Records Update, May 2010
Contents
- Website Updates
- Training Opportunities
- UCit Offers Hosting Services for SharePoint 2007
- Information Security Resources
- Leg & Reg
- Records in the News
Website Updates
The page UC Policies and Procedures Governing Records, which includes records related policies and procedures issued by departments across the university, has been reorganized and updated. Links have been categorized by topic to make locating specific information more effective and some new items have been added. If you know of any links that should be included on this page, please email Janice.
An index of major articles appearing in past issues of Records Quarterly has been added.
A new Request for One-Time Disposal form has been loaded and is available in both PDF and MS Word formats. This form should be used by university-wide committees when no one departmental retention schedule covers the records, and by departments when disposing of non-recurring records that do not appear on their schedule. Completion instructions are included on the form.
Training Opportunities
Three workshops are available to UC departments. Contact Records Management to schedule a workshop at your location. Regularly scheduled sessions will be offered in the fall. Exact dates and registration information will be released closer to the session dates.
Introduction to Records Management
During this workshop we will discuss what benefits you will receive from managing your records, UC’s records program and role as a keeper of public records, the definition of a "record," how to perform records inventories, the development of records retention schedules and proper means of records disposal.
Electronic Records
During this workshop we will discuss the unique characteristics of electronic records that require attention, retention of electronic records, recordkeeping systems, special considerations for websites, databases, and business applications, and disposal of electronic records including transfer to the University Archives.
Managing Email
During this workshop we will discuss how to determine if an email message is a university record, retention of email, the characteristics of UC's email system, managing the inbox, and storage methods.
What training opportunities would you like to see offered?
UCit Offers Hosting Services for SharePoint 2007
In the Spring 2010 UCit Now newsletter, UCit announced the availability of hosted services for SharePoint 2007. As discussed in the Spring 2010 edition of Records Quarterly, SharePoint is a collaboration tool that allows teams to share information and resources. For details about the services provided by UCit see the newsletter article at http://www.uc.edu/ucit/ucitnow/volume_36/Spring_10/SharePoint2007.html.
Information Security Resources
The May 14 InfoSec Security Update can be found at http://www.uc.edu/infosec. Click on the link for Information Security Update.
InfoSec has released a new document on email safety. Email Safety: Bypassing Automatic Hyperlink Rendering instructs Mac and Windows users how to properly send emails that include URL’s, using Entourage, MAC Mail and Outlook 2007 email clients.
Leg & Reg
Legislative and Regulatory Affairs Affecting Records and Information Management
Federal
U.S. Department of Education Proposes Rule Changes to FERPA
The U.S. Education Department is proposing rule changes to the Family Educational Rights and Privacy Act (FERPA) that might encourage educational institutions to more fully participate in statewide longitudinal data systems. Such systems analyze individual student data, tracked from pre-kindergarten through to the workplace, to assess educational programs and reforms as well as teacher effectiveness. While individual student data is stored and tracked, identifiable information on the student is not; rather student records are identified using a unique number. Since 2005 the Education Department's Institute of Education Sciences has been offering grants to states to develop these systems. President Obama has been a keen supporter of statewide longitudinal data systems and the American Reinvestment and Recovery Act of 2009 (ARRA) provided $250 million in grant money to states for development of their systems. However, despite federal support and statewide encouragement, educational institutions have been hesitant to supply data on their students for fear of non-compliance with FERPA. The proposed rule changes seek to clarify FERPA requirements regarding privacy of student academic information as it applies to such systems. A draft of the proposed rule changes should be available this summer.
- For more on statewide longitudinal data systems see http://www2.ed.gov/programs/slds/factsheet.html.
- See also Ohio’s most recent State Longitudinal Data Systems Grant Application, which includes project narratives.
Employee Misclassification Protection Act
The Employee Misclassification Protection Act (S.3254) was introduced in the Senate on April 22, 2010, "To amend the Fair Labor Standards Act of 1938 to require persons to keep records of non-employees who perform labor or services for remuneration and to provide a special penalty for persons who misclassify employees as non-employees, and for other purposes." The Act was referred to the Committee on Health, Education, Labor, and Pensions. Related bill H.R.5107 is in the House.
Faster FOIA Act of 2010
On May 6, 2010 the Faster FOIA Act was referred to the House Committee on Oversight and Government Reform. The Act was introduced on March 15. See the Spring 2010 Records Quarterly for more information.
http://thomas.loc.gov/cgi-bin/bdquery/z?d111:S3111:
Federal Gudiance on Social Media
The Office of Management and Budget has issued a memorandum on the use of social media by federal agencies and its relation to the Paperwork Reduction Act.
http://www.whitehouse.gov/omb/assets/inforeg/SocialMediaGuidance_04072010.pdf
K&L|Gates, April 22, 2010
In the summer of 2008, the Ninth Circuit held that a city employee had a reasonable expectation of privacy as to personal text-messages sent from his city-issued and city-owned text-messaging pager (‘pager”). The city has appealed the court’s findings to the United States Supreme Court and oral arguments were heard on Monday, April 19th. An opinion is expected in June, 2010.
State of Ohio
Rhodes v. New Philadelphia, 2010-Ohio-1730
The Court of Appeals, Fifth Appellate District, reversed the judgement of the Court of Common Pleas of Tuscarawas County and remanded this public records case back to the lower court for further proceedings. In 2009 a jury denied Timothy Rhodes's complaint that he was entitled to relief per R.C. 149.351(B) after the City of New Philadelphia destroyed public records. The appeals court looked at whether the trial court erred in determining if Rhodes was an aggrieved party and at how the number of records destroyed should be calculated to determine possible civil penalties.
The appeals court found that "an aggrieved party is any member of the public who makes a lawful public records request and is denied those records." Rhodes was denied tape recordings of New Philadelphia Police Department call activity from 1975-1995 due to the fact that tapes used to make recordings were routinely reused every 30 days and that the system was not in operation for a majority of the time. By definition, then, Rhodes can be considered an aggrieved party.
Rhodes claimed that the City is responsible for 4,968 missing records during the time that the system was in operation (daily recordings between 1989-1995 plus backups). The appeals court ruled that since the language in Rhodes's request specified the actual tapes rather than individual days' recordings, the number of records in question is actually 84 (12 tapes per year times seven years). The appeals court also ruled that backup tapes do not constitute separate records for the purposes of determining the number of public records destroyed per R.C. 149.351(B), but rather such a determination "would be similar to stating that a carbon copy of an original document is the same as an original or in modern day parlance, a computer back-up is a separate record from the actual computer file."
At question when this case returns to the lower court may be whether the City of Philadelphia destroyed these records properly "as provided by law or under the rules adopted by the records commissions provided for under sections 149.38 to 149.42 of the Revised Code..." as stated in R.C. 149.351(A). According to an article in the Dover-New Philadelphia Times Recorder, Rhodes's original suit claimed that the city did not appoint a citizen to the records commission, the records commission did not meet and was inactive and that the city did not report the destruction of the tapes to the Ohio Historical Society or Auditor. (see Court tosses decision in records suit, TimesRecorder.com, 15 Apr 2010, accessed 18 May 2010) If these claims are true, there is indeed evidence that the City unlawfully destroyed these records and could be liable for a fine of $84,000, $1000 per record destroyed as stated in 149.351(B)(2).
- See the decision at http://www.supremecourt.ohio.gov/rod/docs/pdf/5/2010/2010-ohio-1730.pdf.
State ex rel. Mun. Constr. Equip. Operators' Labor Council v. Cleveland, 2010-Ohio-2108
In this public records case the Court of Appeals of Ohio, Eighth Appellate District, County of Cuyahoga, denied a writ of mandamus filed by Municipal Construction Equipment Operator's Labor Council ordering the City of Cleveland to satisfy a public records request, but did award attorney and copy fees. The writ was deemed moot as the records request has already been satisfied, but the court found that attorney and copy fees were appropriate as Cleveland failed to respond and produce the records in a reasonable amount of time.
- See the decision at http://www.supremecourt.ohio.gov/rod/docs/pdf/8/2010/2010-ohio-2108.pdf.
Ohio takes a lead on issue of referendum petitions as pubic records
On April 28, 2010, the U.S. Supreme Court heard arguments concerning the State of Washington's designation of referendum petitions as public records. A referendum petition is used by citizens to get a proposal (referendum) placed before voters in the form of a ballot issue. Such proposals can include amendments to the state constitution or existing legislation and the passage of new legislation. In order for the referendum to be placed before voters, drafters of a petition must secure signatures from a certain percentage of the voting population.
Ohio Attorney General Richard Cordray issued a brief to the U.S. Court of Appeals for the Ninth District on behalf of Ohio and 22 other states in support of the State of Washington's position. Cordray's brief cites three state interests in making referendum petitions public: "preventing election fraud, preserving public confidence in the integrity of elections, and promoting open government."
In the Washington case, the petitioner Protect Marriage Washington claims that making the names of petition signers public opens them up to harassment and intimidation and that petitioners, like individual voters, cannot be compared to elected legislators who must carry out their business in public.
- See the Supreme Court docket at http://www.supremecourt.gov/Search.aspx?FileName=/docketfiles/09-559.htm.
- See the argument transcript at http://www.supremecourt.gov/oral_arguments/argument_transcripts/09-559.pdf.
Ohio opinion on access to attorney's notes
The Supreme Court of Ohio's Board of Commissioners on Grievances & Discipline issued an advisory opinion (Op. 2010-2) about whether an attorney's notes must be turned over to a client when requested.
Records in the News
The links to stories provided here were active at the time of publication. News links tend to expire quickly due to Associated Press regulations. Apologies for any dead links.
Ohio, Regional & Local News
Boardman man charged with fraud, tampering with records
The Youngstown Vindicator, April 8, 2010
A Market Street man is charged with tampering with records and identity fraud, accused of using a fake Social Security card to try to get license plates.
Hospitals lead push to put patients' record online
Dayton Daily News, April 12, 2010
The Greater Dayton Area Hospital Association is one of seven successful bidders statewide that will serve as regional extension centers, helping local doctors, clinics and public health departments adopt electronic health records, GDAHA said Monday, April 12.
Erie County starts work to put court records online
Sandusky Register (subscription required for full article), April 12, 2010
With 77,000 residents, Erie County is the second most populated county where court records are not online -- surpassed only by Miami County, with 101,000 residents.
Cincinnati police busting scrap dealers
Cincinnati.com, April 19, 2010
They arrested the 49-year-old man on six charges of failing to keep records. "These owners have been repeatedly told there are rules they have to obey," said Sgt. Jason Voelkerding. "They can't act as a conduit for stolen material."
Parents Can't Get Records From Imprisoned Doctor's Office
WKRC, April 20, 2010
Many parents preparing to take their children to kindergarten this fall are finding they need health records they can't get. The problem is that their doctor is in prison.
Taylor Declares Village of Johnstown “Unauditable”
Ohio Auditor of State website, April 21, 2010
Auditor of State Mary Taylor today declared the village of Johnstown “unauditable” for calendar year 2009. An unauditable designation means that records and documents necessary to conduct a routine financial audit are missing, incomplete or inaccurate.
Regional effort helps digitize medical data
Akron Beacon Journal, April 25, 2010
The Ohio Health Information Partnership (OHIP) is a nonprofit group designated by Gov. Ted Strickland to implement health information technology across the state. OHIP is helping primary-care doctors switch to electronic medical record systems that will meet federal requirements.
American Civil Liberties Union of Ohio sues Cuyahoga County over transition records
Cuyahoga County Insider via Cleveland.com, April 27, 2010
The Ohio chapter of the American Civil Liberties Unionfiled a lawsuit Tuesday accusing Cuyahoga County leaders of refusing to turn over public documents related to the county's switch to charter government.
Kentucky Parents Win Records Access
Education Week News, April 27, 2010
Parents have an “absolute right” to inspect all educational records relating to their children, including e-mails exchanged between teachers and administrators, the Kentucky attorney general’s office has concluded.
OSHA Fines Lowe's Stores For Records Violations
WKRC.com, April 28, 2010
The U.S. Department of Labor's Occupational Safety and Health Administration has cited Lowe's Home Centers Inc. in Cincinnati with $40,000 in proposed penalties for continually failing to document and report employee injuries and illnesses.
See also Lowe's Home Centers Fined $110K for 'Continual' Recordkeeping Violations - Occupational Health Safety, May 5, 2010
Auditor candidates dispute records request
Springfield News Sun, April 29, 2010
fight over who will serve as the Republican candidate for Champaign County auditor will be decided next week, but a legal fight between the candidates over a records request may just be getting started. .
Lexington man indicted in the case of the missing marriage licenses
Herald-Leader, April 29, 2010
A Lexington man was indicted by a Fayette County grand jury this week on four counts of tampering with public records. William Bush Jr., 51, is accused of removing 149 marriage licenses from the Fayette County clerk's office.
Surrogates Criticize Kasich Over Records
WYTV, April 30, 2010
This week, incumbent Ted Strickland released his income tax records, something Republican challenger John Kasich has not yet done. Now, Democratic surrogates are criticizing Kasich, claiming he doesn't want to expose his background working for the investment firm Lehman Brothers.
Thousands of Kentucky Medical Records Lost
Internetnews.com, May 5, 2010
Officials at Our Lady Peace, a 278-bed psychiatric hospital in Louisville, Ky., are racing to notify more than 24,000 patients that a flash drive containing some of their most personal and important information has been missing for more than a month.
Ky. AG: Whitley sheriff violates open records law
Lexington Herald-Leader, May 5, 2010
The Kentucky attorney general's office has ruled that the Whitley County sheriff violated the state's open records law.
Verbatim: Allen County [Indiana] adopts formal public records policy
Fort Wayne Journal Gazette, May 6, 2010
The Allen County Board of Commissioners today approved a formal policy for its departments designed to promote full access to the County’s public records.
Ex-official's conviction record stays
Columbus Dispatch, May 8, 2010
A judge yesterday denied a former Delaware County commissioner's request to remove court records of his ethics conviction for misusing his county-issued cell phone.
[Kentucky] A-G Finds Louisville Agency in Violation of Open Records Laws
WFPL News, Louisville, May 10, 2010
The Kentucky Consumer Advocate Network in Louisville recently violated state Open Records laws. At least that’s the opinion of the state attorney general’s office.
Ky. wants to widen electronic racehorse records
Lexington Herald-Leader, May 11, 2010
Kentucky racing officials say it's time to modernize - and nationalize - the system for determining who owns a racehorse.
The Public's Right to Public Records: Part 1
WYTV, Youngstown, May 11, 2010
Public records are designed to help keep the public informed on how their tax dollars are being spent.
The Public's Right to Public Records Part 2
WYTV, Youngstown, May 11, 2010
Kent State University journalism professor Karl Idsvoog said his knowledge of the public records came in handy when his daughter was having difficulty at school.
Higher Education News
Ohio/Local
Case Western Reserve University medical school leads electronic records initiative
Cleveland.com, April 14, 2010
Case Western Reserve University School of Medicineannounced Tuesday that it will lead a nearly $8 million initiative to promote the use of electronic medical records among nearly 1,795 Northeast Ohio providers, especially family physicians.
A-G Rules on NKU Open Records Challenge
WFPL News, April 19, 2010
Northern Kentucky University has partially prevailed in an Open Records challenge from a reporter with the school’s student newspaper.
Battle over open records: NKU Legal Affairs threatens The Northerner with litigation
The Northerner (NKU student newspaper), April 20, 2010
Northern Kentucky University has threatened The Northerner with litigation in response to a recent decision by the Kentucky Attorney General relating to an open records request.
Columbus State provost ousted, records reveal
Columbus Dispatch, April 24, 2010
A week before the No. 2 official at Columbus State Community College resigned, President Valeriana Moeller told trustees in an e-mail that she was forcing the woman out because of harassment complaints. That "confidential" e-mail and other Columbus State documents, obtained by The Dispatch after months of public-records requests, cast a different light on the departure of Provost Judith Scherer, which came after she had been on the job less than six months.
HR document shows resolved grievances
TheJambar (YSU student newspaper), April 29, 2010
Although the Association of Classified Employees at Youngstown State University claims the university has been negligent in resolving grievances in a timely fashion, university officials say only a few disputes remain. All 162 timeline grievances filed by ACE since October 2008 have been resolved according to documents provided by Carol O'Brian, administrative assistant in the Human Resources department.
New light shed on Kent State killings
The Washington Times, May 4, 2010
Previously undisclosed FBI documents suggest that the Kent State antiwar protests were more meticulously planned than originally thought and that one or more gunshots may have been fired at embattled Ohio National Guardsmen before their killings of four students and woundings of at least nine others on that searing day in May 1970.
See also Cleveland: New investigation into Kent State shootings demanded, WKYC-TV, May 11, 2010
Lawyers want 3 separate trials
Youngstown Vindicator, May 11, 2010
Defense attorneys in the case against three men accused of falsification, theft and other charges in the alleged falsification of records at Youngstown State University want their clients tried separately.
Nationwide
California State University, Stanislaus Students present documents sparking AG investigation
The Signal (CSU Stanislaus), April 14, 2010
Two University students have sparked an investigation by the California Attorney General into the CSU Stanislaus Foundation's financials - all it took was a little dumpster diving.
Trashed document not Palin pact, college says
San Francisco Chronicle, April 15, 2010
Paperwork lifted from a Dumpster by students at California State University, Stanislaus was not part of Sarah Palin's speaking contract, but an earlier version of the agreement, campus President Hamid Shirvani said Wednesday.
The Olympian (Olympic College student newspaper), April 18, 2010
A file containing sensitive student information was found by an Olympic College student unsecured on the OC intranet recently, but according to the Information Technology Department the problem has been fixed.
Missing Student Records From Chattanooga State
News Channel 9, Chattanooga, April 22, 2010
Nearly two thousand students records from Chattanooga State are missing. Administrators there tell us the company hired to scan the documents, mishandled them.
UCLA Researcher Gets Jail for Snooping into Celebrity Medical Records
KTLA-TV, Los Angeles, April 27, 2010
A former UCLA School of Medicine researcher was sentenced to four months in federal prison for illegally snooping into the confidential private records of celebrities, high-profile patients and co-workers.
AAUP Newsroom, May 7, 2010
The American Association of University Professors and the ACLU of Virginia have asked the University of Virginia to fight demands from Virginia Attorney General Ken Cuccinelli for documents related to the research of a global warming expert once employed by the school.
Live-PR, May 10, 2010
The Connecticut Laborers’ District Council announced today that its efforts to review contractor and employee payroll records relating to the development and construction of the West Classroom Building on the University of Connecticut (UConn) main campus were purposely delayed for over six weeks.
U. of Virginia President Meets With Governor to Push for Access to Law-Enforcement Records
The Chronicle of Higher Education, May 12, 2010
How information from state law-enforcement agencies can make college campuses safer dominated the discussion at a meeting on Tuesday between John T. Casteen III, president of the University of Virginia, and the state's governor, Robert F. McDonnell.
Prosecutors: Coralville workers accessed Obama’s student loan records
Des Moines Register, May 12, 2010
Nine employees at an eastern Iowa education contractor accessed President Barack Obama’s student loan records in violation of federal law, prosecutors announced Wednesday.
Investigation of theft of receipts at Pitt ongoing
Pittsburgh Tribune-Review, May 12, 2010
Two months after discovering the theft of 8,000 sales records from the Student Health Center, University of Pittsburgh officials have not determined whether any students encountered credit problems as a result, a spokesman said Tuesday.