Records Quarterly
|
 |
Contents
- Keeping Track of Ideas: How to manage intellectual property records
- InfoSec Shredding Event, 2010
- Hints for Going Paper-Less:
Haven’t achieved paperless? Then shoot for paper-less!
- Program News
- Training Opportunities
- Records in the News
- Leg & Reg
- University Archives News
- About Records Quarterly
- UC Records Management
Keeping Track of Ideas:
How to manage intellectual property records
As an institution of higher learning and a major research center, the University of Cincinnati is engaged in producing and offering a great deal of intangible assets, from course offerings to scientific inventions, to medical breakthroughs. Behind those assets are original ideas and hours of work contributed by individuals and groups, along with funding support from internal and external sources. And, hopefully, it’s all documented.
The resources that go into creating intellectual property make the records unique when it comes to ownership, scope, protection, and retention requirements. While these elements present certain challenges when managing such records, there are several resources, including UC rules, state and federal regulations, and industry guidelines, to which we can refer when developing management policy for intellectual property information. This article cites those resources and offers policy and guidelines for UC faculty, staff, and researchers to follow when dealing with intellectual property records.
Defining Intellectual Property Records
Many intellectual pursuits will result in the issuance of patents, trademarks, or copyright, but these legal registrations are not required to designate records and information as “intellectual property.” Whether or not research results in a finished product, the records should be protected and maintained in an organized manner. Certainly records documenting intellectual property issues can be contained in several categories, including financial, administrative, and subject records. But for the purposes of this article, we are interested in those unique records documenting research, faculty work, and legal matters, examples of which are:
Research Records: Data, researcher notes, work logs, lab notebooks, published works, reports
Legal Records: Registration records (patent, trademark, copyright), grants & contracts, compliance documents
Faculty Records: Course development records, speeches, research, professional writing
These lists are not exhaustive, and individual records may overlap categories, but they represent a good deal of the types of records you will deal with in intellectual property development.
Scientific Research Records
UC Rule 10-43-18, Records: Responsibilities and rights concerning ownership, access to and maintenance of original scientific records, provides key information for developing management policy regarding research records. It would benefit all UC employees and contracted investigators involved in research at the University to carefully read and become familiar with this rule. Outlined here are some important elements of the rule.
Minimum retention requirements are specified in the rule, but certain exceptions can increase the required retention period. According to the rule, scientific research records are to be retained for a minimum of five years following the completion of the research. However, state and federal statutes, as well as grant requirements need to be considered before setting the retention at the minimum five years. Records necessary for the continued defense of a patent, trademark, or copyright must be retained until their purpose has been exhausted. Additionally, any research that was part of a student’s academic requirement must be retained until the student’s degree is awarded or until after three years of no student activity.
Patents and Copyrights
The newly formed UC Office of Entrepreneurial Affairs and Technology Commercialization (created in July, 2010, by combining the Intellectual Property and Entrepreneurial Affairs Offices) assists UC researchers and faculty with securing legal protection for their work and commercializing products.
U.C. Rule 10-19-01, Patents and copyrights: Policy on inventions and discoveries, contains guidance on records created during research that leads to a UC patent or copyright:
G. Research agreements involving patent rights.
3. Normally, title to all documents, records, notebooks and other repositories of information from research shall be held in the name of the university.
Records created during research not leading to an invention, discovery, patent or copyright might be transferrable to the researcher. However, any decisions as to the ownership of records created at the University during research, whether sponsored or not, need to be deferred to the Office of Entrepreneurial Affairs and Technology Commercialization.
Faculty Records
Faculty members create both university records and personal papers during the course of their employment at the University. Distinguishing between the two is important as it determines ownership of the records associated with the work. Records created during the course of university sponsored work, or work-for-hire, are subject to UC Records Management policy, but faculty personal papers are not. Much of what makes up personal papers is intellectual property, but faculty can also be involved in creating intellectual property for the University. While faculty personal papers are not subject to records management policy, individual faculty members may donate their personal papers to the University Archives.
UC Rule 10-19-02, Patents and copyrights: Copyright policy., helps to define traditional copyrighted works and university sponsored work as it relates to copyright, with specific reference to faculty work.
B.1. Traditional works.
… Unless the production of such materials is subject to paragraphs (B)(2) to (B)(4) of this rule, the university disclaims ownership of copyrights in textbooks, monographs, papers, articles, musical compositions, works of art and artistic imagination, unpublished manuscripts, dissertations, theses, popular nonfiction, novels, poems and the like that are created by its faculty, staff and students.
B.3. University sponsored work
The university claims ownership as works for hire under the copyright laws of the intellectual property rights that arise from works created as the result of specific assignments; works supported by a direct allocation of university funds for the pursuit of a specific project; and works that are specially commissioned by the university. A faculty member’s general obligation to produce scholarly works does not constitute a specific university assignment, nor is the payment of regular salary, the use of office and library facilities, or the provision of incidental clerical support or reasonable data and word processing considered a direct allocation of university funds for the purposes of this paragraph.
While this paragraph does not specify what works are considered “university sponsored,” it does provide for the creation of faculty-owned copyrightable materials and intellectual property during the regular course of business using some university resources. These generally include course material, and personal research and writing. The level and direction of funding are keys to the determination of “university sponsored” works. As a guide, the following can be categorized as either university records or personal papers:
University Records
• Records created in the role of an academic unit head—department records, budget, financials, personnel files, meeting minutes, event records, etc.
• Committee records
• Student academic records—grades, add/drop, etc.
• RPT records
• Copyrightable works that are specially commissioned by the university and supported by direct university funds
Personal Papers
• Course development materials—exams, assignments, outlines, lecture notes, computer programs, teaching aids
• Personal research files—notes, data, proposals, reports, communications, etc.
• Personally authored books, articles, and papers
• Speeches and presentations
• Professional correspondence
Public Records
Certain intellectual property records are specifically exempt from Ohio Public Records Laws. For the purposes of the Public Records Act exception, “intellectual property record” is defined in ORC 149.43 (A)(5) as “a record, other than a financial or administrative record, that is produced or collected by or for faculty or staff of a state institution of higher learning in the conduct of or as a result of study or research on an educational, commercial, scientific, artistic, technical, or scholarly issue, regardless of whether the study or research was sponsored by the institution alone or in conjunction with a governmental body or private concern, and that has not been publicly released, published, or patented.”
This definition has three important parts. (1) it is higher education specific; (2) the nature of the research is of one of the specified issues; and (3) the study or research has not been publicly released, published or patented.
Conclusion
The management of intellectual property records is not an easy task. Creation, ownership, and retention all depend on many factors. If in doubt about what to do with this type of record, best practice is to consult the UC Office of Entrepreneurial Affairs and Technology Commercialization.
Intellectual Property Resources
UC Rule 10-19-01 Patents and copyrights: Policy on inventions and discoveries. http://www.uc.edu/content/dam/uc/trustees/docs/rules_10/10-19-01.pdf
UC Rule 10-19-02 Patents and copyrights: Copyright policy. http://www.uc.edu/content/dam/uc/trustees/docs/rules_10/10-19-02.pdf
UC Rule 10-43-18 Records: Responsibilities and rights concerning ownership, access to and maintenance of original scientific records. http://www.uc.edu/content/dam/uc/trustees/docs/rules_10/10-43-18.pdf
Entrepreneurial Affairs: http://www.uc.edu/ucresearch/EntrepreneurialAffairs.html
Intellectual Property Office: http://www.ipo.uc.edu/
ORC 149.43 Availability of public records for inspection and copying. http://codes.ohio.gov/orc/149.43
Office of Research Intellectual Property Committee.
http://www.uc.edu/ucResearch/documents/IntellectualPropertyCommittee2010.pdf
InfoSec Shredding Event, 2010
InfoSec held their second shredding event on October 28, 2010. The event was held in conjunction with their Information Security Awareness Week that ran from October 19-23. During the week, UC faculty, staff, and students were able to view demonstrations in TUC on topics such as wi-fi cracking, Windows authentication, and social engineering, as well as learn valuable information about securing their smartphones.
The shredding event, headed by Security Analyst Kim Logan, was held on McMicken Commons. UC departments were able to bring documents and records that had reached their disposition end from 9 a.m. to 12 p.m. to be shredded on-site for free. A new vendor, Shred-Safe, was chosen to do the shredding this year. At event end, five tons of paper had been shredded!
The following departments participated:
• Athletics
• Mathematics
• Facilities, Procurement Management
• English/Communications, Raymond Walters College
• Graduate School, College of Business
• Office of Research
• Career Development
• Conference and Event Services
• Utilities
• Campus Services
• TUC
• Communications
• Engineering
• Receiving
• Honors
• Physics
• Archives
Many thanks to all of the participants, and don’t forget to submit your Certificate of Records Disposal.
Hints for Going Paper-Less
Haven’t achieved paperless? Then shoot for paper-less!
There are some people who dream of the time when offices can be truly paperless—a purely digital operation where ink never touches paper and creation, distribution, and maintenance of documents is achieved by strictly electronic means. A paperless office would bring with it several benefits, including streamlined operations, savings in terms of printing and physical storage costs, and “green” compliance. The reality is that few offices have realized the paperless objective, but there are still advantages to reducing the amount of paper used in offices and shooting for a “paper-less” office.
The Association for Information and Image Management (AIIM) celebrated their first “World Paper Free Day” on October 28, 2010. AIIM challenged office workers on that one day to make a point not to print and to investigate business processes or technologies to cut paper waste. AIIM’s president, John Mancini, even challenged Dunder Mifflin’s Dwight Schrute to a debate. That would have been interesting, but maybe next year.
While AIIM would ultimately like to see offices producing no paper, their challenge is also good for teaching us how to produce less paper. Try not printing anything for an entire day, or even for an entire week. You may be surprised at the innovative ways in which you can get around printing and still carry on your business processes. You may look at your workflow with a different eye to see where you can convert native paper documents into electronic documents or eliminate converting electronic documents to hard copy. Printing is generally done for dissemination, markup, or gathering signatures, but there are current technologies available that will allow these tasks to be done entirely in an electronic environment. When it comes to documents born in a digital environment, hard copy storage is no longer required in most cases. If a document is born digital, best practice is to handle it in an electronic format throughout its lifetime if at all possible.
Finally, in his “8 Tips” series, AIIM President John Mancini offers 8 tips for going paper-less:
1. Do not print or copy any documents unless absolutely required
2. Use document scanners to convert paper documents to electronic format through document scanning and then shred them.
3. Use Web 2.0 technologies like wikis or blogs for internal communication and collaboration.
4. Keep all your contracts, marketing materials and any other document requiring review and refinement in a single electronic place.
5. Use web interfaces and forms for online applications and order placement, replace paper forms with eForms.
6. Sign up for e-bill delivery or online billing from your suppliers rather than paper statements, and pay your bills electronically.
7. Learn about electronic signatures and understand how they work in your environment.
8. Map, design and manage all business processes electronically.
Program News
Schedule Development
New Schedules:
-
Department of Cancer & Cell Biology
- Department of Pathology
- Department of Neurology
- Department of Molecular Genetics
- Department of Molecular and Cellular Physiology
Updated Schedules:
- Office of the Registrar
Records Transfers
The following University records have been transferred to the University Archives:
College of Business Graduation Ceremony Records
Accession No. UA-10-13, 2 boxes
Graduation records, including videos of ceremonies, 1993-2006
Public Relations Newspaper Clippings and Subject Files
Accession No. UA1-0-14, 5 boxes
Newspaper clippings from Enquirer & Post, writers' subject files, 2007-2008
Resident Education and Development
Accession No. UA-10-15, 3 boxes
Correspondence, committee files, minutes, and reports, 2003-2005
College of Business, Center for Executive Education
Accession No. UA-10-16, 16 boxes
Course binders, handouts and material, course development records, 1998-2007
College of Community Services
Accession No. UA-10-17, 1 box
Committee and task force records, annual reports, manuals, and handbooks, 1972-1984
Records Quarterly Featured
Records Quarterly, the newsletter of the University of Cincinnati Records Management Program, is being feature on ARMA International's Northeast Region website homepage. The Northeast Region covers chapters in New York, Connecticut, Massachusetts, & New Jersey and reaches a wide audience of records management professionals. The site can be visited at http://www.armanortheast.org/.
Financial Policies
2.8.1, Purchasing Card Violations, revised September 2010 http://www.uc.edu/af/documents/policies/pcardviol0910.pdf
Please note that in this policy one of the violations listed is “Failing to maintain original receipts and other documentation, or obtain approvals.” Take some time to review the Purchasing Card Manual (http://www.uc.edu/af/documents/purchasing/PCARDManual0610.pdf ) for the documentation that you are required to maintain (see section 4). According to University retention requirements, this documentation should be kept for four years after the close of the billing cycle.
What Does “ACT” Mean on a Retention Schedule?
When reading retention schedules, often you will find a retention period designated as “ACT+” followed by a time period. This retention method is used when the active lifetime of a record cannot be specifically determined at the time of creation. “ACT” means “active” and it will translate into different meanings for different records. There is usually a trigger event that will begin the additional retention period after a record is no longer active. For example, student files maintained by individual colleges and departments have a retention period of ACT+1. The trigger event that makes the records inactive is the student’s separation from the University. The records can be disposed of one year after that event.
Where to Find Forms
Many records begin life as blank forms. The use of forms became popular in the late nineteenth century as a way to collect uniform data from different sources. Today many of our forms are web based or electronic files, although there are still instances of printed forms out there. Several UC departments have combined their forms on one web page to make locating and obtaining them quick and easy.
Administration & Finance
Human Resources: http://www.uc.edu/hr/forms/default.html
Financial Policies: http://www.uc.edu/af/policies/ (scroll down to the middle of the page.)
Planning + Design + Construction: http://www.uc.edu/af/pdc/standards_forms1.html
Purchasing: http://www.uc.edu/af/purchasing/tools.html#Forms
Real Estate Services: http://www.uc.edu/af/pdc/real_estate/real_estate_svc_policy_forms.html
Research
Intellectual Property: http://www.ipo.uc.edu/index.cfm?fuseaction=home.forms
Sponsored Research Services: http://srs.uc.edu/index.cfm?fuseaction=home.ucInternalForms
Environmental Health & Safety: http://www.ehs.uc.edu/forms.asp
LAMS: http://medcenter.uc.edu/lams/quickforms.html
and http://medcenter.uc.edu/lams/SOPs_and_Forms_.html
Enrollment Management
Office of the Registrar: http://www.uc.edu/registrar/registrar_forms.html
Admissions: http://admissions.uc.edu/counselors/CNSLR_Forms.html
Records Management
http://www.libraries.uc.edu/libraries/arb/records_management/FormsDownloads.html
RIM Resources Across the University
Human Resources Introduces The Work Number from TALX Service for Employment Records Verification
A new automated service that can be used to verify employment and income was made available to UC employees by Human Resources on October 1. Using an employee-provided security code, organizations that need verification of income for things like mortgages and leases can login to the system and gain immediate access to the information. To verify employment, the organization uses the employee’s Social Security Number. The system is available to current employees and those who left the University after January 1, 2007. See HR’s page about the service at http://www.uc.edu/hr/faq/The_Work_Number-TALX.html
SharePoint 2010 Becoming Available
UCit has plans to make SharePoint 2010 available. SharePoint is a web-based collaborative software that departments can use to share, manage, and edit documents. SharePoint 2010 offers sounder records management capabilities than its predecessors. To learn more about SharePoint, go to http://www.uc.edu/ucit/storage/sharepoint.html or contact Gary Grafe at Gary.Grafe@uc.edu.
Training Opportunities
Workshops
These workshops can 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.
During the Introduction to Records Management 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.
Two new workshop offerings are now available.
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.
ARMA Meetings
The Cincinnati, Dayton, and Columbus chapters of ARMA International, the professional organization for records and information management, offer monthly presentations covering a wide range of topics. Meetings are currently being planned for the 2010-2011 operational year. For more information about topics and membership, visit the chapter websites:
Cincinnati: http://www.cincyarma.com/
Dayton: http://www.greaterdaytonarma.org/2home.html
Columbus: http://www.armacolumbus.org/
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
Witness list kept secret
Cincinnati.com, September 26, 2010
Defense attorneys are being shut out of getting witness names in yet another high profile murder case in Greater Cincinnati.
http://news.cincinnati.com/article/20100926/NEWS010702/9270373/Witness-list-kept-secret
Partnership creates secure health information network
Dayton Business Journal, September 27, 2010
Greater Dayton Area Hospital Association has partnered with the Cincinnati-based nonprofit health information exchange agency, HealthBridge, to connect more than 50 hospitals and 7,500 physicians across Southwest Ohio.
http://dayton.bizjournals.com/dayton/stories/2010/09/27/daily6.html
City manager's ethics violation won't be added to personnel file
The State Journal (Frankfort, KY), September 28, 2010
(Frankfort) City Manager Tony Massey’s violation of the city’s ethics code won’t be part of his personnel file.
http://www.state-journal.com/news/article/4902463
Akron waives state requirement to collect student weight data
Ohio.com, September 29, 2010
Akron Public Schools will seek a waiver from a new state requirement to collect and report data on student weight as part of legislation enacted in June to reduce childhood obesity.
http://education.ohio.com/2010/09/akron-waives-state-requirement-to-collect-student-weight-data/
Two Public Safety attorneys ousted for snooping
Columbus Dispatch, September 29, 2010
Two attorneys for the Ohio Department of Public Safety resigned or were fired late yesterday after authorities uncovered a long-running scheme to intercept e-mail messages between department employees and either the state inspector general or The Dispatch.
http://www.dispatch.com/live/content/local_news/stories/2010/09/29/computer_raid.html?sid=101
Ohio Department of Public Safety fires top attorney for spying on law enforcement emails; criminal charges being considered
Cleveland.com, September 30, 2010
The Ohio Department of Public Safety's former top attorney has been fired for snooping on emails to his agency from the state inspector general's office and an Ohio newspaper.
http://www.cleveland.com/open/index.ssf/2010/09/ohio_department_of_public_safe.html
Flawed Paperwork Aggravates a Foreclosure Crisis
TheLedger.com, October 4, 2010
As some of the nation’s largest lenders have conceded that their foreclosure procedures might have been improperly handled, lawsuits have revealed myriad missteps in crucial documents.
NBC 4 Shred-It Day Shreds 200K Pounds, Raises $7,750 For Nationwide Children's
NBC4 (Columbus), October 2, 2010
NBC4 Shred-It Day once again was a success Saturday, Oct. 2. Four-thousand vehicles came through, and 100 tons of shredded material of 200,000 pounds of paper were collected.
OSHA Fines AK Steel #53K
Whiotv.com, October 5, 2010
The U.S. Department of Labor’s Occupational Safety and Health Administration has issued AK Steel Corp. five willful and three other-than-serious citations for failing to record occupational injuries at its Middletown facility. The company, which produces flat-rolled and tubular steel products, is facing proposed penalties of $53,000.
http://www.whiotv.com/news/25285382/detail.html
Attorney wants online court records blocked
The Morning Journal, October 6, 2010
Five defendants in murder and rape cases want their online court records blocked from public view while they are on trail.
http://morningjournal.com/articles/2010/10/06/news/mj3441205.txt
Mazzola pleads not guilty to poor record keeping
The Morning Journal, October 21, 2010
Exotic animal owner Sam Mazzola pleaded not guilty this morning to failure to maintain accurant records on a number of Ohio-native animals on his property. The charges were filed by the Ohio Department of Natural Resources.
http://morningjournal.com/articles/2010/10/21/news/doc4cbf09ae00651545366603.txt
Higher Education
University expansion affects paperless campaign
The Pendulum (Elon University), September 28, 2010
As Elon University continues to implement a paperless campaign in an effort to reduce paper usage and increase efficiency within the administration, the expansion of educational facilities is causing a rise in paper usage.
http://www.elon.edu/pendulum/Story.aspx?id=4244
NCAA closes case on Eric Bledsoe transcript
KentuckySports.com, September 29, 2010
The NCAA announced on Tuesday that it officially plans no further action regarding former Kentucky player Eric Bledsoe's academic records.
http://www.kentucky.com/2010/09/29/1454798/ncaa-closes-case-on-bledsoe-transcript.html#ixzz10wIMBIXl
PaperCut supposed to cut printing waste, students have mixed feelings
Student Life (Washington University in St. Louis), September 29, 2010
In an effort to reduce printing waste, Student Technology Services implemented PaperCut last November. The program attempts to balance the University’s goals for sustainability with the needs of students to print documents for classes. Students’ responses to the system have been both positive and negative.
http://www.studlife.com/news/2010/09/29/papercut-supposed-to-cut-printing-waste-students-have-mixed-feelings/
University hires first public records officer to increase transparency
Oregon Daily Emerald (University of Oregon), September 29, 2010
The University's Office of the President announced Friday the hiring of Elizabeth Denecke as its first public records officer, with hopes that a full-time professional lawyer poised to handle records requests will further increase the institution's accountability and transparency.
http://www.dailyemerald.com/news/university-hires-first-public-records-officer-to-increase-transparency-1.1654000#5
Judge partially dismisses professor's case against Ohio State
The Lantern, September 29, 2010
Nearly two years after professor Rudolph Alexander Jr. filed a lawsuit against Ohio State alleging it destroyed public records, a judge issued a motion partially dismissing the case against the university.
http://www.thelantern.com/campus/judge-partially-dismisses-professor-s-case-against-ohio-state-1.1655872
OSU calls breaches of data minor
Columbus Dispatch, September 30, 2010
In the past three years, Ohio State University has investigated an average of 10 potential data breaches annually.
http://www.dispatch.com/live/content/local_news/stories/2010/09/30/osu-calls-breaches-of-data-minor.html?sid=101
Governor vetoes university foundation public records bill
Turlock Journal, October 2, 2010
[California] Gov. Arnold Schwarzenegger on Friday vetoed a bill which would have required university foundations – nonprofit auxiliaries intertwined with public universities that oversee private gifts to colleges – to comply with the Public Records Act.
http://www.turlockjournal.com/news/article/5821/
Local escorted off campus, accused of forging records
Pipe Dream, October 5, 2010
Phillip Calderon has been charged with a Class A misdemeanor in connection with his alleged attempt to pose as an undergraduate student at Binghamton University. According to Matthew Rossie, an investigator for Binghamton’s New York State University Police, Calderon allegedly falsified information in two cases.
http://www.bupipedream.com/Articles/Local-escorted-off-campus-accused-of-forging-records/15787
Ex-Clemson official accused of taking computer
The State, South Carolina’s Homepage, October 20, 2010
A former Clemson University official has been indicted on charges of taking a computer and documents when he left the school.
http://www.thestate.com/2010/10/20/1521507/ex-clemson-official-accused-of.html#ixzz130AtMRnj
Hackers Access 107K Student Records At UNFL
CBS4 Jacksonville, October 17, 2010
The good news is that overseas hackers apparently did not change the grades of more then 100 thousand University of North Florida students when they broke into the computer system in September. The bad news is that personal information like names and social security numbers for those students may now be in the hands of those hackers.
http://cbs4.com/local/Overseas.computer.hacker.2.1966443.html
Leg & Reg
Legislative and Regulatory Affairs Affecting Records and Information Management
Federal
Plain Writing Act of 2010
On September 27, 2010, the U.S. Senate has passed the Plain Writing Act, which requires the federal government to write public documents more clearly by unanimous consent. The bill was first introduced on February 10, 2009, and passed the House on March 17, 2010. Text of the bill and related information can be found at http://thomas.loc.gov/cgi-bin/bdquery/D?d111:1:./temp/~bdtmxm::|/home/LegislativeData.php?n=BSS;c=111|
Social Security Number Protection Act of 2010
The Senate passed the Social Security Number Protection Act of 2010 on September 28, 2010. As passed, the act , which was just introduced on September 15, would prohibit Federal, State, or local agencies from displaying the Social Security account number of any individual, or any derivative of such number, on any check issued for any payment by the Federal, State, or local agency. It would also prohibit inmate access to individual’s Social Security numbers. The bill has been sent to the House. Text of the bill and related information can be found at http://thomas.loc.gov/cgi-bin/bdquery/z?d111:S3789:
The Legislative Data Transparency and Public Access Act of 2010
This bill was introduced in the House on September 29, 2010 and referred to the House Committee on House Administration. The bill as introduced would “direct the Librarian of Congress to make available to the public the bulk legislative summary and status data used to provide the information posted on the THOMAS website, and for other purposes.” Text of the bill and related information can be found at
http://thomas.loc.gov/cgi-bin/bdquery/z?d111:h.r.06289:
Guidance on Managing Records in Web 2.0/Social Media Platforms is released
On October 21, 2010 NARA released this bulletin to the heads of federal agencies outlining guidelines for the management of information released via social media tools as records. The bulletin can be found at http://www.archives.gov/records-mgmt/bulletins/2011/2011-02.html
State of Ohio
State ex rel. Nelson v. Ohio Adult Parole Auth., 2010-Ohio-4994
In this case, heard in the Court of Appeals of Ohio, Tenth Appellate District, Randall J. Nelson sought to compel the Ohio Adult Probation Authority (OAPA) to modify his records. The court found that the OAPA had previously agreed that the records should be modified and had already done so before the case was filed, making it moot. See the decision at http://www.supremecourt.ohio.gov/rod/docs/pdf/10/2010/2010-ohio-4994.pdf
State ex rel. Bardwell v. Cuyahoga Cty. Bd. of Commrs., Slip Opinion No. 2010-Ohio-5073
In this public records case, the Supreme Court of Ohio held that the Court of Appeals of Ohio for Cuyahoga County did not abuse its discretion when it sanctioned Brian Bardwell for filing a pro-se public records mandamus in bad faith. The appeals court decision to impose sanctions was based on 11 points, including the facts the Bardwell waited only one day after his public records request was issued to file the mandamus action, and he was promptly provided with the records that were considered releasable under public records laws as well as an explanation concerning those that were not. See the decision at http://www.supremecourt.ohio.gov/rod/docs/pdf/0/2010/2010-ohio-5073.pdf
State ex rel. Cincinnati Enquirer v. Bronson, 2010-Ohio-5315
In part, this case addresses a request by the Cincinnati Enquirer for access to the personnel file of Detective Lieutenant Jeff Braley, an investigator in the Ryan Widmer murder case. Access was refused on the grounds of a gag order issued by the presiding judge. A writ of mandamus was awarded to the Enquirer on a finding that the trial court is compelled to conduct a hearing and make findings on the record before exempting public records from disclosure. See the decision at http://www.supremecourt.ohio.gov/rod/docs/pdf/12/2010/2010-ohio-5315.pdf
State ex rel. Dehler v. Collins, 2010-Ohio-5436
Lambert Dehler, an Ohio inmate, sought to compel the Ohio Department of Rehabilitation and Corrections
("ODRC") to provide him records related to the purchase of peanut butter for Trumbull Correctional Institution ("TCI"). A magistrate recommended that the court deny the request for a writ of mandamus. One point made by the magistrate was that Dehler only theorized that records concerning the purchase of peanut butter existed, resulting in an over-broad request. The court denied the request. See the decision at http://www.supremecourt.ohio.gov/rod/docs/pdf/10/2010/2010-ohio-5436.pdf
State ex rel. Ezelle v. Hilow, 2010-Ohio-5621
The Court of Appeals of Ohio, Eighth Appellate District, County of Cuyahoga, heard this case demanding a writ to compel discovery of records and documents in a case filed in the Court of Common Pleas. The complaint was dismissed on the grounds that the requester failed to establish that the respondent had a clear legal duty to provide the requested information or records. See the decision at http://www.supremecourt.ohio.gov/rod/docs/pdf/8/2010/2010-ohio-5621.pdf
Ohio to file suit against GMAC Mortgage
Cincinnati.com, October 6, 2010
Ohio Attorney General Richard Cordray says he is filing a lawsuit against Ally Financial Inc. and its GMAC Mortgage division, alleging fraud that could involve hundreds of foreclosures in the state. ...Authorities in at least seven states are probing whether lenders used false documents and signatures to justify hundreds of thousands of foreclosures, and the number of these inquiries will grow, according to state officials and legal experts.
http://news.cincinnati.com/article/20101006/BIZ/310060023/Ohio-to-sue-GMAC-Mortgage
Vermilion ex-mayor files suit to get records
The Chronicle-Telegram, October 7, 2010
Former Mayor Jean Anderson and her attorney contend the city has withheld public records, including itemized statements, from the firm of Law Director Kenneth Stumphauzer, and have filed suit in an appellate court to get them.
http://chronicle.northcoastnow.com/2010/10/07/vermilion-ex-mayor-files-suit-to-get-records/
College records suit thrown out
The Columbus Dispatch, October 13, 2010
An Athens County judge has dismissed a lawsuit seeking $75,000 from Hocking College over destroyed records.
http://www.dispatch.com/live/content/local_news/stories/2010/10/13/college-records-suit-thrown-out.html?sid=101
Ohio’s notary public law is weak
Youngstown Vindicator, October 20, 2010
Secretary of State Jennifer Brunner is asking for a federal investigation of notaries public in connection with mortgage documents with JP Morgan Chase & Co. and Mortgage Electronic Registration Systems. She asks that this investigation be in 23 states, including Ohio, for improper handling of notarizations.
http://www.vindy.com/news/2010/oct/20/ohio8217s-notary-public-law-is-weak/
Deleting e-mail hits GOP nerve
The Columbus Dispatch, October 21, 2010
The Ohio House clerk's office this week urged staff members to start deleting e-mails to save server space, but it did not mention what records must be kept under state law or the chamber's own records-retention policy. The memo is drawing fire from Republican leaders who called it "careless" because majority Democrats did not inform their staff members how to proceed.
http://www.dispatch.com/live/content/local_news/stories/2010/10/21/deleting-e-mail-hits-gop-nerve.html?sid=101
Ohio atty expected to plead guilty in e-mail probe
WFMJ.com, October 21, 2010
A former state lawyer fired for intercepting e-mails between Ohio public safety employees and investigators is expected to plead guilty to three misdemeanor counts of disclosing confidential information.
http://www.wfmj.com/Global/story.asp?S=13368272
Enon’s records under investigation
Springfield News-Sun, October 24, 2010
Village Council asks the Ohio Attorney General’s office to investigate a case of missing documents.
http://www.springfieldnewssun.com/news/springfield-news/enons-records-under-investigation-984614.html
University Archives News
Gifts to the University Archives
James Alexander Papers
Accession No. UA-10-10, 85 tubes, 6 boxes
Architectural drawings, slides, negatives & photographs (both personal and professional travels), paperwork on Mitchell residence, 1955-2007 (bulk 1955-1980)
University of Cincinnati Woman’s Club Records
A new two-box collection of records from the UC Woman’s Club is now available in the University Archives. Accessioned as number UA-10-12, the new collection contains meeting minutes, treasurer’s reports, newsletters, annual reports, and program records mainly spanning 1996-2003. Some of the program records go back to 1979. The collection also features membership rosters from 1970-1973. A complete inventory can be found at http://www.libraries.uc.edu/libraries/arb/archives/collections/documents/UA-10-12WomansClub.pdf.
The UC Woman’s Club was founded in April 1926 by Dean of Women, Josephine Simrall, as a social/service organization to “promote closer relations among the faculty wives in the different colleges, to welcome newcomers, and to assist in faculty and student activities.” * Through its history the membership grew to include wives of administrators as well as women faculty and administrators.
The Archives has two other UC Woman’s Club collections. Collection number UA-04-04 contains meeting minutes, treasurer’s reports, newsletters, and annual reports spanning 1983-1996. Collection number UA-04-17 contains member lists from 1944-1968, the constitution of 1959, membership committee reports from 1944-1968, and miscellaneous notes and comments.
Full Run of The Cincinnatian, the UC Yearbook, Now Available Online
The University of Cincinnati Libraries have completed the work funded by a Library Services and Technology Act (LSTA) Minigrant from the State Library of Ohio to digitize copies of The Cincinnatian, UC’s yearbook, for the period of 1951-2006.
A previous LSTA grant provided for the digitization of The Cincinnatian from 1894-1950.
All issues of the yearbook are now viewable on the Web at http://digitalprojects.libraries.uc.edu/cincinnatian/.
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.
UC Records Management
University of Cincinnati Records Management 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/