Records Quarterly
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Contents
- Hybrid Record Environments
- Retention Requirements for Patient Medical Records
- Disposing of Electronic Records
- Program News
- Training Opportunities
- Records in the News
- Leg & Reg
- University Archives News
- About Records Quarterly
- UC Records Management
Hybrid Record Environments
Tips for working with both paper and electronic records
In today’s office we deal with a mix of both paper and electronic documents. While most offices are trying to migrate towards a paperless environment, the reality is that in the foreseeable future we will continue to operate in this hybrid setting.
In order to develop a workable system for hybrid records, you will need to determine what files you have and how they are stored; standardize formats and retention rules; develop a tracking system to link disparate records; and document the system. You will also want to analyze your systems and workflow and identify where records exist within those systems. Finally, document all of your decisions and procedures.
Determine What You Have
Before beginning any records project you need to know what records you have and in what format and systems the records are kept. This is done by performing a complete inventory of your paper and electronic systems, just like we do when creating a records retention schedule.
This is also a great exercise for identifying and eliminating unnecessary duplication in your systems. Determine where the record material really exists. Copies proliferate in our world and it is possible to have both electronic and paper copies of the same document existing in your systems. Printing electronic records should only be done when necessary, not just for convenience or filing purposes. Paper printed for review purposes should be securely disposed of after the review is complete. Workflow processes can be developed that virtually eliminate the need for paper copies.
Standardize Formats and Create a File Plan
A key to tackling your hybrid record environment is to make the decision of which records will be kept electronically and which will be kept as paper and to stick to it. Using your inventory, determine which records are to be maintained in electronic format and which need to be stored as paper and create plans that state this. A best practice is to go with the native format for electronic records. This practice ensures records authenticity, accuracy, and integrity. If a record was created electronically, keep it electronically only, in its original format, in one place. Likewise, a paper record may need to be kept in paper, especially if it includes original signatures. But during this process you may find that it is best to convert native paper records to electronic. Many considerations go into making this determination—not only storage issues. You need to look at retention requirements, access and retrieval needs, volume, and legal issues. See the Winter 2009 Records Quarterly for an article about imaging projects.
Document the plan and incorporate your record format decisions in any procedures that include creation, distribution, review, editing, approval, or maintenance of records. Include in your plan where the records are kept—including systems, servers, directories, file cabinets or offices.
Manage Hybrid “Files”
When a “file” is made up of both paper and electronic records held in disparate systems there is a need to develop ways to connect the wayward documents in order to create a complete picture of the file.
Let’s define what I mean by a “file” before moving on, because the term has different meanings in the paper and electronic worlds. A file is a group of documents, regardless of format, related by subject, activity, or transaction, often handled as a single unit. For example, a student’s admission file may include transcripts, an admissions application, interview logs, a personal statement, and test scores for a single student. But the application may be stored online in a database system, the transcripts and test scores in paper files, and the interview logs and personal statement as text documents on a network server. How do you know where all of the pieces necessary to bring that “single unit” together?
Tracking systems are the key to putting your electronic and paper records together to create a file. Without a tracking system you will be uncertain whether a file has both paper and electronic components, and if it does, where you will be able to find each. Tracking systems can be documented within the files themselves, in separate plans, or using a combination of both. Either way, tracking needs to be part of the workflow.
Start by looking at the files that contain both electronic and paper records and documenting what records make up the file, what format they are in, and where they are stored. This analysis can serve as your master plan for creating a complete file.
You may also need to cross-reference documents within the records systems so that users of the files will know that there is more information available. In paper files this can be a print of a directory structure or electronic inventory from another system. However, make sure that you are not printing the actual documents and filing them in paper folders if your plan states that the records should be maintained electronically. That just defeats the purpose. You can also place barcodes on paper folders that link to an electronic system using a portable reader. Within electronic folders or systems, you can create a file that does much the same thing as a printed copy in a paper folder. A text or pdf file pointing to available paper records can be part of your electronic file keeping system.
Keep in mind that such plans will be highly customized, thus these instructions are necessarily broad. For help with developing your own system, you can contact Records Management for assistance.
Retention Requirements for Patient Medical Records
As a major research university and a provider of health education, the University of Cincinnati generates many types of health related records. In some cases, those records are directly related to patient care. In the State of Ohio, ORC 3701.74 (A)(8) defines “Medical record” as “data in any form that pertains to a patient’s medical history, diagnosis, prognosis, or medical condition and that is generated and maintained by a health care provider in the process of the patient’s health care treatment.” Special care needs to be considered when determining retention requirements for these records to protect patient information, ensure compliance, and provide the best possible care to patients.
Deciding how long to keep patient medical records maintained by health care providers involves researching both legal requirements and accepted patient care practices within the medical specialty. Just like you would with any type of records series, you will begin determining your retention requirements for patient records by setting a minimum period based upon applicable law then, if necessary, adjusting it upward considering your administrative and, in this case, patient care needs.
Legal Retention
Legal requirements for medical records retention come from varied sources:
- Conditions required to participate in or receive funds from state and federal health programs
- Statutes of limitations for filling medical malpractice and insurance claims
- Laws related to state and federal health acts
- Policies of state-level professional regulatory boards
- Statutes regarding patient rights
Some key legal statutes that need to be considered when determining how long to keep your patient medical records include:
ORC 2305.113 Medical malpractice actions
- A claim must be commenced within one year after the cause of action occurred. If the patient could not have reasonably discovered the injury within three years after the cause, but does discover the injury within the next year, a claim can be filed up to a year after discovery.
- If action on a claim does not commence after four years after the cause, the claim is barred
- Providers under Ohio Job and Family Services medical assistance program must keep records for six years
OAC 3701-83-11 General medical records requirements
- A licensed Ohio Health Care Facility must maintain records for six years after discharge
OAC 3701-84-11 General medical records requirements
- An Ohio Provider of Health Service must retain records for five years after discharge
- (B)(6)(b) A psychologist must keep the general record or a summary of each data entry in the professional record for at least twelve years after the last date of service rendered.
- Actions on a claim must commence within six years from date claim was presented, payment was made or incident occurred.
Health Insurance Portability and Accountability Act (HIPAA)
- Covered entities must retain records for six years from the date of creation or last action, whichever is longer
Centers for Medicare & Medicaid Services
- A managed care provider must keep records for 10 years
- Providers submitting cost reports must keep records for five years
Ohio state medical boards that you will need to research based on your specialty are: The Ohio Board of Nursing, The Ohio State Dental Board, Ohio State Chiropractic Board, Ohio Medical Board, State Board of Orthotics, Prosthetics, & Pedorthics, Ohio State Board of Optometry, and the Ohio State Board of Pharmacy.
Considering these statutes, a retention period of seven years from the last date of service meets the legal requirements that need to be considered when keeping patient medical records in Ohio UNLESS you are a managed care provider under Medicare or are providing mental health services. If the Medicare requirements apply to you then you will need to keep the records for 10 years. Mental health providers may need to keep records for 12 years.
You will also want to consider that under Ohio Revised Code 2305.16 minors can take legal action upon reaching the age of 18, and that includes medical malpractice and insurance claims. If you have minor patients, you will want to keep those records until the patient reaches the age of 18 plus the additional retention period that applies to you.
Administrative and Patient Care Needs
Quality patient care depends on a medical provider’s ability to have all of the relevant information about the patient’s medical history available for decision making. That being said, certain cases may require retention periods longer than those determined by legal needs.
If you do decide to retain medical records longer than the legal requirement, you will want to consider the impact that decision will have on the security of the information. When it comes to security of medical records it is in the best interest of both the patient and the provider to retain information only as long as it is necessary. As you keep information around for longer periods of time, more volume will accumulate, and more controls will need to be put into place to ensure that data is secure and accessible.
Conclusion
Medical records retention periods need to be based on the right combination of legal considerations, patient care needs, and security issues. Some specialties will have different requirements that need to be taken into account. Determining the right mix will require research into the legal nature of the services performed by the health provider and proper application of those findings
Disposing of Electronic Records
When you hit “delete” is it really gone?
The answer to the question posed above is, well, “no!” It is a question that I am asked quite often and I felt that this would be a good place to explain what actually does happen when you hit the delete key and what that means when it comes to records disposition.
Here is the technical version. Each computer file is stored in one or more physical areas on the computer’s hard drive and has a pointer directing the file system where to find it. When you delete a file, the pointer to the file is removed and those areas where it physically exists are marked for reuse. However, the information needed to reconstruct the file still exists. Eventually those areas can be overwritten when new files are saved, but until that time, there are ways to retrieve the old file using computer forensics.
Popular operating systems add another layer of deletion issues with Windows’ Recycle Bin and Apple’s Trash. Have you looked in there lately? Once you have deleted the file from your own organized file structure, it gets stored in this file purgatory. So, you need to be diligent about cleaning these folders out. But even when you delete it from there, it still exists; it is just not as easily accessible to the everyday computer user.
So what does this mean for records disposition? In the normal scope of records disposition and compliance, this isn’t necessarily bad, but you will need to think about your risks and determine the best route for your department to take.
Proving Compliance with Retention Schedules
Records management compliance is all about following policies and procedures. You put a procedure in place, train users how to work within the procedure, and put controls in place to make sure that it is being done properly. When these steps are put into place, it provides a legally defensible way of conducting business if questioned in a court. (Unless, of course the procedure itself has questionable legal validity.) So the key to compliance is saying we are going to do something a certain way and actually doing it that way. As applied to the disposition of electronic records, we have established that the simple deletion of records is an acceptable way to dispose of records of a non-sensitive nature.
Public Records Requests and Discovery Issues
The risk that we have when taking this position is that it leaves open the possibility of legal discovery of those documents that have been disposed of according to our policies. But Ohio courts have stated that if an organization disposes of electronic records according to retention schedules, they are not required to retrieve those records in response to a public records request or a discovery order using costly forensic methods.
In State ex rel. Toledo Blade Co. v. Seneca Cty. Bd. of Commrs the court emphasized “that in cases in which public records, including e-mails, are properly disposed of in accordance with a duly adopted records-retention policy, there is no entitlement to those records under the Public Records Act.” and “to be entitled to the recovery of deleted e-mails, the Blade must make a prima facie showing that the e-mails were deleted in violation of the county’s records-retention-and-disposition policy.” Unfortunately for the Seneca County Board of Commissioners, in this case they were not able to prove otherwise and they were compelled to recover deleted emails at their own effort and expense.
As this case demonstrates, it is vitally important that we have documentation of compliance with our disposition policies—that is our Certificate of Disposal. It is not enough to point to retention schedules and say the records were disposed of—we do need to prove it.
Secure Disposition
Another thing we need to consider is the security of deleted files. The information that still exists after deletion needs to be treated with the same care that was applied to the records during their lifetime. Secure systems go a long way to ensuring that deleted information remains out of reach.
We have a legal obligation to securely dispose of certain types of protected information at the end of their retention period. See the Summer 2011 Records Quarterly article “Protected Information” to understand what types of records need this secure disposal.
HIPAA, for example, requires covered entities to “implement reasonable safeguards to limit
incidental, and avoid prohibited, uses and disclosures of PHI, including in connection with the disposal
of such information.” For electronic PHI, the U.S. Department of Health and Human Services suggests “clearing (using software or hardware products to overwrite media with non-sensitive data), purging (degaussing or exposing the media to a strong magnetic field in order to disrupt the recorded magnetic domains), or destroying the media (disintegration, pulverization, melting, incinerating, or shredding).” (see their paper titled “Frequently Asked Questions About the Disposal of Protected Health Information.”)
Software is available that will completely remove information from a hard drive at the time of deletion. UC’s Information Security department is currently researching these products for use by UC offices. Refer to UC’s Asset Management Policy for information on how to securely dispose of electronic hardware and media.
Conclusion
So we have learned that simple deletion of a file does not immediately get rid of the file. But we can still remain compliant with our records retention schedules by disposing of electronic records in this manner as long as we stick to our documented policies and procedures. What needs to be considered are the risks connected to discovery and security of information. Special cases may need special attention. In those instances, contact Information Security and Records Management for help with your disposition procedures.
Program News
Schedule Development
New Schedules:
- CEAS Human Resources
Updated Schedules:
- IACUC
- A&S Philosophy
Draft Schedules
- UC Libraries RPT Committee
- Internal Medicine
- CEAS Library
Records Transfers
The following University records have been transferred to the University Archives:
Resident Education and Development
Accession No. UA-11-08, 2 boxes
Correspondence, meeting minutes and reports, 2001-2007
College of Law, 1963 Marx Law Library Cornerstone Time Capsule records
Accession No. UA-11-10, 1 box
The contents of the University of Cincinnati, College of Law's 1963 time capsule, including programs for and lectures from Robert S. Marx’s seminars, opinions on cases, and biographical sketches, College of Law class offerings and programs from the Law School's anniversary and cornerstone ceremonies. 1835-1963 (bulk dates 1933-1954)
Office of the Provost
Accession No. UA-11-11, 8 boxes
Information on university budgets, student enrollment, financial and audit reports, administration and business summaries, individual college and department reports, and distance learning, 1980-2007
College of Evening and Continuing Education
Accession No. UA-11-14, 1 box
Advertising, promotional material, publications and reports, 1992-2004
College of Education, Criminal Justice, and Human Services; Early Childhood Education Distance Learning Courses
Accession No. UA-11-15, 1 box
Electronic course material on CD
UC Darwin Sesquicentennial Celebration
Accession No. UA-11-17, 1 box
Records of the University of Cincinnati's Darwin Sesquicentennial Celebration including the files of the planning/coordinating committee, bios of lecturers, notes and books related to lectures, event flyers, posters, programs, and articles written about or related to the Darwin 2009 Sesquicentennial. 2006-2009
Ohio Electronic Records Committee Releases Tips Sheets
The Ohio Electronic Records Committee (OhioERC) offered several trial runs of presentations before taking them to the public last year. One of the major pieces of feedback received during the presentations was that users wanted some kind of short reference version of our guidance documents. In response, the OhioERC has prepared four tip sheets for distribution to Ohio agencies. They include Private vs. Public Media Tools, Imaging, Who Should be at the Table? (in records management decision making), and Social Media Use. The tip sheets are available on the OhioERC website.
Power Failures, Earthquakes, Hurricanes, and Your Records
- On August 16, UC experienced a power failure that brought down servers and limited access to data, business systems and email, in some cases for days.
- On August 23 the tri-state experienced tremors from a ~5.9 magnitude earthquake centered in Virginia.
- The same week that the earthquake hit, Hurricane Irene was threatening the East Coast, leaving behind massive flooding and destruction.
All of these events happening in quick succession brought to the forefront in my mind the critical need for having a vital records and recovery plan in place. Pre-planning for disasters such as these can reduce the amount of time that you are without the records you need to do your job and ensures continuity in business. For information about how to develop a vital records plan, see the tip sheet available on the records management website and the article on vital records in the Winter 2008 Records Quarterly. If you need assistance with developing a plan, please contact records management.
Standard Recycling Not a Secure Means of Records Destruction
Bins are located in many places around campus, reminding us to help the environment by recycling our waste paper. But please remember that placing paper in these bins is not a secure way of disposing of university records, especially those containing sensitive or protected information. Shredding is the preferred way to ensure secure destruction. If you need shredding services, please contact UCit’s Information Security department.
Training Opportunities
Workshops
The next campus-wide Introduction to Records Management workshops will be held in the Spring.
These workshops can also be brought to your department. To set up your own presentation, contact Janice. If you have interest in a more advanced records topic, please let us know and we may be able to design a workshop for you.
Introduction to Records Management
During this workshop we will discuss the benefits you will receive from efficiently managing your records, UC’s records program, your 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, 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.
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.
State of Ohio and Local
Public can’t view investigative reports on RTA rail accidents, under little-known state law
Cleveland.com—August 15, 2011
More than a year after an electrical mishap sent RTA riders scrambling out of a smoke-filled train car, the transit agency has yet to release reports on the accident's cause and steps taken to ensure it won't happen again. The reports are complete -- but the public can't see them.
Cadillac Ranch temporarily closed; IRS on scene combing through documents
wcpo.com—August 17, 2011
The Cadillac Ranch in Downtown Cincinnati is temporarily closed Wednesday as Internal Revenue Service agents comb through documents at the restaurant and bar. The IRS is there doing what appears to be an audit.
Councilman Young, coalition, want YMCA to open books
Cincinnati Business Courier, August 18, 2011
Cincinnati City Councilman Wendell Young wants the YMCA of Greater Cincinnati to make its financial records available to the public.
Ohio officer faces charges of making false records
Toledo Blade, August 28, 2011
A state wildlife officer from southwest Ohio has been indicted by a federal grand jury in Cincinnati on four counts of trafficking in and making false records for illegally harvested white-tailed deer in violation of federal law.
Court rules against hiking Ohio driver records fee
Fox19, August 31, 2011
An Ohio appeals court has ruled against a move to increase the state's fee for obtaining a person's driving records.
Hamilton County, Ohio, e-fillings
Hamilton County Law Library Blog, August 31, 2011
The Court of Common Pleas and Clerk of Courts Office of Hamilton County, Ohio are announcing their going to be requiring all civil suits—more than 11,000 last year -- to be filed electronically beginning in January 2012. Eventually, criminal cases will be filed that way too.
Fairfield businessman pleads in election case
Cincinnati.com, September 7, 2011
A Fairfield businessman has pleaded guilty to attempted tampering with a campaign finance report and a Fairfield school board member has resigned in a case that Butler County prosecutor’s officials say is connected.
Tea Party seeks to review tax petition records
Cincinnati.com, September 7, 2011
The Northern Kentucky Tea Party wants its own expert to review records related to a petition drive to repeal the tax that funds the Northern Kentucky Area Planning Commission.
Ex-Fire Chief Indicted On Felonies
Fire Fighting News, September 8, 2011
The former Mount Vernon fire chief is accused of tampering with emergency-medical-service training records to receive nearly $5,200 in extra wages over 2 1/2 years.
State auditor gives Franklin Township 90 days to sort out finances
Mansfield News Journal, September 8, 2011
The State Auditor said legal action is pending for Franklin Township if its financial records aren't fixed in the next 90 days.
Storage of data, vote machines labeled unsafe
Toledo Blade, September 9, 2011
Elections records are being held in unsafe and scattered conditions and should be consolidated in a single climate-controlled facility, said Jon Stainbrook, a new member of the Lucas County Board of Elections.
Kentucky Attorney General says company's records open
wave3.com, September 24, 2011
The Kentucky Attorney General's Office says the records of a private company in eastern Kentucky are subject to the state's open records laws because two public agencies supply at least 25 percent of the funds it expends in the state.
Missing Records Lead to Findings for Recovery in Williams County Audit
Ohio Auditor of State, September 29, 2011
Missing records from the Hillside Country Living facility led to $7,524 in findings for recovery issued in the Williams County audit released today by Auditor of State Dave Yost.
Higher Education
Local/Regional
U of L doctors’ group drops effort to keep records private
Courier Journal, August 23, 2011
An organization representing doctors at the University of Louisville School of Medicine decided Tuesday to drop a lawsuit that sought to keep its financial records private
Man admits trying to extort Xavier
Cincinnati.com, September 7, 2011
Recently released from prison, Miller Beckham III was looking for some cash. He thought he'd hit the jackpot when he found a cache of documents that detailed medical and other personal information of several Xavier University athletes. Beckham told XU officials he'd gladly return the documents - for $20,000.
ACLU, newspaper, ask KY AG to declare [Louisville] University Hospital public
Health Leaders Media, September 9, 2011
ACLU of Kentucky and The Courier-Journal have asked Conway to review recent refusals by University Medical Center Inc., which does business as University Hospital, to provide documents they sought under the Kentucky Open Records Act.
See also ACLU, C-J ask Conway to declare University Hospital public, Courier-Journal, September 9, 2011
Court orders OSU to submit unredacted documents in ESPN lawsuit
The Lantern, September 22, 2011
On Wednesday, the Supreme Court of Ohio ordered Ohio State to submit under seal unredacted documents that ESPN Inc. previously requested.
See also Ohio State ordered to give records to court, Columbus Dispatch, September 22, 2011
National
Purdue warns former students about data breach
Chicago Tribune—August 17, 2011
Purdue University is warning more than 7,000 former students that their Social Security numbers may have been accessed last year during a computer breach.
UVa. turns over FOIA-requested climate-change papers to critics
The Washington Times, August 25, 2011
A conservative group seeking documents related to former University of Virginia professor Michael Mann has received records from the school Thursday in the wake of a judge’s order but remained mum as to what information they contained.
U of I[daho] calls student's complaint, former professor's record confidential
NWCN.com, August 25, 2011
The family of a University of Idaho student allegedly killed by a former assistant professor wants more information from the school about a complaint their daughter filed against the man.
Professor turns to law to protect climate-change work
The Washington Times, September 6, 2011
A former University of Virginia professor who has drawn the ire of climate change skeptics is entering the legal fray over a conservative group’s pursuit of his emails and documents related to his work.
Brown signs bill requiring university disclosure
Mercury News, September 7, 2011
Gov. Jerry Brown has signed a bill requiring more transparency from the fundraising arms of California's public colleges in response to a legal dispute over a speaking contract with Sarah Palin, the governor's office announced Wednesday.
NU students not protected by journalist shield law, must turn over emails in murder case
Daily Northwestern, September 7, 2011
More than 500 emails between former head of the Medill Innocence Project, David Protess, and students working with him to free a man convicted of murder are to be released to prosecutors, a Cook County judge ruled Wednesday, according to The Chicago Tribune.
[California] Disclosure laws to apply to SSU foundation
Press Democrat, September 7, 2011
The public will have access to internal records of Sonoma State University's Academic Foundation starting Jan. 1 under a bill signed into law Wednesday.
Records of patients at Stanford University Hospital posted online
GantDaily.com, September 9, 2011
The records of thousands of patients at Stanford University Hospital in California were inadvertently posted on a commercial website, revealing personal information such as diagnosis codes and hospital account numbers.
See also Patient Data Posted Online in Major Breach of Privacy, New York Times, September 8, 2011
University of Florida sued over public records
Florida Wires, September 21, 2011
The Sierra Club is suing the University of Florida, seeking public records on urban fertilizer regulations.
Leg & Reg
Legislative and Regulatory Affairs Affecting Records and Information Management
Federal
Senate passes bill that would improve Freedom of Information Processing
Known as the “Faster FOIA Act,” this bill would establish the Commission on Freedom of Information Processing Delays, designed study response time and procedures when government agencies process FOIA requests and develop plans for improvement. The bill passed the senate by unanimous decision on August 1, 2011 and sent to the House.
Note: FOIA applies to federal government entities alone. UC is not required to release information pursuant to a FOIA request. However, knowing your FOIA rights is important to every US citizen.
Two data security bills introduced in Senate
The Data Security Act of 2011 (S. 1434) would protect information relating to consumers, to require notice of security breaches, and for other purposes. The Data Security and Breech Notification Act of 2011 (S. 1207) would protect consumers by requiring reasonable security policies and procedures to protect data containing personal information, and to provide for nationwide notice in the event of a security breach.
State of Ohio
House and Senate Bills
New Bills
Introduced September 20, 2011. The bill would make concealed carry license records confidential, even to journalists who now have rights of review. It has been assigned to the Criminal Justice Committee.
Introduced September 12, 2011. The bill would make elementary-level achievement assessments of Ohio school districts public records. It has been assigned to the Education Committee.
Introduced September 15, 2011. The bill would shorten the statue of limitations on bringing action upon a contract in writing from 15 to six years. It has been assigned to the Judiciary Civil Justice Committee.
Introduced on September 20, 2011. The bill would exempt video footage of the killing of a police officer taken by law enforcement from release under Public Records Laws.
Other Bills We’re Watching:
How to track Ohio Legislation:
The Ohio Legislative Service Commission maintains a status log of bills and resolutions that is updated weekly during voting session periods. Details about House and Senate bills can be found through a search available on the General Assembly’s website.
Public Records Cases
State v. Wilson, 2011-Ohio-4195
The Montgomery County Court of Appeals ruled that an application for clemency is not a “justiciable claim” for the purpose of Ohio Revised Code 149.43 (B)(8).While the court agreed that legally the ruling of the common pleas court was correct, they also urged the General Assembly to consider an exception to 149.43 (B)(3) to allow those seeking clemency to obtain the required documentation.
Decided August 19, 2011
State ex rel. Bensman v. Lucas Cty. Bd. of Elections, 2011-Ohio-4132
The Lucas County Court of Appeals ruled that the requester was not entitled to attorney fees as she did not show the reasonableness and necessity of the fees incurred as required by the court.
Decided August 16, 2011
Ohio Trucking Assn. v. Stickrath, 2011-Ohio-4361
The Ohio Court of Appeals, Tenth Appellate District, ruled that a 2009 amendment to R.C. 4509.05, increasing the state's fee for obtaining a person's driving records violates Section 5a, Article XII, of the Ohio Constitution, which restricts the use of “fees, excises, or license taxes relating to registration, operation, or use of vehicles”
Decided August 30, 2011
State ex rel. Cincinnati Enquirer v. Streicher, 2011-Ohio-4498
The Hamilton County Court of Appeals decided that records concerning shots fired between Cincinnati police and the Iron Horsemen Motorcycle Club were not eligible for release under Ohio’s public records laws.
Decided September 9, 2011
State ex rel. Chatfield v. Distelzweig, 2011-Ohio-4596
The Ohio Court of Appeals, Tenth Appellate District upheld a magistrate’s decision that the Columbus Police Department was not obligated to release records sought with a public records request, as the records did not exist in the department’s custody.
Decided September 13, 2011
State ex rel. Striker v. Frary, Slip Opinion No. 2011-Ohio-4705
The Supreme Court of Ohio ruled that a clerk has no obligation to turn over records not in his/her possession.
Decided September 21, 2011
State ex rel. Davila v. Bellefontaine, 2011-Ohio-4890
The Logan County Court of Appeals ruled that a public records request for 15 years worth of police tapes was both overly broad and unreasonable, making it an “attempted request” and not subject to relief via public records laws.
Decided September 26, 2011
State ex rel. Bell v. Brooks, Slip Opinion No. 2011-Ohio-4897
The Supreme Court of Ohio ruled that County Risk Sharing Authority Inc. (CORSA), a non-profit association through which a majority of Ohio’s counties self-insure themselves, is not “the functional equivalent of a public office,” and is therefore not required to comply with a citizen’s demand for copies of its board meeting minutes under the state public records act.
Decided September 28, 2011
Discovery Cases
Hart v. Alamo Rent A Car, 2011-Ohio-4099
The Cuyahoga County Court of Appeals ruled that a non-party’s social security number is discoverable when used to locate the person as a potential witness and with a confidentiality agreement incorporated with the request.
Decided August 18, 2011
Record Authenticity/Admissibility Cases
Bzdafka v. Bretz, 2011-Ohio-3982
The Cuyahoga County Court of Appeals ruled that the trial court erred in overruling counsel’s objections questioning the authenticity of medical records and allowing them to be presented as evidence. The appeals court decided that the records did not meet authenticity requirements of Rules of Evidence 901.
Decided August 11, 2011
State v. Tyler, 2011-Ohio-3937
The Ross County Court of Appeals ruled that the trial court abused its discretion by admitting recorded telephone conversations under the hearsay exception for business records set forth in Rules of Evidence 803(6). While the defendant’s counsel objected to the admission, the trial court overruled the objection and found that the state set forth sufficient foundational evidence to qualify the recording under the business records hearsay exception.
Decided August 9, 2011
State ex rel. Julnes v. S. Euclid City Council, Slip Opinion No. 2011-Ohio-4485
The Supreme Court of Ohio decided that filing a certified copy of an ordinance with the council clerk complies with the requirement that in absence of a city auditor, a copy shall be filed with the official who performs the duties of a city auditor and that a certified copy of an ordinance is an “exact copy” of the ordinance, satisfying the attestation requirement of R.C. 731.32
Decided September 7, 2011
An Enterprise University Plan for Ohio
On August 10, 2011, the Ohio Board of Regents released An Enterprise University Plan for Ohio, outlining its proposal for relieving Ohio universities from state mandates, allowing them more flexibility in managing finances and operations.
Only two mandate reliefs stand out as directly affecting records management. Both are in the first phase of the plan and would apply to all universities.
- Allow universities to mandate electronic paycheck deposit for all employee
- Review antiquated statutes requiring the preparation of numerous reports to the State of Ohio to review if they are still needed
As the plan proceeds, I will examine it to determine any effects it may have on our records management policies and procedures.
The report can be found on the Board of Regents website.
University Archives News
Gifts to the University Archives
Eleanor M. Allen Papers, 1916-2003
Accession No. UA-11-12
Eleanor Allen, originally from Linneas, Missouri, was a student at the Cincinnati College of Music in the 1930s. She was also a staff singer at WLW Radio in Cincinnati and a record producer at the Victor Record Division of RCA in New York City. In the 1950s, Allen returned to the College-Conservatory of Music, working as an administrator, Dean of Women, and Director of the Preparatory Department. She was a member of the Alumni Board of Governors and the Mu Phi Epsilon Professional Music Sorority. After retirement from CCM in 1980, Allen worked as an assistant to David McLain, Cincinnati Ballet's artistic director, for four years. She died in 2003 at the age of 93. Her papers contain articles, photographs, correspondence, programs, and even Eleanor's own poems, which illustrate her life and work. There is also information about both CCM and the Cincinnati Ballet from the 1940s - 1980s.
UC Athletics Publications, 1951-2002
Accession No. UA-11-16
This collection consists of publications of the University of Cincinnati's athletic department including media guides for baseball, men and women's basketball, football, and volleyball; programs for basketball and soccer; photo booklets; and scorecards.
Follow the Archives & Rare Books Library’s Blog
Did you know that the ARB staff maintains a blog? We regularly write about our collections, special projects and events, exhibits, University and Cincinnati history, and even records management. Our blog is part of the larger UC libraries blog and you can subscribe to it via an RSS feed or access it on the UC Libraries website.
Add the University Archives to your Publication Mailing Lists
The University Archives collects two copies of each publication produced by University departments. A records series is include on retention schedules for departments that produce publications to send these copies upon disposition. The easiest way for you to comply with these disposition requirements is to add the University Archives to your mailing
list. Paper copies can be sent to “University Archives, ML 113” and electronic copies can be emailed to Archvies@uc.edu. Alternatively, some departments keep a box in which they place two copies of each publication. After a certain period of time the box is then sent to the Archives.
City of Cincinnati Birth and Death Records, 1865-1908 Now Online
The Archives & Rare Books Library has loaded nearly our entire collection of Cincinnati birth and death records on the UC Libraries Digital Collections website. Records for the surnames SCHONER-SCHROEDER and TUCKER-UNDERHAUSER remain to be loaded.
About Records Quarterly
Records Quarterly is the newsletter of University of Cincinnati Records Management and is distributed electronically via the Records Management website. Subscribers to the Records Management Listserv will receive notification of new issues automatically. If you are not a member of the listserv and you would like to receive these notifications, please email Janice Schulz at Janice.Schulz@uc.edu with your name and email address and you will be included on a separate distribution list.
All content is written by Janice Schulz unless indicated. Permission to use any content must be obtained by contacting UC Records Management via the methods above. Contributions to Records Quarterly can be made by emailing content to Janice.Schulz@uc.edu.
URLs included in this issue were current at the time of publication.
Records Management Program
The University of Cincinnati Records Management Program is administered by the University Archives in compliance with UC Rule 10-43-10.
Janice M. Schulz, CRM
University Records Manager and Archives Specialist
Office Location: 806 Blegen Library
Mail Location: 113
Email: Janice.Schulz@uc.edu
Phone: 556-1958
Fax: 556-2113
Website: http://www.libraries.uc.edu/libraries/arb/records_management/
Mailing Address: Archives & Rare Books Library,
University of Cincinnati, P.O. Box 210113, Cincinnati, OH 45221-0113