Policies
and Procedures for Responding
to Open Records Requests
Adopted January 2000
When the legislature amended the Georgia
Open Records Act, it brought about significant consequences for the University
of West Georgia as well as all state- supported colleges and universities.
In the amended Act, nearly all records held by UWG are accessible to any
citizen who requests them. In order to comply with the law and to continue
our efforts in providing reliable and useful information to our community,
it is the intention of the administration to make these records available,
when appropriate, in a non-adversarial, open manner.
The Department
of Institutional Research and Planning is responsible for administering
the University's compliance with the Open Records Act. However, this law
also places important responsibilities on all University administrators
or staff members to ensure that they understand the policies and procedures
associated with compliance and to help eliminate unnecessary barriers
between the people and the records to which the law entitles them access.
The procedures outlined in this document are offered as an aid in determining,
in a timely manner, whether the records exist, whether they fall under
the law, and how to make them quickly accessible to the requestor.
Procedures
for handling Open Records Requests
Any University
employee receiving a request for records held under his/her individual
or departmental responsibility should immediately notify the Custodian
of Records. If, for some reason, the Custodian is unavailable, the Assistant
to the President should be notified. According to the Act, UWG only has
three business days to respond to the request.
Tara Pearson
Records Manager - IR Analyst II
Institutional Research and Planning
Sanford Hall
Office Phone: 678-839-6449
Office Fax: 678-839-4765
e-mail: tpearson@westga.edu
Dr. Gus Douvanis
Assistant to the President
Educational Leadership and Professional Studies
Education Annex
Office Phone: 678-839-6125
Office Fax: 678-839-6097
e-mail: gdouvani@westga.edu
- While a request does not necessarily have to be in writing, the requestor may submit a formal, written request if they so desire. The individual or department receiving the request may ask for the request to be in writing for documentation purposes, but the requestor does not have to comply. It is mandatory, however, that the individual or department receiving the request, create written documentation if the request is not in written form.
- The written request or the created documentation (if a written request is unavailable) should be dated and the time received noted immediately upon receiving the request. Then, the person receiving the request must contact either the Custodian of Records or the Assistant to the President.
- The Custodian of Records will contact the requestor directly to determine what information is desired, and which records will provide that information. The Custodian will then contact the administrator/s responsible for that information to determine whether the records exist, how voluminous they might be, and how much time might be required to search and assemble them. The Custodian and the administrator/s will also determine the most economical way of retrieval for both the requestor and the institution as defined by law.
- If the answer is a simple one and the records minimal, the University will try to respond immediately and completely on the first day. In more complicated requests, and within three business days of the original request as required by law, the requestor will be notified in writing of the following:
-
The existence of records
-
The cost of searching, assembling and copying (to be paid in advance)
-
The expected and approximate date of completion
-
The requestor is then asked whether the University should proceed with the request. If the answer is affirmative, the department will be notified to assemble the records and provide them to the Department of Institutional Research and Planning within the expected date of completion.
- When a request is made directly to the administrator/s holding the records in question, he/she may complete the request if it is considered to be routine. Routine requests are those that are made on a regular basis by a single requestor, the same type of records requested by different individuals, or both. If an administrator fulfills a routine request, a copy of the request must be given to and approved by the Custodian of Records before Action is taken, and all documentation concerning the request should be sent to the Custodian after the request has been completed. Due to the nature and redundancy of certain requests, individuals may secure from the Custodian of Records a pre-approval waiver.
- If the information requested is protected under the Open Records Act, the Custodian of Records will contact the requestor in writing, citing the portion of the Act which gives the University the legal grounds for denying the request.
Answers that
are provided to the following questions are only intended for educational
purposes and should not be used without seeking advice from the Custodian
of Records and/or the Assistant to the President.
What
is the Georgia Open Records Act?
It is a state
law requiring that public records are open and available for inspection
by any member of the public.
What
is a public record?
Public records
include virtually all records of state agencies, including documents,
maps, photographs, videotapes, handwritten notes, and computer data, including
e-mail. Any record is considered public if created or held by a state
agency, held by a private person working for a state agency, or created
by a state agency but held in a location away from it.
Does
the Open Records Act apply to the University of West Georgia?
Yes. Because the University and all State-supported colleges and universities are public agencies, they are subject to the Act.
What is the purpose of the Open Records Act?
The purpose is not only to encourage public access to certain information, but to maintain the public's confidence in government by discouraging secrecy and closed records. The Act allows the public to evaluate the functioning of its public institutions.
What obligation does the Open Records Act place on West Georgia?
The University must provide access to existing public records in its custody or under its control, including those the University created and those it has received in the course of its operation. We are not required to create a record which does not exist at the time of the request. While the Act states that we may not be required to compile requested information into a single document (i.e. additional analysis, programming, data manipulation or formatting), the Georgia Attorney General advises that the University make every reasonable attempt to comply with these types of requests.
Are there records which may be exempted from disclosure under the Open Records Act?
There are exemptions, but they are limited and have been interpreted very narrowly by the courts. The law presumes all records are open and places the burden on the University to demonstrate that any requested materials are exempt. If a public record contains both exempt and non-exempt material, the exempt portion must be removed and the remaining non-exempt material disclosed. The exemptions most relevant to UWG are:
- Medical records and other materials involving matters of personal privacy
- Records relating to pending investigations
- Records required by the federal government to be kept confidential, such as Social Security Numbers of staff, faculty, and students, as well as student educational records
- Trade secrets and certain information of a proprietary nature
- Certain research data, records, or information that has not been published, patented, or otherwise publicly disseminated
- Confidential evaluations submitted to a public agency in connection with the hiring of a public employee
Are there records which may be exempted from disclosure under the Open Records Act?
There are exemptions, but they are limited and have been interpreted very narrowly by the courts. The law presumes all records are open and places the burden on the University to demonstrate that any requested materials are exempt. If a public record contains both exempt and non-exempt material, the exempt portion must be removed and the remaining non-exempt material disclosed. The exemptions most relevant to UWG are:
- Medical records and other materials involving matters of personal privacy
- Records relating to pending investigations
- Records required by the federal government to be kept confidential, such as Social Security Numbers of staff, faculty, and students, as well as student educational records
- Trade secrets and certain information of a proprietary nature
- Certain research data, records, or information that has not been published, patented, or otherwise publicly disseminated
- Confidential evaluations submitted to a public agency in connection with the hiring of a public employee
Are student records subject to disclosure under the Open Records Act?
Yes, some are. Under the Act, student directory information is considered open. Student directory information was defined in the Family Equal Rights and Privacy Act and include:
- Name
- Address
- Telephone Number
- E-mail
Address
(Effective October 2005, Email Addresses are not included in Student Directory information) - Date and Place of Birth
- Dates of Attendance
- Major Fields of Study
- Participation in officially recognized activities and sports
- Weight and height of athletic team members
- Full-or part-time status
- Class schedule
- Photograph
- Social Security Number
- Grade Point Average
- Disability status
- Medical records or similar files
Are student evaluations of academic courses subject to disclosure under the Open Records Act?
Yes. Since 1988, it has been the opinion of the state Attorney General that such documents are open.
Are personnel files subject to disclosure under the Open Records Act?
Yes. However, any exempt material in personnel files, such as Social Security numbers, medical information, or information relating to the designation of beneficiaries, may be excluded.
Are performance evaluations subject to disclosure under the Open Records Act?
Yes. There is no exemption for performance evaluations.
Are e-mail messages I send and receive subject to disclosure under the Open Records Act?
Yes. Any e-mail sent or received on University-owned equipment, no matter where it is housed, or through private equipment housed on UWG property, no matter whether it is business-related, is subject to disclosure.
As a University employee, what is my responsibility to preserve public records?
Although other federal and state laws require the University to maintain certain records for a period of years, no particular records are required to be maintained by the Georgia Open Records Act until they have been requested. Once actual records that are kept by the University are the subject of a request, these records may not be erased, shredded, or otherwise disposed of under penalty of law.
Must the University notify employees named in records being disclosed?
While there is no such requirement in the law, the University will do its best to notify employees whose performance evaluations or personnel files are being released under an Open Records request.
What if I have a question about whether the records requested from me fall under the law?
Whenever you receive a request, you should immediately contact the Custodian of Records and/or the Assistant to the President. These two individuals will evaluate the request for applicability under the law and determine the appropriate response.
Can the University charge requestors for the cost of copies and staff time used in the search?
The law allows a copying fee not to exceed 25 cents per page and a charge for staff time used in the search, based on the pay rate of the lowest-paid employee qualified to search and assemble the records in question after the first fifteen minutes of employee time expended.
All revenue collected for copying and other expenses should be placed into the budget of the department(s) doing the work.
How critical is the time element in complying with the Open Records Act?
It is very critical that any unit receiving a request for records immediately notify the Custodian of Records and/or the Assistant to the President. The three-day clock for the University to comply under the law starts when an individual or department receives the request, not when it is relayed to the Custodian of Records and/or the Assistant to the President. It is the responsibility of department chairs to ensure there is no delay in this notification to these two individuals who are responsible for compliance under University policy. Failure to comply with a request or failure to comply within the three-day period can be considered a misdemeanor offense and the individuals who do not comply could be arrested and fined up to $100.