Records Quarterly
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Contents
- Databases as Records
- Making Electronic Documents Searchable
- Protected Information
- Program News
- Training Opportunities
- Records in the News
- Leg & Reg
- Ohio Budget Bill Amends Laws for Destroying Public Records
- University Archives News
- About Records Quarterly
- UC Records Management
Databases as Records
Are databases records?
Databases are unique animals in the records management world. They are not generally considered records on their own, but they contain components that do make up records that need to be managed and retained. Because of the way databases operate, each one will require an individual analysis to determine what records they contain and their retention requirements.
Terminology
A little terminology is necessary here. At the heart of a database is a place to store data; these are called tables. A table is a collection of data graphically arranged in rows and columns, similar to a spreadsheet. Each column represents a different type of information, or field. In the “Orders” table shown below, “Order ID,” “Employee,” “Customer,” and so on are the columns, or fields. Each row is a unique collection of fields. A query can be used to link, select, update, merge, and sort data within and between tables.
You may never see the tables and queries that make up your databases because program logic has been added to create a user interface. You may use forms and entry screens to manipulate the tables and queries and run reports.
Maintaining record integrity
Records contained in databases hinge on dependencies between tables and other elements of a database or business application. If one of those elements is removed it may be impossible to create the record ever again. Consider the example shown below. This image shows the relationships between tables required to create a record. The “Orders” table stores information necessary to document each order. But not all data actually needed to produce an order record is stored exclusively in the “Orders” table. It depends on the “Customer” table, the “Order Details” table, and indirectly on the “Products” table. A customer ID stored in the “Orders” table pulls information from the “Customer” table. For an order record to be produced, all pertinent data in these four tables needs to be maintained and accessible to the system. If the corresponding data in the “Customer” table were to be removed, the record would lose integrity and a complete record could no longer be produces. Therefore, it is essential to document all of the components necessary to create a record.
Managing retention for database records
Retention controls need to be placed on database elements based upon the minimum retention required for the records that they populate. Tables may be used to populate more than one type of record, therefore it is important to determine the longest retention period of all records depending on that table and set that as the minimum retention period. In our example, if an order records must be retained for four years, then the related data in the “Orders,” “Customers,” “Order Details,” and “Products” must be retained for four years following the date of the order.
If you have a business system that is proprietary or that is intricate, it is best to consult the vendor or programmer when doing this step. A documented records creation and retention plan for each database should be created.
Public records and discovery
Databases can include public records. Public records requests for records contained in databases must be handled on a case-by-case basis. A public office is not required to create a query or report that does not already exist in a database to satisfy a public records request, although they can. Requesters can receive raw data from databases to perform their own analyses. The Ohio Electronic Records Committee is currently updating their guideline on databases as public records and is writing a new guideline on managing databases as records. More information about these will appear in Records Quarterly when the products are available.
Database records can be discoverable, and if they are part of an court order, it is important to maintain record integrity as long as a records hold remains in effect. Producing records for a discovery order can be quite time consuming, so again, it is essential to document the records contained in a database and the dependencies required to maintain integrity.
Making Electronic Documents Searchable
A single document can contain information relevant to several subjects. Because one physical thing cannot exist in more than one place at a time, the world of paper records restricted users to rigid categorization of information. Documents could be copied and exist in numerous searchable areas at the same time, or indexes could be created to find documents that could be categorized in more than one place. While these methods worked to an extent, both had inefficiencies, and neither could cover all of the ways that each individual thinks about and uses information.
The advantages associated with searching electronic documents over paper documents are obvious. Whereas indexes were needed to cross-reference paper records stored in strictly categorized file plans, technology now offers us the ability to search across electronic files using titles, keywords, and subjects without the constraints of a filing system. Electronic searches offer a flexible way to find the documents that you are looking for, but in order to maximize the results of searches, you need to devote some time at creation to preparing the documents for searching and to understand your system’s capabilities.
File names
Well-constructed file names not only make it easy to find and organize files through simple directory browsing, but they also help enhance the results of directory search functions. Come up with a standard file naming convention for your files. You might want to include dates, subjects, recipients’ names, departments, or projects right in the file name. Remember, directories generally use simple alpha-numeric filing when sorting by file name, so decided how you would want to browse through a list of files and standardize your file names accordingly.
Metadata
Metadata is information existing behind the scenes that describes a file. By strategically adding metadata to your files, you can add more search options and you can customize search terms based on your needs. Some programs automatically add metadata, such as the dates created and changed and the file size, but other metadata you will need to supply manually.
Most Microsoft Office programs allow you to add metadata to a file. Below is an example of metadata fields available in Microsoft Word. Word also automatically generates metadata, such as date created, and type of document, when you create a file.
Adobe Acrobat also allows metadata to be added to files and this is very beneficial if you are creating a document for the web. Office documents that are converted to Acrobat files will retain some of the metadata already existing in the file, but you can add additional metadata and edit what already appears as well.
To make metadata that you create work even better, standardize the keywords that you will want to use in your searches.
Using Windows Search
Microsoft Windows Search is a built-in tool that allows you to search through directories on your own machine or on a shared network server. Windows Search will find matches to keywords in metadata, file names and content. Search is available through My Documents and Windows Explorer and you can enter search terms for keyword, file name, and author. Results of your search will can be sorted by relevancy, file name, author, date, size, file type, and location. Search will even bring up individual email messages.
Protected Information
Some special classifications of records held by the University are protected from disclosure by federal and/or state law. These records can contain personal information about an individual or they could expose individuals to fraud or endanger the security of the University that if disclosed.
Student Records
The Family Educational Rights and Privacy Act (FERPA) is a federal law that limits disclosure of student educational records. The Registrar’s Office is responsible for maintaining compliance with FERPA and they have resources posted on their website.
Health Records
The Health Insurance Portability and Accountability Act (HIPAA) protects medical records from disclosure. The law applies specifically to health providers. University Rule 40-25-13 prohibits the release of records held by University Health Services without consent of the patient. HIPAA also applies to Hoxworth Blood Center and any UC area that offers patient health services. Online HIPAA compliance training is available.
Library Patron Records
ORC 149.432 Releasing library record or patron information prohibits the disclosure of patron records maintained by any library that is open to the public. This includes information provided to obtain library services, borrowing records and reference requests. Exceptions for law enforcement and court orders are provided. University of Cincinnati Libraries have a policy for confidentiality of patron records.
Personnel Records
While some personnel records are considered public records, there are certain classifications that are prohibited from release according to public records laws.
Medical records are exempt from public records laws according to ORC 149.43 (A)(1)(a). “Medical record” means any document or combination of documents, except births, deaths, and the fact of admission to or discharge from a hospital, that pertains to the medical history, diagnosis, prognosis, or medical condition of a patient and that is generated and maintained in the process of medical treatment. Personnel medical records that are required to document leaves should be maintained separately from the employee’s general file.
Police officer residential and familial information is exempt from public records laws according to ORC 149.43 (A)(1)(p). This includes social security number, residential telephone number, bank account, debit card, charge card, or credit card number, emergency telephone number, medical information, name of any beneficiary of employment benefits or photograph of the officer or officer’s spouse, former spouse, or child.
Social Security Numbers
ORC 149.45 Internet access to social security numbers prohibits a public office from posting an individual’s social security number on a publicly available internet site. ORC 149.43 prohibits the release of police officers’ social security numbers as well as those of persons under the age of 18.
More and more legislation prohibiting the release and display of social security numbers is being put into place due to the large increase in the number of identity thefts. Even if a specific law does not exist, it is good practice not to record social security numbers unless absolutely necessary. Any document with a social security number should be destroyed upon disposition.
Credit Card Information
The University has just issued policy 2.1.27, Credit Card Processing, to establish procedures for processing charges and credits on credit cards accepted by colleges or organizational units in payments for products and services. It prohibits storage of consumer cardholder data, which includes account number, expiration date, name, address, social security number, card validation code, or card identification number.
Infrastructure and Security Records
Infrastructure records are exempt from public records laws as outlined in ORC 149.433, Exempting security and Infrastructure Records.
An “infrastructure record” is any record that discloses the configuration of a public office’s “critical systems, “ such as its communications, computer, electrical, mechanical, ventilation, water, plumbing, or security systems.
A “security record” is any record that contains information directly used for protecting or maintaining the security of a public office against attack, interference, or sabotage or to prevent mitigate, or respond to acts of terrorism.
Intellectual Property Records
Intellectual property records are exempt from public records laws according to ORC 149.43 (A)(1)(m). The law defines an intellectual property record 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.”
Compliance
The willful release of these kinds of records can be effectively prevented by policies and procedures designed to protect both the individual and the University.
Inadvertent release or exposure needs to be addressed as well. Keep cabinets or rooms where protected records are stored locked and only accessible to those people who need them. Do not leave electronic media, such as CDs or thumb drives, sitting in plain view where they can be taken.
Knowing the laws, policies and procedures governing the recording and release of protected information is the key to protecting the University and the individual.
Program News
Schedule Development
New Schedules:
- Department of Pharmacology & Cell Biophysics
Updated Schedules:
- Laboratory Animal Medical Services
Draft Schedules
- Graduate Medical Education
Records Transfers
The following University records have been transferred to the University Archives:
Planning+Design+Construction Records
Accession No. UA-10-11, 197 boxes
Contracts, proposals, correspondence, meeting minutes, working designs, plans, specifications and drawings, photographs, test and inspection reports, and status reports, 1993-2003
Early Childhood Education, Distance Learning Courses
Accession No. UA-10-20, 2 boxes
Recorded courses on videotape and compact disc sent to students who were enrolled in the Early Childhood Education Distance Learning Program
Office of the President, Nancy Zimpher
Accession No. UA-11-01, 9 boxes
Speeches, 2003-2009
College of Applied Science Records
Accession No. UA-11-03, 3 boxes
Faculty meeting minutes & documentation, course and program records, publications, 1965-2003
College of Applied Science Library Records
Accession No. UA-11-04, 3 boxes + 3 framed prints
Library records, exhibits, architectural drawings and prints, 1974-2002
Raymond Walters College Department of Nursing Records
Accession No. UA-11-05, 20 boxes
Meeting minutes and supporting documents for faculty meetings as well as advisory, resource, curriculum, student and RPT committees, program planning records, syllabi, evaluations and assessments, teaching guides, and classroom material , 1969-2005
University College Business Technology Department Records
Accession No. UA-11-07, 6 boxes
Correspondence, meeting minutes, news and event records, scheduling documents, and syllabi, 1994-2007
New Board Rule
At the June 21, 2011 meeting, the Board of Trustees adopted rule 10-5-20 expanding the operational components covered by HIPAA and providing for an overall HIPAA privacy officer.
New University Policies
Credit Card Processing (2.1.27) – This policy establishes procedures for processing charges and credits on credit cards accepted by colleges or organizational units in payments for products and services. Its purpose is to protect credit card information and to comply with security standards. The policy can be found at
http://www.uc.edu/content/dam/uc/af/financialpolicies/Docs/creditcardprocess_pol.pdf
If your department processes credit cards and a records series does not appear on your retention schedule, please contact Records Management for a schedule review.
Submission of Materials to the Board of Trustees (1.2.1) – This policy establishes procedures for submitting presentations, briefing summaries, informational reports, and recommendations for action to the Office of the Board of Trustees. The policy can be found at
http://www.uc.edu/content/dam/uc/trustees/docs/Policy/submission_to_BOT_pol.pdf
Information Security Hosts Shredding Event
Information Security again hosted a successful shredding event on McMicken Commons. Thirty-five departments participated in the event held on Monday, June 6. More than 16,000 pounds of obsolete paper records were shredded. The next shredding event is tentatively scheduled for this coming fall. If you are in need of shredding services before the next campus-wide event, please contact Information Security or Records Management.
Ohio Auditor Releases University of Cincinnati Audit Report
Ohio Auditor of State Dave Yost released University of Cincinnati’s annual financial audit report on January 18, 2011. The report can be found on the Auditor’s website. A report for the UC Foundation is also available.
2011 Ohio Sunshine Laws Manual Available
To assist Ohio agencies and citizens with understanding and applying both the public records laws and the open meeting laws, collectively known as “sunshine laws,” the Ohio Attorney General and the Ohio Auditor of State have jointly published the Ohio Sunshine Laws Manual. In plain language, the manual describes what a public record is, how to request records, exceptions to the law, enforcement of the law, and obligations of public offices. Like many state laws, interpretation of the public records laws happens during actual court cases, and the manual is updated annually to include new and/or different interpretations that affect how we need to comply. The 2011 Sunshine Manual can be viewed and downloaded free of charge and hard copies, also free of charge, can be requested on the Ohio Attorney General’s website.
RIM Resources Across the University
Mail Services
http://www.uc.edu/af/facilities/services/mail.html
Despite the explosion in office email use, ‘snail mail’ is still a vital part of office communications and document distribution. UC’s Mail Services department is responsible for the receipt, organization, and distribution of interdepartmental and US Postal Service mail. The department provides a Mail Manual to answer all of your questions about UC mail services.
Intellectual Property Protection Seminar
UC researchers are invited to attend several FBI presentations on the protection of intellectual property. The seminars will be held Tuesday, Aug. 23, from 10 a.m. to noon, in the Vontz Center's Rieveschl Auditorium. Presentations include IPR Protection/Cyber Threats (10:10 a.m.); Insider Threat (11 a.m.); Safety and Security Traveling Abroad (11:20 a.m.); and InfraGard and Academic Partnership with the FBI (11:40 a.m.). Questions about the event should be addressed to Jeff Corcoran, UC assistant police chief, at (513) 556-4909.
Training Opportunities
Workshops
The next campus-wide Introduction to Records Management workshops will be held on October 11 & 13. Details will be announced on the RM Listserv.
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.
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
Activist sues Cincinnati Metropolitan Housing Authority
Cincinnati Business Courier—May 2, 2011
A Westwood activist is suing the Cincinnati Metropolitan Housing Authority, alleging it violated the Ohio Open Records Act by discussing “various items of public interest” at an early April board training session.
Vets want Ohio research firm to produce documents
Akron Beacon Journal—May 16, 2011
The government is opposing a request for an Ohio research institute to turn over documents related to Cold War chemical and biological experiments, saying veterans suing for the records already have much of the information.
Village: Records request 'staggering'
The Athens NEWS—May 25, 2011
A resident of Chauncey, who's suing the village over its alleged failure to provide him public records, reached an agreement this week to settle a second, narrower suit, also related to public records.
AK Steel fined $206000 for Pa. records violations
Business Week—June 6, 2011
AK Steel has 15 days to comply, request a conference with OSHA officials, or contest the ruling and fine. The West Chester, Ohio-based steelmaker operates facilities in Pennsylvania, Ohio, Kentucky and Indiana.
Ross County wins missing records suit
Chillicothe Gazette—June 9, 2011
A visiting judge has ruled in favor of the county in a 2009 lawsuit involving public records missing from Ross County Sheriff's Office computers.
Opinion sought on Kasich records denial
Columbus Dispatch—June 17, 2011
John Kasich's office can cite a 2008 Ohio Supreme Court ruling in denying public-records requests that he thinks are "overly broad."
Court: Ohio did not violate federal privacy laws
Fox 19—June 14, 2011
A federal appeals panel has ruled that Ohio officials did not violate federal privacy laws in disclosing personal information from drivers' records.
Supreme Court upholds public records ruling
Mansfield News Journal—June 22, 2011
MANSFIELD -- The Ohio Supreme Court ruled Tuesday that a lower court acted reasonably in deciding no damages were due a Shelby man who believed the Mansfield Municipal Clerk of Court's office blocked timely access to public documents.
DeWine unlikely to enter public-records fray
Columbus Dispatch - June 22, 2011
It does not appear that Attorney General Mike DeWine will be giving a Democratic lawmaker a formal opinion regarding Gov. John Kasich's denial of public-records requests because they are "overly broad."
State questioned record-keeping of GOP candidate for attorney general
Lexington Herald Leader—July 1, 2011
FRANKFORT — Republican attorney general candidate Todd P'Pool has been warned twice by Kentucky officials for not keeping adequate records that justify the time he bills the state for working on child-support collection cases as Hopkins County attorney.
Records Areas Deemed Unsafe
Wheeling Intelligencer—July 5, 2011
ST. CLAIRSVILLE Hundreds of thousands of records stored in certain areas of the Belmont County Courthouse must be moved immediately because parts of the building lack the structural integrity to bear the archives' weight.
Resident sues township over record keeping
Middletown Journal—July 5, 2011
A [Fairfiled] township resident wants to know why the administration erased nearly five years worth of audio tapes of trustee meetings without doing so publicly, according to a civil suit filed in Butler County Common Pleas Court.
Attorney General sides with Paintsville Herald in open records case involving 'excessive' fee
The Republic (Columbus, IN)—July 7, 2011
FRANKFORT, Ky. — The attorney general's office has concluded that the city of Paintsville subverted the intent of the state's Open Records Act by trying to charge an eastern Kentucky newspaper $300 for records related to delinquent occupational and restaurant taxes.
Ohio BMV worker fired
Columbus Dispatch—July 7, 2011
An Ohio Bureau of Motor Vehicles employee was fired June 21 after an investigation into allegations of theft, forgery and records tampering.
Higher Education
Federal Audit Finds Fault With UVM Crime Reporting
WPTZ The Champlain Valley—May 17, 2011
The federal government could fine the University of Vermont for not properly reporting campus crimes to the community, including sexual assaults. It's an issue the administrators said they've addressed. "There was no purposeful intent to falsify the records or downplay the statistics," UVM Vice President of Executive Affairs Gary Derr said.
U.-Va. agrees to complete response to global warming public records request by ...
Washington Post—May 25, 2011
The University of Virginia and a conservative advocacy group have agreed the university will turn over documents in response to a public information request by the group seeking documents related to the work of a former university climate scientist. U-Va. will comply with the request by Aug. 22. The American Tradition Institute’s Environmental Law Center, along with Del. Bob Marshall (R-Prince William), want e-mails and other documents related to the work of global warming researcher Michael Mann.
Open Government Advocates Strike Deal With UC, CSU On Transparency Act
OfficialWire—May 25, 2011
For the past three years, Senator Leland Yee (D-San Francisco), along with open government advocates, students, and workers, have been trying to bring greater transparency and accountability to California’s public higher education institutions – University of California, California State University, and the state’s community college system.
Professor told to pay $40K to see records
Honolulu Star-Advertiser—June 12, 2011
Wanting to examine the University of Hawaii's spending on private law firms, accounting professor John Wendell asked to see three years of legal invoices. Wendell, a former New York government auditor, said he was shocked when the university told him how much he would have to pay to get the public records: nearly $40,000
Princeton University cited again for flaws in how it documents work with research animals
The Republic—June 12, 2011
For a second straight year, Princeton University has been cited for procedural violations in how it treats animals in its laboratories. But like last year, the problems cited by federal inspectors are mostly related to record keeping rather than care of the primates.
St. Louis University student information found discarded in alley
KSDK—June 13, 2011
St. Louis, MO (KSDK) - Documents with the personal information of dozens of former St. Louis University students were littered near a dumpster in a back alley.
Alabama A&M releases documents provided to SACS in inquiry
al.com—June 14, 2011
Alabama A&M University Monday released nearly 300 pages of documentation it has provided the Southern Association of Colleges and Schools, a regional accrediting agency that is reviewing A&M's policies and procedures. The 292 pages provided to The Times on Monday after two Open Records requests shed little light into the ongoing review.
Judge orders release of Pa. university foundation's donation records
Student Press Law Center—June 7, 2011
PENNSYLVANIA — A state court judge on Monday ordered the release of East Stroudsburg University Foundation's donation records, placing a hopeful capstone on a 2-year public records battle.
Judge reviews documents in researcher case
Estherville Daily News—June 15, 2011
A judge will review documents submitted by the University of Iowa in a public records lawsuit involving a former researcher who was on paid leave while he was investigated for child pornography.
KC man pleads guilty in hacking scheme
Kansas City Star—June 22, 2011
A Kansas City man pleaded guilty in federal court Wednesday to his role in an elaborate scheme to hack computers at the University of Central Missouri in Warrensburg.
Flood damages records on GVSU campus
WOOD-TV—June 22, 2011
Anthropology and business files were severely damaged by flood waters that invaded Lake Michigan Hall on GVSU's campus.
Leg & Reg
Legislative and Regulatory Affairs Affecting Records and Information Management
Federal
HIPAA Privacy Rule Accounting of Disclosures Under the Health Information Technology for Economic and Clinical Health Act—Notice of Proposed Rulemaking
The proposed rule would give people the right to get a report on who has electronically accessed their protected health information. Public comments will be accepted through August 2, 2011.
Family Educational Rights and Privacy—Notice of Proposed Rulemaking
The proposed rule would do several things to clarify the meaning of certain terms: add a definition of the term authorized representative, those persons to whom and institution can disclose PII without a student’s consent; modify the definition of directory information; and define the term education program. The changes would also allow educational institutions to take part in research studies without risking noncompliance with FERPA.
State of Ohio
Ohio Auditor Has Public Records Hotline
People with concerns about public records compliance can now call a hotline staffed by the Ohio Auditor at 1-888-877-7760.
House and Senate Bills
This bill would amend the public records laws to exclude the personal and familial information of a federal law enforcement officer from the definition of a public record. It would also allow a federal officer to authorized the redaction of their name from public records made available on the internet. The bill was introduced on January 19, 2011 and assigned to the Judiciary & Ethics Committee.
This bill would amend the public records laws to state that records of corporations or persons that enter into public-private partnership with a state agency will be considered public records. The bill was introduced on February 22, 2011 and assigned to the State Government & Elections Committee.
This bill would change period of limitations on actions upon a contract in writing from fifteen to six years. The bill was introduced on March 3, 2011 and passed through the House on June 23, 2011. It was sent to the Senate on June 24, 2011 and is being reviewed by the Judiciary Civil Justice Committee.
An Act was passed on April 5, 2011 to require performance audits of most state agencies, to loan funds to state agencies and local public offices to pay for performance audits, and to make an appropriation.
This bill would amend the public records laws to do several things: limit the forfeiture amount and attorney's fees a person may recover for the unlawful destruction or disposal of a record of a public office, to establish a four-year statute of limitations for the commencement of a civil action for injunctive relief or to recover a forfeiture for such unlawful conduct, to require one-half of all forfeiture amounts recovered to be paid to the state for use by the state archives, to revise the Ohio Historical Society's procedure for selecting records of historical value before political subdivisions dispose of them, to allow the Attorney General to offer programs regarding the records retention procedure, and to move the date for meetings of a county microfilming board. The bill was introduced on May 31, 2011 and assigned to the Judiciary Civil Justice Committee.
Public Records Cases
Rhodes v. New Philadelphia, Slip Opinion No. 2011-Ohio-3279
This case defined the term “aggrieved” as it applies to civil actions in records destruction cases. The court found that if the public office can show that the requester did not actually want the record, but merely brought suit to have the request denied that the requester was not “aggrieved.”
Decided July 7, 2011
State ex rel. Patton v. Rhodes, Slip Opinion No. 2011-Ohio-3093
This case determined that a public agency does not have an obligation to post public records on a website in response to a civil action.
Decided June 30, 2011
State ex rel. Striker v. Smith, Slip Opinion No. 2011-Ohio-2878
This case established that records in the possession of a judge are not accessible to the public until released by the judge.
Decided June 21, 2011
State ex rel. Am. Civ. Liberties Union of Ohio, Inc. v. Cuyahoga Cty. Bd. of Commrs.,
128 Ohio St.3d 256, 2011-Ohio-625
This case determined that Cuyahoga County’s TEC is not a “public body” according to ORC 121.22 and is therefore not obliged to release records to the public.
Decided February 16, 2011
State ex rel. DeGroot v. Tilsley, 128 Ohio St.3d 311, 2011-Ohio-231
This case determined that the home addresses of city retirees are not public records.
Decided January 26, 2011
Other Cases
State v. Everette, Slip Opinion No. 2011-Ohio-2856
This case determined that only the certified, written transcript of trial court proceedings constitutes a “transcript” under App.R. 9 and R.C. 2953.21(A)(2) when both a videotape recording and the written form of the proceedings are available.
Decided June 16, 2011
Ohio Budget Bill Amends Laws for Destroying Public Records
Ohio House Bill 153, the FY 2012 & 2013 budget bill, includes important changes in the public records laws. Signed by Governor Kasich on June 30, the bill makes changes to Ohio Revised Code 149.351, Prohibiting destruction or damage of records. It sets a cap for the forfeiture amount in a civil action regarding destruction of records at a maximum of $10,000. The fine remains $1,000 per each violation, but public entities will not have to pay out more than $10,000 as a result of a single civil action.
The bill also requires clear and convincing evidence that the person bringing the civil action was truly aggrieved by the destruction of public records. This is designed to prevent actions designed solely to demonstrate liability. In the case that an action is found to be brought solely to demonstrate liability, the court can award attorney fees to the defendant. Additionally, the law prevents any other person from receiving a forfeiture related to the same record violation.
The statute of limitations for civil actions of this kind has been set at five years after the day of the alleged violation.
The new laws stem from several Ohio public records cases in which mandamus cases were brought against public offices, but in which the requester did not truly want the records. In the cases, the records were requested simply to get a refusal and prompt a mandamus action. Chief among these is Rhodes vs. New Philadelphia, in which Mr. Rhodes requested dispatch tapes from the police department. The tapes were found to have been destroyed, but not pursuant to an approved records retention schedule. A recent decision against Rhodes can be found in Rhodes v. New Philadelphia, Slip Opinion No. 2011-Ohio-3279.
University Archives News
Gifts to the University Archives
Earl A. Shunk papers, 1914-1956
Accession No. UA-10-18
Books, correspondence, and miscellaneous items of a former UC student and Army veteran. Acquired by UC from Jan Holland who was executor of Shunk’s estate. Earl A. Shunk was a 1956 graduate of the University of Cincinnati with a degree in engineering. Shunk served in the 191st Chemical Depot Company during World War II, and then was offered a position with the Army Ballistic Missile Agency after his graduation from UC.
Arthur Hernden Papers, 1932-1929
Accession No. UA-11-02
This collection contains the personal papers and musical scores collected by tenor Arthur Herndon throughout his career as both a singer and conductor. The collection contains a number of works by composer Zenobia Powell Perry and other works that were in Herndon's repertoire as a singer and conductor. In addition to the musical scores, the collection also contains papers from Herndon's graduate studies at CCM, his teaching at Talladega College and papers from his membership and work with Mt. Calvary Methodist Church.
Van Meter Ames Papers
Accession No. UA-11-09
This collection documents the relationship between University of Cincinnati philosophy professor Van Meter Ames and prolific 20th Century composer John Cage. A friend and fan of Cage, Ames drafted a manuscript, involving aspects of both Cage's life and his own, that never received publication but is available in this collection. The collection also contains correspondence between Cage and Ames, newspaper clippings and programs of Cage's accomplishments/works, and some of Cage's creative writing.
Sending Records to the University Archives
Summer is always a good time to clean out your records—a new fiscal year begins in July and fewer students *might* mean more time for other things. Cleaning out your records means clearing space for those new records that will surely be created during the fall quarter.
If you are sending records to the Archives, there are some simple steps that you’ll want to follow to streamline the transfer.
1. Make sure that your records retention schedule specifies “Archives” in the disposition column. We cannot accept records that are scheduled to be destroyed or discarded. If you are unsure where the records fit in your schedule, call Janice for advice.
2. Box the records in standard record-sized cartons (approx. 13 x 10.5 x 15.5). Archival cartons are preferred. Please remove papers from hanging folders.
3. Complete a Certificate of Records Disposal
4. Contact Grounds and Moving to have the records delivered to the Archives, 8th floor, Blegen Library.
We’ll take it from there. Archives staff will assign a unique number to the collection, prepare a folder-by-folder inventory, and supply you with a copy of the inventory for future reference. If you need to retrieve the records later, simply call the Archives and give us the collection number and boxes that you need.
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/