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The Ohio Public Records Act KSU Administrative Policy 3342-5-15.1

The Ohio Public Records Act KSU Administrative Policy 3342-5-15.1. Presented by James R. Watson, Esq. Associate University Counsel Kent State University. The Ohio Public Records Act. Along with the Open Meetings law referred to as “Sunshine Laws”

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The Ohio Public Records Act KSU Administrative Policy 3342-5-15.1

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  1. The Ohio Public Records ActKSU Administrative Policy 3342-5-15.1 Presented by James R. Watson, Esq. Associate University Counsel Kent State University Presentation Prepared by the Office of University Counsel for Educational Use, 2008

  2. The Ohio Public Records Act • Along with the Open Meetings law referred to as “Sunshine Laws” • governed by Ohio Revised Code Chapter 149.43 • applies to state offices such as Kent State University • Amended by Substitute House Bill 9 Presentation Prepared by the Office of University Counsel for Educational Use, 2008

  3. 3342-5-15.1 Administrative policy regarding public records. • Based on the Model Policy created by the Ohio Attorney General’s office under Substitute House Bill 9 • Created under the authority of 3342-5-15, University policy regarding records retention • http://www.kent.edu/policyreg/chap5/5-15-1.cfm • It is the policy of Kent State University to adhere to the state’s Public Records Act. Presentation Prepared by the Office of University Counsel for Educational Use, 2008

  4. Policy 3342-5-15.1 (A) Purpose It is the policy of Kent State University that openness leads to better informed citizenry, which leads to better government and better public policy. Presentation Prepared by the Office of University Counsel for Educational Use, 2008

  5. Policy 3342-5-15.1 (B) Definitions Record. • contains information stored on a fixed medium (paper, computer, film, e-mail, etc.); • is created, received, or sent under the jurisdiction of the university; • documents the organization, functions, policies, decisions, procedures, operations, or other activities of the university; and • exists at the time of the request. Presentation Prepared by the Office of University Counsel for Educational Use, 2008

  6. Policy 3342-5-15.1 (B) Definitions (2)Requestor. Any person who wishes to make a request to inspect or receive copies of records. A requestor does not have to provide his or her identity or the intended use of the requested record. (3) Request. Although no specific language is required to make a request, the requester must at least identify the records requested with sufficient clarity to allow the university to identify, retrieve, and review the records. The requester does not have to put a records request in writing but it is helpful to the university to know what records are being sought. (4) Exemption. Social security numbers and personal bank routing information are exempted from disclosure when responding to public record requests. All other exemptions to disclosure are to be construed in their narrowest sense. Presentation Prepared by the Office of University Counsel for Educational Use, 2008

  7. Policy 3342-5-15.1 (B)(4) Exemption.Examples of Specific Exemptions • FERPA- protected student records • HIPAA- protected medical records • peace officer, firefighter, or EMT residential information • Ongoing investigation records • security and infrastructure records • “expressed exceptions,” including: Job and Family Services records; Intellectual Property records; • “catch-all exceptions,” including: Attorney Client Privilege; medical board; child abuse; student education; “personal notes”, “drafts”, witness or “included parties” identification. Presentation Prepared by the Office of University Counsel for Educational Use, 2008

  8. REDACTION • University Counsel reviews every document and redacts exempted information prior to release. • Redactions don’t apply to documents that have been demanded by subpoena Presentation Prepared by the Office of University Counsel for Educational Use, 2008

  9. Policy 3342-5-15.1 (B)(4) Exemption.Attorney-Client Privilege • The right of the University to refuse to disclose confidential communication with its lawyers. • Fundamental to preserve the constitutionally-based right to effective assistance of legal counsel, in that lawyers cannot function effectively on behalf of their clients without the ability to communicate with them in confidence. • Source: American Bar Association http://www.abanet.org/media/issues/acprivilegeqa.html Presentation Prepared by the Office of University Counsel for Educational Use, 2008

  10. Policy 3342-5-15.1 (C) Scope • All records of Kent state university are public unless they are specifically exempt from disclosure under the Ohio Revised Code or federal law. Presentation Prepared by the Office of University Counsel for Educational Use, 2008

  11. Policy 3342-5-15.1 (C) ScopeAll records of KSU are public unless specifically exempt Rule of Thumb: Assume everything you send, receive, and create for the University is a public record. Presentation Prepared by the Office of University Counsel for Educational Use, 2008

  12. Policy 3342-5-15.1Examples of Public Records • A Tenure Review File after the review is completed • Ongoing Personnel Files (personally identifiable information is redacted) • Student directory information • Bids and Final Contracts • An e-mail about an employee discipline issue sent to your gmail account Presentation Prepared by the Office of University Counsel for Educational Use, 2008

  13. Policy 3342-5-15.1 (D) Implementation (1) Record maintenance. As required by Ohio law, records will be organized and maintained as much as is practicable so that they are readily available for inspection and copying. Maintenance standards for e-mail are specifically provided for in (D)(5) of this policy. Presentation Prepared by the Office of University Counsel for Educational Use, 2008

  14. Policy 3342-5-15.1 (D) (1)Record Retention • The university’s record retention schedules pursuant to policy 3342-5-15 are available online. • http://www.kent.edu/policyreg/chap5/upload/3342.5.15.pdf • From University Policy 3342-5-15: • “(C) Responsibility for adhering to the policies and procedures regarding records shall reside with the head of the respective unit where the records are maintained.” Presentation Prepared by the Office of University Counsel for Educational Use, 2008

  15. Policy 3342-5-15.1 (D) (1)Record Retention Schedules • Online and searchable athttp://www.kent.edu/universitycounsel/RecordsRetention/Welcome.cfm • The custodian of a document that must be disposed of by “destroying” has to fill out a document destruction form. Presentation Prepared by the Office of University Counsel for Educational Use, 2008

  16. Policy 3342-5-15.1 (D) (1)Record Destruction Form http://www.kent.edu/universitycounsel/upload/RecordDestructionForm.pdf Presentation Prepared by the Office of University Counsel for Educational Use, 2008

  17. Policy 3342-5-15.1 (D) Implementation (2) Public record requests. • All public records requests for Kent state university shall be directed to the office of university counsel. Call us at 330-672-2982 E-mail us at jwatson1@kent.edu Send written requests to us via scan and email, fax (330-672-7821) or campus mail Presentation Prepared by the Office of University Counsel for Educational Use, 2008

  18. Pursuant to KSU Administrative Policy… Forward ALL record requests to University Counsel for review and response. Presentation Prepared by the Office of University Counsel for Educational Use, 2008

  19. Policy 3342-5-15.1 (D)(2)(b) Evaluating Record Requests (i) If it is not clear what records are being sought, and if the requestor has provided contact information, the office of university counsel must contact the requester for clarification, and should assist the requestor in revising the request by informing the requestor of the manner in which the university keeps its records. (ii) Each request should be evaluated for an estimated length of time required to gather the records. Routine requests for records should be satisfied as soon as feasible. (iii) If the responsive records are readily available in an electronic format that can be e-mailed or downloaded easily, responses should be made as quickly as the equipment allows. (iv) Any denial of records in response to a valid request must be accompanied by an explanation, including statutory legal authority, as outlined in the Ohio Revised Code. If the request is in writing, the explanation must also be in writing. Presentation Prepared by the Office of University Counsel for Educational Use, 2008

  20. Policy 3342-5-15.1 (D)(2)(c)&(d) Availability of Public Records (c) Public records are to be available for inspection during regular business hours, with the exception of university holidays. • Public records must be made available for inspection promptly and copies of public records must be made available within a reasonable period of time. Always consult with University Counsel Presentation Prepared by the Office of University Counsel for Educational Use, 2008

  21. Policy 3342-5-15.1 (D)(2)(f)Denial of Public Records Any denial of public records requested [from University Counsel] must include an explanation, including statutory legal authority. If portions of a record are public and portions are exempt, the exempt portions are to be redacted and the rest released. If there are redactions, each redaction must be accompanied by a supporting explanation, including statutory legal authority. Presentation Prepared by the Office of University Counsel for Educational Use, 2008

  22. Policy 3342-5-15.1 (D)(3)Cost for Public Records Those seeking public records will be charged only the actual cost of making copies: (a) The charge for paper copies is 10 cents per page.* (b) The charge for downloaded computer files to a compact disc is $1 per disc. (c) There is no charge for documents e-mailed. (d) The actual charge for copy services or mediums – including but not limited to maps, color copies, hard drives, and audiotapes – will be charged to the requestor. * The first set isn’t counted if a second set is made after redacting. Presentation Prepared by the Office of University Counsel for Educational Use, 2008

  23. Policy 3342-5-15.1 (D)(4)Delivery • Requesters may ask that documents be mailed or shipped to them. • They will be charged the actual cost of the postage and mailing supplies. Presentation Prepared by the Office of University Counsel for Educational Use, 2008

  24. Policy 3342-5-15.1 (D)(5)E-Mail Documents in electronic mail format are records as defined by the Ohio Revised Code when their content relates to the business of the university. E-mail is to be treated in the same manner as records in other formats and should follow the same retention schedules as provided for in (D)(1) of this policy. Presentation Prepared by the Office of University Counsel for Educational Use, 2008

  25. Policy 3342-5-15.1 (D)(5)Private E-Mail Accounts (a) Records in private e-mail accounts used to conduct university business are subject to disclosure, and all employees or representatives of the university are instructed to retain e-mails that relate to university business (See (B)(1)) and make them available in response to requests. (b) The records custodian is to treat the e-mails from private accounts as records of the university, filing them in the appropriate way, retaining them per established schedules and making them available for inspection and copying in accordance with the Public Records Act. Presentation Prepared by the Office of University Counsel for Educational Use, 2008

  26. Policy 3342-5-15.1 (D)(5)Private E-Mail Accounts Rule of Thumb: Don’t do University business on private e-mail accounts! Presentation Prepared by the Office of University Counsel for Educational Use, 2008

  27. Policy 3342-5-15.1 (E)Failure to respond to a public records request. (1) Kent state university recognizes the legal and non-legal consequences of failure to properly respond to a public records request. In addition to the distrust in government that failure to comply may cause, the university’s failure to comply with a request may result in a court ordering the university to comply with the law and to pay the requester attorney’s fees and damages. Presentation Prepared by the Office of University Counsel for Educational Use, 2008

  28. Your Responsibilities • What to do when you receive a public records request for University records? • Forward the request to the Office of University Counsel to be reviewed. • Make the records requested available to the Office of University Counsel to be reviewed and redacted if necessary. • The Office of University Counsel will contact and make the records available to the requestor, directly or through the custodian’s office. Presentation Prepared by the Office of University Counsel for Educational Use, 2008

  29. Subpoenas

  30. If you receive one of these… IN ANY COURT OF ANY KIND * * * * * ANY KIND OF SUBPOENA * * * * * JOHN DOE : PLAINTIFF : Case No.: 2008 OH 01234 VS : JOHN Q. PUBLIC : JUDGE: I. MEENBISNIS DEFENDANT : TO: KENT STATE UNIVERSITY (Name) P.O. BOX 5190 (Address) KENT, OH 44242 (City-State-Zip) YOU ARE HEREBY COMMANDED TO: PRODUCE STUFF Presentation Prepared by the Office of University Counsel for Educational Use, 2008

  31. …forward it to University Counsel. We will review and get back to you with instructions as soon as possible. Presentation Prepared by the Office of University Counsel for Educational Use, 2008

  32. The Open Meetings Act Presentation Prepared by the Office of University Counsel for Educational Use, 2008

  33. What is an open meeting? An open meeting under Ohio law is: (1) a prearranged gathering (2) of a majority of the public body (3) to conduct or discuss public business. The ONLY University public body and therefore the only body subject to the open meetings law is the Kent State University Board of Trustees Presentation Prepared by the Office of University Counsel for Educational Use, 2008

  34. Records and ArchivingSpecial Collections and Archives Stephen H. Paschen, University Archivist 330-672-1639 spaschen@kent.edu • Administration of University Archives. • Appraisal • Acquisition • Processing • Preservation • Access. Presentation Prepared by the Office of University Counsel for Educational Use, 2008

  35. Records and ArchivingSpecial Collections and Archives • Not a records center. • Special Collections and Archives holdings are for permanent retention. • We do not arrange for temporary storage or disposal. • Historically important records. • Generally not interested in artifacts. Presentation Prepared by the Office of University Counsel for Educational Use, 2008

  36. Records and ArchivingSpecial Collections and Archives • University Archivist – assists with: • Backlogs of records in offices. • Offices with matters of records disposition. • Coordinated efforts across campuses. Presentation Prepared by the Office of University Counsel for Educational Use, 2008

  37. Records and ArchivingSpecial Collections and Archives • Records Advisory Committee. • Surveys records practices. • Reviews IUC retention schedules. • Communicates best practices. • Consultation and collaboration. • Identifies contacts in offices. • Considers electronic records issues. Presentation Prepared by the Office of University Counsel for Educational Use, 2008

  38. Records and ArchivingSpecial Collections and Archives • When to consult the University Archivist. • Retention schedule questions. • Historically important materials. • Questions regarding records destruction. • Before shipping records to the archives. • Preservation and conservation issues. • Reference questions regarding the University’s history. Presentation Prepared by the Office of University Counsel for Educational Use, 2008

  39. Records and ArchivingSpecial Collections and Archives Stephen H. Paschen University Archivist 330-672-1639 spaschen@kent.edu Presentation Prepared by the Office of University Counsel for Educational Use, 2008

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