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4.2 ERMUSR 03-13-2018 Elk River Municipal Utilities UTILITIES COMMISSION MEETING TO: FROM: ERMU Commission Michelle Canterbury—Executive Administrative Assistant MEETING DATE: AGENDA ITEM NUMBER: March 13, 2018 4.2 SUBJECT: Data Practices Policy ACTION REQUESTED: Adopt, by motion, a resolution appointing General Manager Troy Adams as the Responsible Authority, and Executive Administrative Assistant Michelle Canterbury as the Data Practices Compliance Official. BACKGROUND: On October 10, 2017,the Commission adopted Governance Policy G.4p External Communications. The policy addressed the protection of information that has been designated as confidential, except in those situations where the release of such information has been explicitly authorized by the Commission or required by law or regulation, including the Minnesota Data Practices Act(Minnesota Statutes, Chapterl3). The policy also delegated responsibility to the General Manager to adopt appropriate management policies and procedures to ensure that ERMU management and staff is fully aware of their individual responsibilities and limitations with respect to information management and external communications. The management policies were to include a data practices policy. DISCUSSION: Staff worked with legal counsel to create a management Data Practices Policy which states that ERMU complies with the Minnesota Government Data Practices Act, and has established policies and procedures to ensure requests for government data are received and compiled with an appropriate and prompt manner. In an effort to process data requests, and meet the State Statute requirements, two data access policies/guides have been developed: one for members of the public requesting information; and the other for data subjects requesting information about themselves. These guides will be updated on an annual basis, and at any other time necessary to reflect changes in personnel,procedures, or other circumstances that impact the public's ability to access the data. The guides will also be made available to the public via ERMU's website. Attached are the policies for reference. As part of the Data Practices Policy, ERMU is required by State Statute to appoint an employee as the Responsible Authority to administer the requirements of government data within the utility, and a Data Practices Compliance Official whom persons may direct questions or concerns regarding problems in obtaining access to data or other data practices problems. Staff recommends the appointment of General Manager Troy Adams as the Responsible Authority, and Executive Administrative Assistant Michelle Canterbury as the Data Practices Compliance Official. Page 1 of 2 160 FINANCIAL IMPACT: None ATTACHMENTS: • Resolution No. 18-5—Appointing the Responsible Authority and the Data Practices Compliance Official • ERMU Management Policy—A.25—Data Practices Policy—For Reference Only • ERMU Management Policy—A.25a—Guide for Members of the Public Requesting Information—For Reference Only • ERMU Management Policy—A.25b—Guide for Data Subjects Requesting Information—For Reference Only • ERMU Commission Policy—G.4p—External Communications-For Reference Only Page 2 of 2 161 RESOLUTION NO. 18-5 BOARD OF COMMISSIONERS ELK RIVER MUNICIPAL UTILITIES A RESOLUTION OF THE BOARD OF COMMISSIONERS OF ELK RIVER MUNICIPAL UTILITIES APPOINTING THE RESPONSIBLE AUTHORITY AND THE DATA PRACTICES COMPLIANCE OFFICIAL. WHEREAS,Minnesota Statutes, Section 13.02, Subdivision 16, requires that Elk River Municipal Utilities appoint an employee as the Responsible Authority to administer the requirements for government data within the utility; and WHEREAS,Minnesota Statutes, Section 13.05, Subdivision 13, requires that ERMU appoint an employee as the Data Practices Compliance Official to whom persons may direct questions or concerns regarding problems in obtaining access to data or other data practices problems, and WHEREAS,the Utilities Commission shares the concern expressed by the Legislature on the responsible use of all utility data and wishes to satisfy this concern by immediately appointing an administratively qualified Responsible Authority and Data Practices Compliance Official as required under the statute, NOW,THEREFORE,BE IT RESOLVED by the Board of Commissioners of Elk River Municipal Utilities to appoint General Manager Troy Adams as the Responsible Authority, and Executive Administrative Assistant Michelle Canterbury as the Data Practices Compliance Official for the purposes of meeting all requirements of Minnesota Statutes, Chapter 13 and Minnesota Rules, Chapter 1205. This Resolution Passed and Adopted this 13th day of March, 2018. John J. Dietz, Chair Troy Adams, P.E., General Manager 196596v1 162 Elk River Municipal Utilities MANAGEMENT POLICY Section: Category: Management Administration Policies Policy Reference: Policy Title: A.25 Data Practices Policy POLICY: It is the policy of Elk River Municipal Utilities (ERMU)to comply with the Minnesota Government Data Practices Act(Minnesota Statutes, Chapter 13),which regulates all government data collected, created, received,maintained, disseminated, or stored by all government entities, regardless of its physical form, storage, media, or conditions of use. ERMU also complies with Minnesota Rules, Chapter 1205. Pursuant to Minnesota Statutes, Sections 13.025, Government Entity Obligation, and 13.03, Access to Government Data, ERMU has established policies and procedures to ensure requests for government data are received and complied with in an appropriate and prompt manner. POLICY HISTORY: Established March 13, 2018 Page 1 of 1 163 Elk River Municipal Utilities DATA PRACTICES POLICY A.25a - Guide for Members of the Public Requesting Information This document is required by Minnesota Statutes, section 13.025, subdivision 2. Right to Access Public Data The Data Practices Act (Minnesota Statutes, Chapter 13) presumes that all government data are public unless a state or federal law says the data are not public. Government data is a term that means all recorded information a government entity has,including paper, email, CD-ROMs,photographs, etc. The Data Practices Act also provides that Elk River Municipal Utilities must keep all government data in a way that makes it easy for you,as a member of the public, to access public data.You have the right to look at (inspect), free of charge, all public data that we keep.You also have the right to get copies of public data.The Data Practices Act allows us to charge for copies.You have the right to look at data, free of charge,before deciding to request copies. How to Make a Data Request To look at data or request copies of data that Elk River Municipal Utilities keeps,make a written request. Make your written request for data to the appropriate individual listed in the Data Practices Contacts document on page 4.You may make your written request for data by fax,mail, email, or in person,using the data request form on page 6. If you choose not to use the data request form,your written request should include: • that you,as a member of the public,are making a request for data under the Data Practices Act,Minnesota Statutes, Chapter 13; • whether you would like to look at the data,get copies of the data, or both;and • a clear description of the data you would like to inspect or have copied. Elk River Municipal Utilities cannot require you, as a member of the public, to identify yourself or explain the reason for your data request. However, depending on how you want us to process your request(if, for example,you want us to mail you copies of data),we may need some information about you. If you choose not to give us any identifying information,we will provide you with contact information so you may check on the status of your request. In addition,please keep in mind that if we do not understand your request and have no way to contact you,we will not be able to begin processing your request. How We Respond to a Data Request Upon receiving your written request,we will work to process it. • If we do not have the data,we will notify you in writing as soon as reasonably possible. • If we have the data,but the data are not public,we will notify you in writing as soon as reasonably possible and state which specific law says the data are not public. • If we have the data,and the data are public,we will respond to your request appropriately and promptly,within a reasonable amount of time by doing one of the following: • arrange a date, time, and place to inspect data, for free,if your request is to look at the data, or • provide you with copies of the data as soon as reasonably possible.You may 2 choose to pick up your copies, or we will mail or fax them to you. If you want us to send you the copies,you will need to provide us with an address or fax number. We will provide electronic copies (such as email or CD-ROM) upon request if we keep the data in electronic format. Information about copy charges is on page 5. We also will arrange for your to pre-pay for the copies. If you do not understand some of the data (technical terminology, abbreviations, or acronyms),please let us know.We will give you an explanation if you ask. The Data Practices Act does not require us to create or collect new data in response to a data request if we do not already have the data, or to provide data in a specific form or arrangement if we do not keep the data in that form or arrangement. (For example,if the data you request are on paper only,we are not required to create electronic documents to respond to your request.) If we agree to create data in response to your request,we will work with you on the details of your request,including cost and response time. In addition, the Data Practices Act does not require us to answer questions that are not requests for data. Requests for Summary Data Summary data are statistical records or reports that are prepared by removing all identifiers from private or confidential data on individuals. The preparation of summary data is not a means to gain access to private or confidential data. Elk River Municipal Utilities will prepare summary data if you make your request in writing and pre-pay for the cost of creating the data. Upon receiving your written request (you may use the data request form on page 6) we will respond within ten business days with the data or details of when the data will be ready and how much we will charge. 3 Data Practices Contacts Responsible Authority Troy Adams, General Manager 13069 Orono Parkway P.O. Box 430 Elk River,MN 55330 763.441.2020 Fax: 763.441.8099 Email: tadams@elkriverutilities.com Data Practices Compliance Official Michelle Canterbury,Executive Administrative Assistant 13069 Orono Parkway P.O. Box 430 Elk River,MN 55330 763.441.2020 Fax: 763.441.8099 Email: mcanterbury( elkriverutilities.com Data Practices Designees Administration and Finance Department—Theresa Slominski,Finance and Office Manager Electric Department—Mark Fuchs,Electric Superintendent Water Department—Eric Volk,Water Superintendent Technical Services Department—Mike Tietz,Technical Services Superintendent Conservation and Key Accounts—Tom Sagstetter, Conservation and Key Accounts Manager 4 Copy Costs — Members of the Public Elk River Municipal Utilities charges members of the public for copies of government data. These charges are authorized under Minnesota Statutes, section 13.03,subdivision 3(c). You must pay for the copies before we will give them to you. For 100 or Fewer Paper Copies— 25 Cents per Page 100 or fewer pages of black and white,letter or legal size paper copies cost 25¢ for a one-sided copy, or 50¢ for a two-sided copy. Most Other Types of Copies—Actual Cost The charge for most other types of copies,when a charge is not set by statute or rule,is the actual cost of searching for and retrieving the data and making the copies. In determining the actual cost of making paper or electronic copies,we factor in employee time, the cost of the materials onto which we are copying the data (paper, CD,DVD, etc.),and mailing costs (if any). If your request is for copies of data that we cannot reproduce ourselves, such as photographs,we will charge you the actual cost we must pay an outside vendor for the copies. The cost of employee time to search for data,retrieve data,and make copies is set annually in the Elk River Municipal Utilities Fee Schedule. If,because of the subject matter of your request,we find it necessary for a higher-paid employee to search for and retrieve the data,we will calculate the search and retrieval portion of the copy charge at the higher salary/wage. 5 INFORMATION DISCLOSURE REQUEST Elk Riv* Minnesota Government Data Practices Act Municipal Utilities A. COMPLETED BY REQUESTER REQUESTER NAME(LAST, FIRST,M): DATE OF REQUEST: STREET ADDRESS: PREFERRED METHOD OF CONTACT: ❑ PHONE ❑ MAIL ❑ EMAIL 0 FAX CITY,STATE,ZIP CODE: PHONE NUMBER: SIGNATURE: FAX NUMBER: EMAIL: Note:Elk River MunicipalUtilities cannot require you,as a member of the public,to identi)yourself or explain the reason foryour data request.However,depending on how you want us to process your request,we may need some information aboutyou.Please keep in mind that if we do not understandyour request and have no way to contactyou,we will not be able to begin processing your request. DESCRIPTION OF THE INFORMATION REQUESTED-please describe the data you are requesting as specifically as possible.If you need more space,please use the back of this form or attach additional sheets: B. COMPLETED BY DEPARTMENT DEPARTMENT NAME: HANDLED BY: INFORMATION CLASSIFIED AS: ACTION: ❑Public 0 Non-Public 0 Approved 0 Approved in Part(explain below) ❑Private 0 Protected Non-Public 0 Denied(explain—include statute) 0 Confidential REMARKS OR BASIS FOR DENIAL,INCLUDING STATE STATUTE: Note:According to MS ff 13.03,subd.3,authorities us to charge fees to recover costs to provide copies of data,including costs associated with searching,compiling,copying,mailing,or otherwise transmitting data.Prepayment is required prior to receiving copies of data.We do not charge for inspection of data or for separating not public data from public data. COPY CHARGES: IDENTITY VERIFIED FOR PRIVATE INFORMATION: ❑ None 0 Identification:Driver's License,State ID,Etc. O Pages x.25¢ per page(per side) =$ 0 Comparison with Signature on File ❑ Employee Time(only charge if over 100 pg) =$ 0 Personal Knowledge (15 min minimum) 0 Other: O Other Charges: =$ O Special Rate: (attach explanation) =$ Total Charges: $ AUTHORIZED SIGNATURE: DATE: 6 Elk River Municipal Utilities DATA PRACTICES POLICY A.25b - Guide for Data Subjects Requesting Information This document further discusses your rights when government entities collect and keep information about you. Minnesota Statutes,section 13.025,subdivision 3,requires us to have this document. I Data about You The Data Practices Act (Minnesota Statutes,Chapter 13) says that data subjects have certain rights related to a government entity collecting,creating,and keeping government data about them.You are the subject of data when you can be identified from the data. Government data is a term that means all recorded information a government entity has,including paper,email, CD-ROMs,photographs,etc. Classification of Data about You The Data Practices Act presumes that all government data are public unless a state or federal law says that the data are not public. Data about you are classified by state law as public, private,or confidential. See below for some examples. Public data:We must give public data to anyone who asks;it does not matter who is asking for the data or why.The following is an example of public data about you: Ifyou are an employee of a government entity, the fact thatyou work for the entity, andyourjob title and bargaining unit is public. Private data:We cannot give private data to the general public,but you have access when the data are about you.The following is an example of private data about you: Your Social Security number.We can share your private data with you,with someone who has your permission,with Elk River Municipal Utilities staff who need the data to do their work, and as permitted by law or court order. Confidential data: Confidential data have the most protection. Neither the public nor you can get access even when the confidential data are about you.The following is an example of confidential data about you: Ifyou register a complaint with a government entity concerning violations of state laws or local ordinances concerning the use of real property,your identity is confidential We can share confidential data about you with Elk River Municipal Utilities staff who need the data to do their work and to others as permitted by law or court order.We cannot give you access to confidential data. Your Rights under the Data Practices Act Elk River Municipal Utilities must keep all government data in a way that makes it easy for you to access data about you.Also,we can collect and keep only those data about you that we need for administering and managing programs that are permitted by law.As a data subject,you have the following rights: Your Access to Your Data:You have the right to look at (inspect),free of charge,public and private data that we keep about you.You also have the right to get copies of public and private data about you.The Data Practices Act allows us to charge for copies.You have the right to look at data, free of charge,before deciding to request copies. Also,if you ask,we will tell you whether we keep data about you and whether the data are public,private,or confidential. 2 As a parent,you have the right to look at and get copies of public and private data about your minor children (under the age of 18).As a legally appointed guardian,you have the right to look at and get copies of public and private data about an individual for whom you are appointed guardian. Minors have the right to ask Elk River Municipal Utilities not to give data about them to their parent or guardian. If you are a minor,we will tell you that you have this right.We may ask you to put your request in writing and to include the reasons that we should deny your parents access to the data.We will make the final decision about your request based on your best interests. Note: Minors do not have this right if the data in question are educational data maintained by an educational agency or institution. When We Collect Data from You:When we ask you to provide data about yourself that are not public,we must give you a notice.The notice is sometimes called a Tennessen warning. The notice controls what we do with the data that we collect from you. Usually,we can use and release the data only in the ways described in the notice. We will ask for your written permission if we need to use or release private data about you in a different way,or if you ask us to release the data to another person.This permission is called informed consent. If you want us to release data to another person,you may use the consent form we provide. Protecting your Data:The Data Practices Act requires us to protect your data .We have established appropriate safeguards to ensure that your data are safe. When your Data are Inaccurate and/or Incomplete:You have the right to challenge the accuracy and/or completeness of public and private data about you.You also have the right to appeal our decision. If you are a minor,your parent or guardian has the right to challenge data about you. How to Make a Request for Your Data To look at data,or request copies of data that Elk River Municipal Utilities keeps about you, your minor children,or an individual for whom you have been appointed legal guardian,make a written request. Make your request for data to the appropriate individual listed in the Data Practices Contacts document on page 5.You may make your written request by mail,fax,or email,using the data request form on page8. If you choose not to use the data request form,your written request should include: • that you are making a request,under the Data Practices Act(Minnesota Statutes, Chapter 13),as a data subject, for data about you; • whether you would like to inspect the data,have copies of the data,or both; • a clear description of the data you would like to inspect or have copied;and • identifying information that proves you are the data subject,or data subject's parent/ guardian. Elk River Municipal Utilities requires proof of your identity before we can respond to your request for data. If you are requesting data about your minor child,you must show proof that you are the minor's parent. If you are a guardian,you must show legal documentation of your guardianship. Please see the Standards for Verifying Identity document located on page 7. 3 How We Respond to a Data Request Once you make your written request,we will work to process your request. If it is not dear what data you are requesting;we will ask you for clarification. • If we do not have the data,we will notify you in writing within 10 business days. • If we have the data,but the data are confidential or private data that are not about you, we will notify you in writing within 10 business days and state which specific law says you cannot access the data. • If we have the data,and the data are public or private data about you,we will respond to your request within 10 business days,by doing one of the following: arrange a date,time,and place to inspect data, for free,if your request is to look at the data,or provide you with copies of the data within 10 business days.You may choose to pick up your copies,or we will mail or fax them to you.We will provide electronic copies (such as email or CD-ROM) upon request if we keep the data in electronic format. Information about copy charges is on page 6. We also will arrange for you to prepay for the copies. After we have provided you with access to data about you,we do not have to show you the data again for 6 months unless there is a dispute or we collect or create new data about you. If you do not understand some of the data (technical terminology,abbreviations,or acronyms),please let us know.We will give you an explanation if you ask. The Data Practices Act does not require us to create or collect new data in response to a data request if we do not already have the data,or to provide data in a specific form or arrangement if we do not keep the data in that form or arrangement. (For example,if the data you request are on paper only,we are not required to create electronic documents to respond to your request.) If we agree to create data in response to your request,we will work with you on the details of your request,including cost and response time. In addition,we are not required under the Data Practices Act to respond to questions that are not requests for data. 4 Data Practices Contacts Responsible Authority Troy Adams,General Manager 13069 Orono Parkway P.O. Box 430 Elk River,MN 55330 763.441.2020 Fax: 763.441.8099 Email: tadams@elkriverutilities.com Data Practices Compliance Official Michelle Canterbury,Executive Administrative Assistant 13069 Orono Parkway P.O. Box 430 Elk River,MN 55330 763.441.2020 Fax: 763.441.8099 Email: mcanterbury@elkriverutilities.com Data Practices Designee(s) Administration and Finance Department—Theresa Slominski,Finance and Office Manager Electric Department—Mark Fuchs,Electric Superintendent Water Department—Eric Volk,Water Superintendent Technical Services Department—Mike Tietz,Technical Services Superintendent Conservation and Key Accounts—Tom Sagstetter, Conservation and Key Accounts Manager 5 Copy Costs - Data Subjects Elk River Municipal Utilities charges data subjects for copies of government data. These charges are authorized under section 13.04,subdivision 3. You must pay for the copies before we will give them to you. Actual Cost of Making the Copies In determining the actual cost of making paper or electronic copies,we factor in employee time,the cost of the materials onto which we are copying the data (paper,CD,DVD,etc.), and mailing costs (if any). If your request is for copies of data that we cannot reproduce ourselves, such as photographs,we will charge you the actual cost we must pay an outside vendor for the copies.These costs are listed in the city's fee schedule. The cost of employee time to make copies is set annually in the Elk River Municipal Utilities Fee Schedule. Per MN Rules 1205.0300,subpart 4: May be included in actual costs May not be included in actual costs Employee time to make copies Employee time to search for and retrieve data for copying Costs of media (paper,CD's DVD's etc) Employee time to separate public from not public data Mailing costs Employee time to redact confidential data or private data about others Employee time to prepare copies (sort,label Costs not related to copying(preparing fax data,remove staples,paper clips,take data cover sheet,invoice,etc) to copier) Costs of reproduction that cannot be done Operating expenses of copier (electricity, by the entity(ex: photos) wear and tear,purchase,rental,etc) Obtaining and returning data to offsite storage Sort or review data if not necessary for copying Sales tax Verify accuracy of data Perform accounting functions Costs related to inspection 6 175 Standards for Verifying Identity The following constitute proof of identity: • An adult individual must provide a valid photo ID,such as• ▪ a state driver's license a military ID ▪ a passport ▪ a Minnesota ID • a Minnesota tribal ID • A minor individual must provide a valid photo ID,such as • a state driver's license ▪ a military ID ▪ a passport • a Minnesota ID a a Minnesota Tribal ID • a Minnesota school ID • The parent or guardian of a minor must provide a valid photo ID and either • a certified copy of the minor's birth certificate or a a certified copy of documents that establish the parent or guardian's relationship to the child,such as o a court order relating to divorce, separation,custody, foster care o a foster care contract o an affidavit of parentage • The legal guardian for an individual must provide a valid photo ID and a certified copy of appropriate documentation of formal or informal appointment as guardian,such as • court order(s) a valid power of attorney Note: Individuals who do not exercise their data practices rights in person must provide either notarized or certified copies of the documents that are required or an affidavit of ID. 7 E1kRiver INFORMATION DISCLOSURE REQUEST Municipal Utilities Minnesota Government Data Practices Act A. COMPLETED BY REQUESTER REQUESTER NAME(LAST, FIRST,M): DATE OF REQUEST: STREET ADDRESS: PREFERRED METHOD OF CONTACT: 0 PHONE 0 MAIL 0 EMAIL 0 FAX CITY,STATE,ZIP CODE: PHONE NUMBER: SIGNATURE: FAX NUMBER: EMAIL: Note:Elk REerMunicipal Utilities cannot require you,as a member of the public,to identii yourself or explain the reason feryour data request.However,depending on how you want us to process your request,we may need some information aboutyou.Please keep in mind that if we do not understandyour request and have no way to contact you,we will not be able to begin processingyour request. DESCRIPTION OF THE INFORMATION REQUESTED-please describe the data you are requesting as specifically as possible.If you need more space,please use the back of this form or attach additional sheets: B. COMPLETED BY DEPARTMENT DEPARTMENT NAME: HANDLED BY: INFORMATION CLASSIFIED AS: ACTION: 0 Public 0 Non-Public 0 Approved 0 Approved in Part(explain below) 0 Private 0 Protected Non-Public 0 Denied(explain—include statute) ❑Confidential REMARKS OR BASIS FOR DENIAL,INCLUDING STATE STATUTE: Note:According to MS ff 13.03,subd.3,autheries us to charge fees to recover costs to provide copies of data,including costs associated with searching,compiling,copying,mailing,or otherwise transmitting data.Prepayment is required prior to receiving copies of data. We do not charge for inspection of data or for separating not public data from public data. COPY CHARGES: IDENTITY VERIFIED FOR PRIVATE INFORMATION: ❑ None 0 Identification:Driver's License,State ID,Etc. ❑ Pages x.25¢ per page(per side) =$ 0 Comparison with Signature on File ❑ Employee Time(only charge if over 100 pg) =$ 0 Personal Knowledge (15 min minimum) 0 Other: ❑ Other Charges: =$ ❑ Special Rate: (attach explanation) =$ Total Charges: $ AUTHORIZED SIGNATURE: DATE: 8 Elk River Municipal UtilitiesCOMMISSION POLICY Section: Category: Governance Delegation to Mangement Policy Reference: Policy Title: G.4p External Communications PURPOSE: With this policy,the Commission sets forth its expectations for the General Manager concerning ERMU's external communications. POLICY: The Commission expects the General Manager,or an authorized designee of the General Manager,to be the point of contact for communications between ERMU and external interests including the news media, state or federal governmental and regulatory bodies, and the elected or appointed leaders of governmental jurisdictions in which ERMU operates. Such designation does not preclude the Commission Chair(or other Commission officer or member specifically designated by the Commission)from speaking on behalf of the Commission concerning matters of Commission policy or Commission action. The Commission expects all external communications to be reasonably consistent,timely, accurate,and clearly stated,with appropriate protection of any information that has been designated as confidential. Consistent with the above general statement,the General Manager shall: 1. Protect information that has been designated confidential,except in those situations where the release of such information has been explicitly authorized by the Commission or required by law or regulation,including the Minnesota Data Practices Act(Minnesota Statutes, Chapter 13). 2. Adopt appropriate management policies and procedures to ensure that ERMU management and staff are fully aware of their individual responsibilities and limitations with respect to information management and external communications. These policies will include a data practices policy; a records management policy; and a communications policy. Page 1 of 2 178 ERMU Commission Policy—G.4p External Communications Note: See Commission Member Role,Responsibilities, and Orientation; Commission Member Conduct; and Commission Officer Roles,Responsibilities and Succession for related policy provisions concerning external communications by Commission Members and Commission Officers. POLICY HISTORY: Adopted October 10, 2017 Page 2 of 2 179