to indicate the respondent’s inability to respond in the affirmative or negative.To supplement a response to a survey question, the Division of Human Resource Management may allow a respondent to provide written comments. 63A-12-205(4) Each year in which the Division of Human Resource Management completes a survey under this section, the Division of Human Resource Management shall prepare an evaluation of the director’s job performance that includes:the results of the most recent survey conducted in accordance with this section; andany other information the Division of Human Resource Management considers relevant to evaluating the director’s performance.The Division of Human Resource Management shall provide a copy of the director’s performance evaluation to the governor.Each year in which the Division of Human Resource Management completes a survey and evaluation under this section, the governor or the governor’s designee shall report to the Government Operations Interim Committee on the director’s performance.