Ohio Attorney General's 2013 Sunshine Laws Manual

OhioSunshineLaws2013
DearOhioans, MynumberonepriorityasAttorneyGeneralistoprotectOhiofamilies.Myofficedoesthis inavarietyofways.Onewayismakingsurethepublichasaccesstoinformation.Myoffice fosters a spirit of open government by promoting Ohios Public Records Law and Open MeetingsLaw.Together,theselawsareknownasOhioSunshineLawsandareamongthe mostcomprehensiveopengovernmentlawsinthenation. Alongwiththis2013OhioSunshineLawsManual,ourofficeandtheOhioAuditorofStates office provide Ohio Sunshine Laws training for elected officials throughout the state, as mandated by Ohio Revised Code Sections 109.43 and 149.43(E)(1). By providing elected officials and other public employees with information concerning public records and compliance, we help ensure accountability and transparency in the conduct of public business. Any citizen is welcome to attend these trainings and benefit from the same knowledge. TheAttorneyGeneralsOfficeanditsPublicRecordsUnitstandasoneofthestatesforemost authoritiesonpublicrecordsandopenmeetingslaw.Theofficeprovidestraining,guidance, andonlineresources.Additionally,theAttorneyGeneralhascreatedamodelpublicrecords policy. Local governments and institutions can use this model as a guide for creating their own public records policies. This model policy and other online resources are available at www.OhioAttorneyGeneral.gov/Sunshine. Thismanualisintendedasaguide,butbecausemuchofopengovernmentlawcomesfrom interpretationoftheOhioSunshineLawsbythecourts,weencouragelocalgovernmentsto seekguidancefromtheirlegalcounselwhenspecificquestionsarise. ThankyouforyourpartinpromotingopengovernmentinOhio. Veryrespectfullyyours,
MikeDeWine AttorneyGeneral
OhioAttorneyGeneralMikeDeWineOhioSunshineLaws2013:AnOpenGovernmentResourceManual
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Readersmayfindthelatesteditionofthispublicationandthemostupdatedopenmeetingsandpublic recordslawsbyvisitingthefollowingwebsites.Torequestadditionalpapercopiesofthispublication, contact: OhioAttorneyGeneral PublicRecordsUnit Re:SunshineManualRequest 30E.BroadSt.,16thFloor Columbus,Ohio43215 (800)2820515or(614)4662872 www.OhioAttorneyGeneral.gov/Sunshine or OhioAuditorofState OpenGovernmentUnit LegalDivision 88E.BroadSt.,9thFloor Columbus,Ohio43215 (800)2820370or(614)4664514 www.OhioAuditor.gov Wewelcomeyourcommentsandsuggestions.
Acknowledgments
Warm thanks to employees of the Ohio Attorney General whose contributions have made this publicationpossibleovertheyears,withspecialrecognitiontothoseauthorsandeditorsofthisedition: AttorneyGeneralsOfficePublicRecordsUnit: AssistantAttorneysGeneral: ErinButcherLyden,JefferyW.Clark,DarleneFawkesPettit,LaurenLubow,SarahPierce, DamianW.Sikora,andRenataY.Staff AdministrativeStaff: KristenMontgomery,BrittnieReed,andPariSwift
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Over200YearsofSunshine: ReflectionsonOpenGovernment

OhioSupremeCourtJusticeCharlesZimmerman:
TheruleinOhioisthatpublicrecordsarethepeoplesrecords,andthattheofficialsin whosecustodytheyhappentobearemerelytrusteesforthepeople;thereforeanyone mayinspectsuchrecordsatanytime,subjectonlytothelimitationthatsuchinspection does not endanger the safety of the record, or unreasonably interfere with the discharge of the duties of the officer having custody of the same. Patterson v. Ayers, 171OhioSt.369(1960). ThomasJefferson: Informationisthecurrencyofdemocracy.
PatrickHenry:
Thelibertiesofapeopleneverwere,noreverwillbe,secure,whenthetransactionsof their rulers may be concealed from them . . . To cover with the veil of secrecy the commonroutineofbusiness,isanabominationintheeyesofeveryintelligentman. JamesMadison: Apopulargovernmentwithoutpopularinformation,orthemeansofacquiringit,isbut a prologue to a farce or a tragedy, or perhaps both. Knowledge will forever govern ignorance, and a people who mean to be their own governors must arm themselves withthepowerwhichknowledgegives. JohnAdams: Libertycannotbepreservedwithoutageneralknowledgeamongthepeople,whohave arightandadesiretoknow;butbesidesthis,theyhavearight,anindisputable,divine righttothatmostdreadedandenviedkindofknowledge,Imeanofthecharactersand conductoftheirrulers
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Glossary
WhenlearningabouttheOhioSunshineLaws,youmayconfrontsomelegaltermsthatareunfamiliarto you.Belowarethemorecommontermsusedinthishandbook.
Charter
Acharterisaninstrumentestablishedbythecitizensofamunicipality,whichisroughlyanalogoustoa statesconstitution.Acharteroutlinescertainrights,responsibilities,liberties,orpowersthatexistin themunicipality. Discovery Discoveryisapretrialpracticebywhichpartiestoalawsuitdisclosetoeachotherdocumentsandother information in an effort to avoid any surprises at trial. The practice serves the dual purpose of permitting parties to be wellprepared for trial and enabling them to evaluate the strengths and weaknessesoftheircase. Incamera Incamerameansinchambers.Ajudgewilloftenreviewrecordsthatareatissueinapublicrecords disputeincameratoevaluatewhethertheyaresubjecttoanyexceptionsordefensesthatmayprevent disclosure. Injunction An injunction is a court order commanding that a person act or cease to act in a certain way. For instance,apersonwhobelievesapublicbodyhasviolatedtheOpenMeetingsActwillfileacomplaint seeking injunctive relief. The court may then issue an order enjoining the public body from further violationsoftheactandrequiringittocorrectanydamagecausedbypastviolations. Litigation The term litigation refers to the process of carrying on a lawsuit, i.e., a legal action and all the proceedingsassociatedwithit.
Mandamus
Thetermmeansliterallywecommand.Inthisareaoflaw,itreferstothelegalactionthatapartyfiles when they believe they have been wrongfully denied access to public records. The full name of the actionisapetitionforawritofmandamus.Ifthepartyfilingtheaction,orrelator,prevails,thecourt will issue a writ commanding the public office or person responsible for the public records, or respondent,tocorrectlyperformadutythathasbeenviolated.
Prose
Thetermmeansforoneself,andisusedtorefertopeoplewhorepresentthemselvesincourt,acting astheirownlegalcounsel.
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TABLEOFCONTENTS
Glossary.........................................................................................................................................................v OverviewoftheOhioPublicRecordsAct.....................................................................................................1 I. ChapterOne:PublicRecordsDefined..................................................................................2 A. WhatisaPublicOffice?...............................................................................................................2 1. StatutoryDefinitionR.C.149.011(A)......................................................................................2 2. PrivateEntitiescanbePublicOffices.....................................................................................3 3. QuasiAgencyAPrivateEntity,EvenifnotaPublicOffice,canbe APersonResponsibleforPublicRecords...............................................................................3 4. PublicOfficeisResponsibleforitsOwnRecords......................................................................4 B. WhatareRecords? ......................................................................................................................4 . 1. StatutoryDefinitionR.C.149.011(G)......................................................................................4 2. RecordsandNonRecords.........................................................................................................4 3. TheEffectofActualUse.........................................................................................................6 4. IsthisItemaRecord?SomeCommonApplications...........................................................6 a. Email..................................................................................................................................6 b. Notes...................................................................................................................................7 c. Drafts..................................................................................................................................7 d. ComputerizedDatabaseContents......................................................................................8 C. WhatisaPublicRecord?.............................................................................................................8 1. StatutoryDefinitionR.C.149.43(A)(1):Publicrecordmeansrecords keptbyanypublicoffice...........................................................................................................8 . 2. WhatKeptByMeans .............................................................................................................8 D. Exceptions .......................................................................................................................................9 . ChapterTwo:RequestingPublicRecords........................................................................10 A. RightsandObligationsofPublicRecordsRequestersandPublicOffices...................................10 1. OrganizationandMaintenanceofPublicRecords..................................................................10 2. AnyPersonMayMakeaRequest........................................................................................11 3. TheRequestMustbeforthePublicOfficesExistingRecords................................................11 4. A Request Must be Specific Enough for the Public Office to Reasonably IdentifyResponsiveRecords...................................................................................................11 Chart:WhatisanAmbiguousorOverlyBroadRequest?.......................................................12 5. Denying,andthenClarifying,anAmbiguousorOverlyBroadRequest..................................13 6. UnlessaSpecificLawProvidesOtherwise,RequestscanbeforanyPurpose, andNeedNotIdentifytheRequesterorbeMadeinWriting.................................................13 7. OptionalNegotiationWhenIdentity,Purpose,orRequestinWritingWould AssistIdentifying,Locating,orDeliveringRequestedRecords...............................................13 8. RequesterChoicesofMediaonWhichCopiesareMade.......................................................14 9. RequesterChoicesofPickup,Delivery,orTransmissionofCopies; DeliveryCosts..........................................................................................................................14 10. PromptInspection,orCopiesWithinaReasonablePeriodofTime.......................................14 11. InspectionatNoCostDuringRegularBusinessHours............................................................16 12. Copies,andDeliveryorTransmission,AtCost ....................................................................16 . 13. WhatResponsiveDocumentscanthePublicOfficeWithhold?.............................................17 a. DutytoWithholdCertainRecords....................................................................................17 b. OptiontoWithholdorReleaseCertainRecords...............................................................17 c. NoDutytoReleaseNonRecords.....................................................................................17 14. DenialofaRequest,Redaction,andaPublicOfficesDutiesofNotice..................................18 a. RedactionStatutoryDefinition......................................................................................18
II.
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b. Requirement to Notify of and Explain Redactions and Withholding of Records.............................................................................................................................18 c. NoObligationtoRespondtoDuplicateRequest..............................................................18 d. NoWaiverofUnasserted,ApplicableExceptions.............................................................19 15. BurdenorExpenseofCompliance..........................................................................................19 B. StatutesthatModifyGeneralRightsandDuties.........................................................................19 1. ParticularRecords...................................................................................................................19 2. ParticularPublicOffices..........................................................................................................20 3. ParticularRequestersorPurposes..........................................................................................20 4. ModifiedRecordsAccessforCertainRequesters...................................................................21 a. PrisonInmates..................................................................................................................21 b. CommercialRequesters....................................................................................................21 c. Journalists.........................................................................................................................22 Chart:JournalistRequests................................................................................................23 5. ModifiedAccesstoCertainPublicOfficesRecords................................................................24 a. BulkCommercialRequestsfromOhioBureauofMotorVehicles....................................24 b. CopiesofCoronersRecords.............................................................................................24 C. GoingAboveandBeyond,Negotiation,andMediation..........................................................25 1. ThinkOutsidetheBoxGoAboveandBeyondYourDuties..................................................25 2. HowtoFindaWinWinSolution:Negotiate..........................................................................25 3. HowtoFindaWinWinSolution:Mediate............................................................................25
III.Chapter Three: Exceptions to the Required Release of Public Records.............................................................................................................................................26

A. CategoriesofExceptions...............................................................................................................26 1. MustNotRelease.................................................................................................................26 2. MayRelease,ButMayChoosetoWithhold........................................................................26 B. MultipleandMixedExceptions....................................................................................................26 C. WaiverofanException.................................................................................................................27 D. ApplyingExceptions......................................................................................................................27 E. ExceptionsEnumeratedinthePublicRecordsAct......................................................................28 . F. ExceptionsAffectingPersonalPrivacy .........................................................................................32 1. ConstitutionalRighttoPrivacy................................................................................................32 2. PersonalInformationListedOnline ........................................................................................34 . G. ExceptionsCreatedbyOtherLaws(byTopic)..............................................................................35 1. AttorneyClientPrivilege,Discovery,andOtherLitigationItems...........................................35 a. AttorneyClientPrivilege...................................................................................................35 b. CriminalDiscovery............................................................................................................35 c. CivilDiscovery...................................................................................................................36 d. ProsecutorandGovernmentAttorneyFiles(TrialPreparationand WorkProduct)...................................................................................................................36 e. SettlementAgreementsandOtherContracts..................................................................37 2. IncomeTaxReturns.................................................................................................................37 3. TradeSecrets...........................................................................................................................38 4. JuvenileRecords......................................................................................................................39 5. SocialSecurityNumbers..........................................................................................................40 6. StudentRecords......................................................................................................................41 7. InfrastructureandSecurityRecords .......................................................................................42 . a. InfrastructureRecords......................................................................................................42 b. SecurityRecords...............................................................................................................42 8. ContractualConfidentiality.....................................................................................................42 9. ProtectiveOrdersandSealed/ExpungedCourtRecords........................................................43 10. GrandJuryRecords .................................................................................................................43 . 11. Copyright.................................................................................................................................43 12. EMSRunSheets.......................................................................................................................44 13. CountyChildrenServicesAgencyRecords..............................................................................44
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14. FOIADoesNotApplytoOhioPublicOffices...........................................................................44 15. DriversPrivacyProtection......................................................................................................44 IV.ChapterFour:EnforcementandLiabilities......................................................................45 A. PublicRecordsActStatutoryRemedies.......................................................................................45 1. Parties......................................................................................................................................45 2. WheretoFile...........................................................................................................................45 3. WhentoFile............................................................................................................................45 4. RequirementstoPrevail..........................................................................................................46 B. LiabilitiesofthePublicOfficeunderthePublicRecordsAct.......................................................46 1. AttorneyFees..........................................................................................................................47 2. AmountofFees.......................................................................................................................47 3. StatutoryDamages..................................................................................................................47 4. RequirementofPublicBenefit................................................................................................48 5. RecoveryofDeletedEmailRecords.......................................................................................48 6. ReductionofAttorneyFeesandStatutoryDamages..............................................................49 C. LiabilitiesApplicabletoEitherParty ............................................................................................49 . 1. FrivolousConduct....................................................................................................................49 2. CivilRule11.............................................................................................................................49 V. ChapterFive:OtherObligationsofaPublicOffice......................................................50 A. RecordsManagement...................................................................................................................50 1. RecordsManagementPrograms.............................................................................................51 a. LocalGovernmentRecordsCommissions ........................................................................51 . b. StateRecordsProgram.....................................................................................................51 c. RecordsProgramforStatesupportedCollegesandUniversities....................................52 2. RecordsRetentionandDisposition.........................................................................................52 a. RetentionSchedules.........................................................................................................52 b. TransientRecords.............................................................................................................52 c. RecordsDisposition..........................................................................................................53 3. LiabilityforUnauthorizedDestruction,Damage,orDisposalofRecords...............................53 a. InjunctionandCivilForfeiture..........................................................................................53 b. Limits on Filing Action for Unauthorized Destruction, Damage, orDisposal........................................................................................................................53 c. AttorneyFees....................................................................................................................54 4. AvailabilityofRecordsRetentionSchedules...........................................................................54 B. RecordsManagementPracticalPointers..................................................................................54 1. Fundamentals..........................................................................................................................54 2. ManagingRecordsinFiveEasySteps:.....................................................................................55 a. ConductaRecordsInventory............................................................................................55 b. CategorizeRecordsbyRecordSeries ...............................................................................55 . c. DecideHowLongtoKeepEachRecordSeries.................................................................55 d. DisposeofRecordsonSchedule.......................................................................................55 e. Review Schedules Regularly and Revise, Delete, or Create New SchedulesastheLawandtheOfficesOperationsChange..............................................56 C. HelpfulResourcesforLocalGovernmentOffices........................................................................56 D. HelpfulResourcesforStateGovernmentOffices........................................................................56 1. OhioDepartmentofAdministrativeServicesRecordsManagementProgram......................56 2. TheOhioHistoricalSociety,StateArchives ............................................................................57 . E. HelpfulResourcesforAllGovernmentOffices.............................................................................57 F. PublicRecordsPolicy ....................................................................................................................57 . G. RequiredPublicRecordsTrainingforElectedOfficials................................................................58
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VI.ChapterSix:SpecialTopics.....................................................................................................59
A. CLEIRs:ConfidentialLawEnforcementInvestigatoryRecordsException..................................59 1. CLEIRsDefined.........................................................................................................................59 2. DeterminingWhethertheCLEIRsExceptionApplies..............................................................59 B. EmploymentRecords....................................................................................................................65 1. NonRecords............................................................................................................................65 2. NamesandDatesofBirthofPublicOfficialsandEmployees.................................................65 3. ResumesandApplicationMaterials........................................................................................66 4. BackgroundInvestigations......................................................................................................66 5. EvaluationsandDisciplinaryRecords......................................................................................67 6. EmployeeAssistanceProgram(EAP)Records.........................................................................67 7. PhysicalFitness,Psychiatric,andPolygraphExaminations.....................................................67 8. MedicalRecords......................................................................................................................68 9. SchoolRecords........................................................................................................................68 10. SocialSecurityNumbersandTaxpayerRecords.....................................................................68 11. ResidentialandFamilialInformationofListedSafetyOfficers...............................................69 12. BargainingAgreementProvisions...........................................................................................69 13. StatutesSpecifictoaParticularAgencysEmployees.............................................................69 Chart:PersonnelFiles.............................................................................................................70 C. Residential and Familial Information of Covered Professions that are not PublicRecords...............................................................................................................................71 Chart:InformationthatisnotPublicRecord................................................................................71 D. CourtRecords................................................................................................................................72 1. CourtsSupervisoryPowerovertheirOwnRecords...............................................................72 2. RulesofCourtProcedure........................................................................................................73 3. SealingStatutes.......................................................................................................................73 4. NonRecords............................................................................................................................73 5. GeneralCourtRecordsRetention...........................................................................................74 E. HIPAA&HITECH............................................................................................................................75 1. HIPAADefinitions....................................................................................................................75 2. HIPAADoesNotApplyWhereOhioPublicRecordsActRequiresRelease.............................76 F. OhioPersonalInformationSystemsAct ......................................................................................76 . OverviewoftheOhioOpenMeetingsAct..................................................................................................79 I. ChapterOne:PublicBodyandMeetingDefined.................................................80 A. PublicBody ................................................................................................................................80 . 1. StatutoryDefinitionR.C.121.22(B)(1)..................................................................................80 2. IdentifyingPublicBodies.........................................................................................................80 3. Closeup:ApplyingtheDefinitionofPublicBody...............................................................81 4. WhentheOpenMeetingsActAppliestoPrivateBodies........................................................82 B. EntitiestoWhichtheOpenMeetingsActdoesnotApply..........................................................82 1. PublicBodies/OfficialsthatareNEVERSubjecttotheOpenMeetingsAct............................82 2. PublicBodiesthatareSOMETIMESSubjecttotheOpenMeetingsAct.................................83 a. PublicBodiesMeetingforParticularPurposes.................................................................83 b. PublicBodiesHandlingParticularBusiness......................................................................83 C. Meeting......................................................................................................................................84 1. Definition.................................................................................................................................84 a. Prearranged......................................................................................................................84 b. MajorityofMembers........................................................................................................84 1) AttendinginPerson....................................................................................................84 2) RoundrobinorSerialMeetings..............................................................................85 c. DiscussingPublicBusiness................................................................................................85 2. Closeup:ApplyingtheDefinitionofMeeting.....................................................................86 a. WorkSessions...................................................................................................................86
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II.
b. QuasijudicialProceedings................................................................................................86 c. CountyPoliticalPartyCentralCommittees......................................................................87 d. CollectiveBargaining ........................................................................................................87 . ChapterTwo:DutiesofaPublicBody...............................................................................88
A. Openness.......................................................................................................................................88 1. WhereMeetingsMaybeHeld................................................................................................88 2. MethodofVoting....................................................................................................................88 3. RighttoHear,butNottobeHeardortoDisrupt ...................................................................88 . 4. AudioandVideoRecording.....................................................................................................89 5. ExecutiveSessions...................................................................................................................89 B. Notice ............................................................................................................................................89 . 1. TypesofMeetingsandNoticeRequirements.........................................................................89 a. RegularMeetings..............................................................................................................89 b. SpecialMeetings...............................................................................................................89 2. RulesRequirement..................................................................................................................90 3. NoticebyPublication..............................................................................................................90 C. Minutes..........................................................................................................................................91 1. ContentofMinutes.................................................................................................................91 2. MakingMinutesAvailable.......................................................................................................91 3. MediumonWhichMinutesareKept......................................................................................91 D. ModifiedDutiesofPublicBodiesUnderSpecialCircumstances.................................................92 1. DeclaredEmergency................................................................................................................92 2. MunicipalCharters..................................................................................................................92 III.ChapterThree:ExecutiveSession........................................................................................93 A. GeneralPrinciples.........................................................................................................................93 B. PermissibleDiscussionTopicsinExecutiveSession.....................................................................94 1. CertainPersonnelMatters......................................................................................................94 2. PurchaseorSaleofProperty...................................................................................................95 3. PendingorImminentCourtAction.........................................................................................95 4. CollectiveBargainingMatters.................................................................................................95 5. MattersRequiredtobeKeptConfidential..............................................................................95 6. SecurityMatters......................................................................................................................95 7. HospitalTradeSecrets.............................................................................................................96 8. VeteransServiceCommissionApplications............................................................................96 C. ProperProceduresforExecutiveSession.....................................................................................96 1. TheMotion..............................................................................................................................96 2. TheRollCallVote.....................................................................................................................96
IV.ChapterFour:Enforcement&Remedies..........................................................................98
A. Enforcement..................................................................................................................................98 1. Injunction................................................................................................................................98 a. WhoMayFile....................................................................................................................98 b. WheretoFile....................................................................................................................98 c. FindingaViolation............................................................................................................98 d. CuringaViolation .............................................................................................................99 . 2. Mandamus...............................................................................................................................99 3. QuoWarranto.........................................................................................................................99 B. Remedies.......................................................................................................................................99 1. Invalidity..................................................................................................................................99 a. FormalAction....................................................................................................................99 b. ImproperNotice .............................................................................................................100 . c. Minutes...........................................................................................................................100
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2. MandatoryCivilForfeiture....................................................................................................100 3. CourtCostsandAttorneyFees..............................................................................................100
Appendices
A. B. C. D. Statutes.............................................................................................................................A1A56 StatutoryExceptions......................................................................................................... 1B19 B
Availableonlineatwww.OhioAttorneyGeneral.gov/Sunshine
OhioAttorneyGeneralOpinions:PublicRecordsAct.....................................................C1C16
OhioAttorneyGeneralOpinions:OpenMeetingsAct....................................................D1D7
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TheOhioPublicRecordsAct
OverviewoftheOhioPublicRecordsAct
Ohiolawhaslongprovidedforpublicscrutinyofstateandlocalgovernmentrecords.1 Ohios Public Records Act details how to request public records. The Act also excludes some records from disclosure and enforces production when an office denies a proper public records request. The pagesthatfollowwillexplainthedetailsofthisprocess;belowisanoverviewofthebasicprinciples. Any person may request to inspect or obtain copies of public records from a public office that keeps thoserecords.Apublicofficemustorganizeandmaintainitspublicrecordsinamannerthatmeetsits dutytorespondtopublicrecordsrequests,andmustkeepacopyofitsrecordsretentionscheduleata location readily available to the public. When it receives a proper public records request, and unless partorallofarecordisexemptfromrelease,apublicofficemustprovideinspectionoftherequested recordspromptlyandatnocost,orprovidecopiesatcostwithinareasonableperiodoftime. Unless a specific law states otherwise, a requester does not have to provide a reason for wanting records,providehisorhername,ormaketherequestinwriting.However,therequestdoeshavetobe clearandspecificenoughforthepublicofficetoreasonablyidentifywhatpublicrecordstherequester seeks.Apublicofficecanrefusearequestiftheofficenolongerkeepstherecords(pursuanttotheir recordsretentionschedule),iftherequestisfordocumentsthatarenotrecordsoftheoffice,orifthe requesterdoesnotreviseanambiguousoroverlybroadrequest. The General Assembly has passed a number of laws that protect certain records by requiring or permittingapublicofficetowithholdthemfrompublicrelease.Whereapublicofficeinvokesoneof these exceptions, the office may only withhold a record or part of a record clearly covered by the exception,andmusttelltherequesterwhatlegalauthorityitisrelyingontowithholdtherecord. A person who believes that a public office has wrongly denied him or her a public record may file a lawsuitagainstthepublicoffice.Inthislawsuit,therequesterwillhavetheburdenofshowingthatthey madeaproperpublicrecordsrequest,andthepublicofficewillhavetheburdenofshowingthecourt thatanyrecorditwithheldwasclearlysubjecttooneormorevalidexceptions.Ifitcannot,thecourt willorderthepublicofficetoprovidetherecord,andthepublicofficemaybesubjecttoacivilpenalty andpaymentofattorneyfees.
OhiosstateandlocalgovernmentofficesfollowOhiosPublicRecordsAct,foundatR.C.149.43.ThefederalFreedomofInformationAct,5 U.S.C.552,doesnotapplytostateandlocaloffices.See,Stateexrel.OShea&Assoc.v.CuyahogaMetroHousingAuth.,131OhioSt.3d139, 2012Ohio115,962N.E.2d297,38.
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ChapterOne:PublicRecordsDefined
I. ChapterOne:PublicRecordsDefined
TheOhioPublicRecordsActappliesonlytopublicrecords,whichtheActdefinesasrecordskeptbya publicoffice.2Whenmakingorrespondingtoapublicrecordsrequest,itisimportanttofirstestablish whethertheitemssoughtarereallyrecords,andifso,whethertheyarecurrentlybeingkeptbyan organization that meets the definition of a public office. This chapter will review the definitions of eachofthesekeytermsandhowOhiocourtshaveappliedthem. One of the ways that the Ohio General Assembly removes certain records from the operation of the OhioPublicRecordsActistosimplyremovethemfromthedefinitionofpublicrecord.ChapterThree addresseshowexceptionstotheActarecreatedandapplied.
A.
WhatisaPublicOffice? 1. StatutoryDefinitionR.C.149.011(A)
Publicofficeincludesanystateagency,publicinstitution,politicalsubdivision,orotherorganized body,office,agency,institution,orentityestablishedbythelawsofthisstatefortheexerciseofany function of government.3 An organization that meets the statutory definition of a public body (seeOpenMeetingsAct,ChapterOne:A.PublicBody)doesnotautomaticallymeetthedefinition ofapublicoffice.4 Thisdefinitionincludesallstateandlocalgovernmentoffices,andalsomanyagenciesnotdirectly operatedbyapoliticalsubdivision.Examplesofentitiesthathavebeendeterminedtobepublic offices(priortotheOrianaHouse5decision)include: Somepublichospitals;6 Communityactionagencies;7 Privatenonprofitwatercorporationssupportedbypublicmoney;8 PrivatenonprofitPASSPORTadministrativeagencies;9 Privateequityfundsthatreceivepublicmoneyandareessentiallyownedbyastate agency;10 Nonprofit corporations that receive and solicit gifts for a public university and receivesupportfromtaxation;11 Privatenonprofitcountyombudsmanoffices;12and Countyemergencymedicalservicesorganizations.13
R.C.149.43(A)(1). R.C.149.011(A)(but,Publicofficedoesnotincludethenonprofitcorporationformedundersection187.01oftheRevisedCode);JobsOhio, thenonprofitcorporationformedunderR.C.187.01,isnotapublicofficeforpurposesofthePublicRecordsAct,pursuanttoR.C.187.03(A). 4 Stateexrel.Am.Civ.LibertiesUnionofOhiov.CuyahogaCty.Bd.Comm.,128OhioSt.3d256,2011Ohio625,3538. 5 Stateexrel.OrianaHouse,Inc.v.Montgomery,110OhioSt.3d456,2006Ohio4854.Similarentitiestodayshouldbeevaluatedbasedon currentlaw. 6 Stateexrel.Dist.1199v.LawrenceCountyGen.Hosp.,83OhioSt.3d351,1998Ohio49,butcompare,Stateexrel.Stysv.ParmaCmty.Gen. Hosp.,93OhioSt.3d438,2001Ohio1582(particularhospitaldeemednotapublicoffice);Stateexrel.Farleyv.McIntosh,134OhioApp.3d 531(2ndDist.1998)(courtappointedpsychologistnotpublicoffice). 7 Stateexrel.ToledoBladeCo.v.EconomicOpportunityPlanningAssociation,61OhioMisc.2d631(LucasC.P.1990). 8 Sabov.HollisterWaterAssociation,4thDist.No.93CA1582(Jan.12,1994). 9 1995OhioOp.AttyGen.No.001. 10 Stateexrel.ToledoBladeCo.v.OhioBureauofWorkersComp.,106OhioSt.3d113,2005Ohio3549(limitedliabilitycompaniesorganized to receive stateagency contributions were public offices for purposes of the Public Records Act); see also, State ex rel. Repository v. Nova BehavioralHealth,Inc.,112OhioSt.3d338,2006Ohio6713,42. 11 Stateexrel.ToledoBladeCo.v.UniversityofToledoFoundation,65OhioSt.3d258(1992). 12 Stateexrel.Strothersv.Wertheim,80OhioSt.3d155,1997Ohio349. 13 1999OhioOp.AttyGen.No.006.
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2. PrivateEntitiescanbePublicOffices
If there is clear and convincing evidence that a private entity is the functional equivalent of a public office, that entity will be subject to the Ohio Public Records Act.14 Under the functional equivalency test, a court must analyze all pertinent factors, including: (1) whether the entity performs a governmental function; (2) the level of government funding; (3) the extent of governmentinvolvementorregulation;and(4)whethertheentitywascreatedbythegovernment ortoavoidtherequirementsofthePublic RecordsAct.15Thefunctionalequivalencytest isbest suitedtotheoverridingpurposeofthePublicRecordsAct,whichistoallowpublicscrutinyofpublic offices,notofallentitiesthatreceivefundsthatatonetimewerecontrolledbythegovernment.16 Ingeneral,themoreaprivateentityisfunded,controlled,regulatedand/orcreatedbygovernment, andthegreatertheextentthattheentityisperformingagovernmentalfunction,themorelikelya court will determine that it is a public institution and therefore a public office subject to the OhioPublicRecordsAct.
3.
QuasiAgencyAPrivateEntity,EvenifnotaPublicOffice,can beAPersonResponsibleforPublicRecords
When a public office contracts with a private entity to perform government work, the resulting records may be public records, even if they are solely in the possession of the private entity.17 Resultingrecordsarepublicrecordswhenthreeconditionsaremet:(1)theprivateentityprepared therecordstoperformresponsibilitiesnormallybelongingtothepublicoffice;(2)thepublicofficeis abletomonitortheprivateentitysperformance;and(3)thepublicofficemayaccesstherecords itself.18Underthesecircumstances,thepublicofficeissubjecttorequestsforthesepublicrecords under its jurisdiction, and the private entity itself may have become a person19 responsible for public records20 for purposes of the Ohio Public Records Act.21 For example, a public offices obligationtoturnoverapplicationmaterialsandresumesextendstorecordsofprivatesearchfirms 14
State ex rel. Oriana House, Inc. v. Montgomery, 110 Ohio St.3d 456, 2006Ohio4854, paragraph one of syllabus; State ex rel. Am. Civ. LibertiesUnionof Ohiov.Cuyahoga Cty.Bd.Comm., 128OhioSt.256,2011Ohio625,267(noclearand convincingevidencethatprivate groups comprising unpaid, unguided county leaders and citizens, not created by governmental agency, submitting recommendations as coalitionsofprivatecitizenswerefunctionallyequivalenttopublicoffice). 15 Stateexrel.OrianaHouse,Inc.v.Montgomery,110OhioSt.3d456,2006Ohio4854,paragraphsoneandtwoofsyllabus;seealso,Stateex rel.Repositoryv.NovaBehavioralHealth,Inc.,112OhioSt.3d338,2006Ohio6713. 16 State ex rel. Repository v. Nova Behavioral Health, Inc., 112 Ohio St.3d 338, 2006Ohio6713, 24; State ex rel. Oriana House, Inc. v. Montgomery, 110 Ohio St.3d 456, 2006Ohio4854, 36 (It ought to be difficult for someone to compel a private entity to adhere to the dictatesofthePublicRecordsAct,whichwasdesignedbytheGeneralAssemblytoallowpublicscrutinyofpublicoffices,notofallentitiesthat receivefundsthatatonetimewerecontrolledbythegovernment.);Stateexrel.Bellv.Brooks,130OhioSt.3d87,2011Ohio4897,1529 (jointselfinsurancepoolforcountiesandcountygovernmentsfoundnotthefunctionalequivalentofapublicoffice);seealso,StateExrel. Dayton Tea Party v. Ohio Mun. League, 129 Ohio St.3d 1471, 2011Ohio4751 (grantinga motion to dismiss in a mandamus case, published withoutopinion,wheretheCourtrejectedtheargumentthattheOhio MunicipalLeagueandTownshipAssociationwerenotthefunctional equivalentsofpublicoffices);Stateexrel.Dist.EightRegionalOrg.Comm.v.CincinnatiHamiltonCountyCmty.ActionAgency,192OhioApp.3d 553, 2011Ohio312 (1st Dist.) (home weatherization program administered by private nonprofit community action agency found not to be functional equivalent of public office); State ex rel. Luken v. Corp. for Findlay Mkt. of Cincinnati, 2012Ohio2074, 27(1st Dist.) (nonprofit corporationthatmanagestheoperationofapublicmarketisnotthefunctionalequivalentofapublicoffice). 17 Stateexrel.CincinnatiEnquirerv.Krings,93OhioSt.3d654,660,2001Ohio1895;Stateexrel.GannettSatelliteInfo.Networkv.Shirey,76 OhioSt.3d1224,1997Ohio206. 18 State ex rel. Carr v. City of Akron, 112 Ohio St.3d 351, 2006Ohio6714, 36 (finding that firefighter promotional examinations kept by testing contractor were still public record); State ex rel. Cincinnati Enquirer v. Krings, 93 Ohio St.3d 654, 657, 2001Ohio1895; State ex rel. Mazzarov.Ferguson,49OhioSt.3d37,550N.E.2d464(1990)(outcomeoverturnedbysubsequentamendmentofR.C.4701.19(B));butsee, Stateexrel.Am.Civ.LibertiesUnionofOhiov.CuyahogaCty.Bd.Comm.,128OhioSt.256,2011Ohio625,5254(quasiagencytheorydid notapplywhereprivatecitizengroupsubmittedrecommendationsbutowednodutytogovernmentofficetodoso). 19 Personincludesanindividual,corporation,businesstrust,estate,trust,partnership,andassociation.R.C.1.59(C). 20 State ex rel. Toledo Blade Co. v. Ohio Bureau of Workers Comp., 106 Ohio St.3d 113, 2005Ohio3549 20; R.C. 149.43(C) permits a mandamusactionagainsteitherapublicofficeorthepersonresponsibleforthepublicrecordtocompelcompliancewiththePublicRecords Act.Thisprovisionmanifestsanintenttoaffordaccesstopublicrecords,evenwhenaprivateentityisresponsiblefortherecords;Stateexrel. Cincinnati Enquirer v. Krings, 93 Ohio St.3d 654, 658, 2001Ohio1895; State ex rel. Dist. Eight Regional Org. Comm. v. CincinnatiHamilton CountyCmty.ActionAgency,192OhioApp.3d553,2011Ohio312(1stDist.)(homeweatherizationprogramadministeredbyprivatenonprofit communityactionagencyfoundnottobepersonresponsibleforpublicrecords);Stateexrel.Doev.Tetrault,2012Ohio3879,20(12thDist.) (townshipemployeewhotrackedhoursononlinemanagementwebsiteandthensubmittedthosehourswasnotparticularofficialcharged withdutytooverseepublicrecordsandcannotbethepersonresponsibleforpublicrecordsrequestedunderR.C.149.43). 21 E.g.,R.C.149.43(B)(1)(9),(C)(1),(C)(2).
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thepublicofficeusedinthehiringprocess.22Evenifthepublicofficedoesnothavecontroloveror access to such records, the records may still be public.23 A public office cannot avoid its responsibilityforpublicrecordsbytransferringcustodyofrecordsortherecordmakingfunctionto a private entity.24 However, a public office may not be responsible for recordsof a privateentity thatperformsrelatedfunctionsthatarenotactivitiesofthepublicoffice.25Apersonwhoworksina governmentalsubdivisionanddiscussesarequestisnottherebyapersonresponsibleforrecords outsideofhisorherownpublicofficewithinthegovernmentalsubdivision.26
4.
PublicOfficeisResponsibleforitsOwnRecords
Only a public office or person who is actually responsible for the record sought is responsible for providing inspection or copies.27 When statutes impose a duty on a particular official to oversee records,thatofficialisthepersonresponsiblewithinthemeaningofthePublicRecordsAct.28A requester may wish to avoid forwarding delays by initially asking a public office to whom in the officetheyshouldmakethepublicrecordsrequest,butthecourtswillconstruethePublicRecords Actliberallyinfavorofbroadaccesswhen,forexample,therequestisservedonanymemberofa committeefromwhichtherequesterseeksrecords.29Thesamedocumentmaybekeptasarecord bymorethanonepublicoffice.30Oneappellatecourthasheldthatonepublicofficemayprovide responsivedocumentsonbehalfofseveralrelatedpublicofficesthatreceivethesamerequestand arekeepingidenticaldocumentsasrecords.31
B.
WhatareRecords? 1. StatutoryDefinitionR.C.149.011(G)
The term records includes any document, device, or item, regardless of physical form or characteristic, including an electronic record as defined in R.C. 1306.01, created or received by or coming under the jurisdiction of any public office of the state or its political subdivisions, which servestodocumenttheorganization,functions,policies,decisions,procedures,operations,orother activitiesoftheoffice.
2.
RecordsandNonRecords
Ifadocumentorotheritemdoesnotmeetallthreepartsofthedefinitionofarecord,thenitisa nonrecord and is not subject to the Ohio Public Records Act or Ohios records retention requirements.Thenextparagraphsexplainhowitemsinapublicofficemightmeetorfailtomeet thethreepartsofthedefinitionofarecordinR.C.149.011(G).32
State ex rel. Gannett Satellite Info. Network v. Shirey, 78 Ohio St.3d 400, 1997Ohio206; for additional discussion, see Chapter Six: B.EmploymentRecords. Stateexrel.GannettSatelliteInfo.Networkv.Shirey,78OhioSt.3d400,402403,1997Ohio206(despitealackofproofofpublicoffices abilitytoaccesssearchfirmsrecordsormonitorperformance,requestedresumeswerestillpublicrecords). 24 Stateexrel.CincinnatiEnquirerv.Krings,93OhioSt.3d654,659,2001Ohio1895;Stateexrel.GannettSatelliteInfo.Networkv.Shirey,78 OhioSt.3d400,403,1997Ohio206. 25 State ex rel. Rittner v. Foley, 2009Ohio520 (6th Dist.) (school system not responsible for alumni rosters kept only by private alumni organizations). 26 Stateexrel.Keatingv.Skeldon,2009Ohio520(6thDist.)(assistantprosecutorandcountypublicaffairsliaisonnotpersonsresponsiblefor recordsofcountydogwarden). 27 Stateexrel.Chatfieldv.Flautt,2011Ohio4659,8(5thDist.);Cvijetinovicv.CuyahogaCty.Auditor,2011Ohio1754(8thDist.). 28 Stateexrel.MothersAgainstDrunkDriversv.Gosser,20OhioSt.3d30(1985),paragraphtwoofthesyllabus. 29 Stateexrel.Am.Civ.LibertiesUnionofOhiov.CuyahogaCt.Bd.Comm.,128OhioSt.256,2011Ohio625,3334. 30 Statev.Sanchez,79OhioApp.3d133,136(6thDist.1992). 31 Stateexrel.Cushionv.Massillon,2011Ohio4749(5thDist.),appealnotallowed2012Ohio136,8186. 32 SeeStateexrel.DataTraceInfo.Svcs.v.CuyahogaCty.FiscalOffcr.,131OhioSt.3d753,2012Ohio753,2841foradetailedapplication ofthedefinitionofrecordstotheelectronicrecordsofonepublicoffice.
23
22
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Any document, device, or item, regardless of physical form or characteristic, including an electronicrecordasdefinedinsection1306.01oftheRevisedCode...
Thisfirstelementofthedefinitionofarecordfocusesontheexistenceofarecordingmedium;in otherwords,somethingthatcontainsinformationinfixedform.Thephysicalformofanitemdoes notmattersolongasitcanrecordinformation.Apaperorelectronicdocument,email,33video,34 map,blueprint,photograph,voicemailmessage,oranyotherreproduciblestoragemediumcouldbe arecord.Thiselementisfairlybroad.Withtheexceptionofonesthoughtsandunrecordedoral communication,mostpublicofficeinformationisstoredonafixedmediumofsomesort.Arequest forunrecordedornotcurrentlyrecordedinformation(arequestforadvice,interpretation,referral, orresearch)35madetoapublicoffice,ratherthanarequestforaspecificexistingdocument,device, oritemcontainingsuchinformation,wouldfailthispartofthedefinitionofarecord.36Apublic officehasdiscretiontodeterminetheforminwhichitwillkeepitsrecords.37Further,apublicoffice has no duty to fulfill requests that do not specifically and particularly describe the records the requesterisseeking.(SeeChapter2:A.4.ARequestMustbeSpecificEnoughforthePublicOffice toReasonablyIdentifyResponsiveRecords).
...created,receivedby,orcomingunderthejurisdictionofapublicoffice...
Itisusuallyclearwhenitemsarecreatedorreceivedbyapublicoffice.However,evenifanitemis notinthepublicofficesphysicalpossession,itmaystillbeconsideredarecordofthatoffice.38If recordsareheldorcreatedbyanotherentitythatisperformingapublicfunctionforapublicoffice, thoserecordsmaybeunderthepublicofficesjurisdiction.39
. . . which serves to document the organization, functions, policies, decisions, procedures, operations,orotheractivitiesoftheoffice.
Inadditiontoobviousnonrecordssuchasjunkmailandelectronicspam,someitemsfoundinthe possessionofapublicofficedonotmeetthedefinitionofarecordbecausetheydonotdocument theactivitiesofapublicoffice.40Itisthemessageorcontent,notthemediumonwhichitexists, that makes a document a record of a public office.41 The Ohio Supreme Court has noted that disclosure[ofnonrecords]wouldnothelptomonitortheconductofstategovernment.42Some items that have been found not to document the activities, etc. of public offices include public employee home addresses kept by the employer solely for administrative (i.e. management)
State ex rel. Glasgow v. Jones, 119 Ohio St.3d 391, 2008Ohio4788, 21 (email messages constitute electronic records under R.C. 1306.01(G)). 34 Stateexrel.Harmonv.Bender,25OhioSt.3d15,17(1986). 35 Stateexrel.Kernerv.StateTeachersRetirementBd.,82OhioSt.3d273,1998Ohio242(relatorrequestednamesanddocumentsofaclass ofpersonswhowereenrolledintheStateTeachersRetirementSystembutthecourtdeterminedthatthatinformationdidnotexistinrecord form.); State ex rel. Lanham v. Ohio Adult Parole Auth., 80 Ohio St.3d 425, 427, 1997Ohio104 (inmates requested qualifications of APA members). 36 State ex rel. White v. Goldsberry, 85 Ohio St.3d 153, 154, 1999Ohio447 (A public office has no duty under R.C. 149.43 to create new recordsbysearchingforandcompilinginformationfromexistingrecords.Requestedrecordsofperemptorystrikesduringrelatorstrialdid not exist, and the court had no obligation to create responsive records.); Capers v. White, 8th Dist. No. 80713 (Apr. 17, 2002) (requests for informationarenotenforceableinapublicrecordsmandamusaction). 37 Stateexrel.RecodatCo.v.Buchanan,46OhioSt.3d163,164(1989). 38 State ex rel. Cincinnati Enquirer v. Krings, 93 Ohio St.3d 654, 660, 2001Ohio1895 (requested stadium costoverrun records were within jurisdiction of county board and were public records regardless of whether they were in the possession of the county, or the construction companies). 39 Stateexrel.CincinnatiEnquirerv.Krings,93OhioSt.3d654,2001Ohio1895;Stateexrel.Mazzarov.Ferguson,49OhioSt.3d37,39(1990) (weholdthattherecords[ofanindependentcertifiedpublicaccount]arewithintheauditorsjurisdictionandthatheissubjecttoawritof mandamusorderinghimtomakethemavailableforinspection.). 40 Stateexrel.DispatchPrintingCo.v.Johnson,106OhioSt.3d160,2005Ohio4384,25(citationsomitted);Stateexrel.Fantv.Enright,66 OhioSt.3d186,188(1993)(Totheextentthatanyitem...isnotarecord,i.e.,doesnotservetodocumenttheorganization,etc.,ofthe publicoffice,itisnotapublicrecordandneednotbedisclosed.). 41 Stateexrel.Margoliusv.Cleveland,62OhioSt.3d456,461(1992). 42 Stateexrel.DispatchPrintingCo.v.Johnson,106OhioSt.3d160,2005Ohio4384,27(citingStateexrel.McClearyv.Roberts,88Ohio St.3d 365, 369, 2000Ohio345 (names, addresses, and other personal information kept by city recreation and parks department regarding childrenwhousedcitysrecreationalfacilitiesarenotpublicrecords)).
33
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convenience,43 retired municipal government employee home addresses kept by the municipal retirement system,44 personal calendars and appointment books,45 juror contact information and other juror questionnaire responses,46 personal information about children who use public recreational facilities,47 and nonrecord items and information contained in employee personnel files.48Similarly,proprietarysoftwareneededtoaccessstoredrecordsonmagnetictapesorother similarformat,whichmeetsthefirsttwopartsofthedefinition,isameanstoprovideaccess,nota record, as it does not itself document the activities, etc. of a public office.49 Personal correspondence that does not document any activity of the office is nonrecord.50 Finally, the AttorneyGeneralhasopinedthatapieceofphysicalevidenceinthehandsofaprosecutingattorney (e.g.,acigarettebutt)isnotarecordofthatoffice.51
3.
TheEffectofActualUse
An item received by a public office is not a record simply because the public office could use the item to carry out its duties and responsibilities.52 However, if the public office actually uses the item,itmaytherebydocumenttheofficesactivitiesandbecomearecord.53Forexample,wherea school board invited job applicants to send applications to a post office box, any applications receivedinthatpostofficeboxdidnotbecomerecordsoftheofficeuntiltheboardretrievedand reviewed,orotherwiseusedandreliedonthem.54Personal,otherwisenonrecordcorrespondence thatisactuallyusedtodocumentadecisiontodisciplineapublicemployeequalifiesasarecord.55
4. a.
IsthisItemaRecord?SomeCommonApplications Email
A public office must analyze an email message like any other item to determine if it meets the definitionofarecord.Aselectronicdocuments,allemailsareitemscontaininginformationstored onafixedmedium(thefirstpartofthedefinition).Ifanemailisreceivedby,createdby,orcomes underthejurisdictionofapublicoffice(thesecondpartofthedefinition),thenitsstatusasarecord dependsonthecontentofthemessage.Ifanemailcreatedby,receivedby,orcomingunderthe jurisdictionofapublicofficealsoservestodocumenttheorganization,functions,etc.ofthepublic
Dispatchv.Johnson,106OhioSt.3d160,2005Ohio4384(homeaddressesofemployeesgenerallydonotdocumentactivitiesoftheoffice, butmayincertaincircumstances). 44 Stateexrel.DeGrootv.Tilsley,OhioSupremeCourtNo.20101285,2011Ohio231. 45 InternationalUnion,UnitedAuto.,Aerospace&Agric.ImplementWorkersv.Voinovich,100OhioApp.3d372,378(10thDist.1995);however, workrelatedcalendarentriesaremanifestlyitemscreatedbyapublicofficethatdocumentthefunctions,operations,orotheractivitiesofthe officeandarerecords.Stateexrel.McCaffreyv.MahoningCountyProsecutorsOffice,133OhioSt.3d139,2012Ohio4246,33. 46 AkronBeaconJournalPrintingCo.v.Bond,98OhioSt.3d146,2002Ohio7117. 47 Stateexrel.McClearyv.Roberts,88OhioSt.3d365,369,2000Ohio345;Stateexrel.OShea&Assocs.Co.,L.P.A.v.CuyahogaMetro.Hous. Auth.,131OhioSt.3d149,2012Ohio115,36(personalidentifyinginformationinleadpoisoningdocuments,suchasthenamesofparents andguardians;theirSocialSecurityandtelephonenumbers;theirchildrensnamesanddatesofbirth;thenames,addresses,andtelephone numbersofothercaregivers;andthenamesofandplacesofemploymentofoccupantsdidnotservetodocumenttheCMHAsfunctionsor otheractivities);R.C.149.43(A)(1)(r). 48 Fantv.Enright,66OhioSt.3d186(1993). 49 Stateexrel.RecodatCo.v.Buchanan,46OhioSt.3d163,165(1989). 50 Stateexrel.WilsonSimmonsv.LakeCountySheriffsDept.,82OhioSt.3d37(1998). 51 2007OhioOp.AttyGen.No.034. 52 See,Stateexrel.BeaconJournalPublgCo.v.Whittmore,83OhioSt.3d61,1998Ohio180. 53 State ex rel. WBNSTV, Inc. v. Dues, 101 Ohio St.3d 406, 2004Ohio1497, 27 (judge used redacted information to decide whether to approvesettlement);Stateexrel.BeaconJournalPublgCo.v.Whittmore,83OhioSt.3d61,1998Ohio180(judgereadunsolicitedlettersbut didnotrelyontheminsentencingdefendant,therefore,lettersdidnotservetodocumentanyactivityofthepublicoffice);Stateexrel.Sensel v. Leone, 85 Ohio St.3d 152, 1999Ohio446 (unsolicited letters alleging inappropriate behavior of coach not records); State ex rel. Carr v. Caltrider,FranklinC.P.No.00CVH076001(May17,2001). 54 Stateexrel.CincinnatiEnquirerv.Ronan,127OhioSt.3d236,2010Ohio5680. 55 Stateexrel.Bowmanv.JacksonCitySchoolDist.,2011Ohio2228(4thDist.).
43
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office, then it meets all three parts of the definition of a record.56 If an email does not serve to documenttheactivitiesoftheoffice,thenitdoesnotmeetthedefinitionofarecord.57 Although the Ohio Supreme Court has not ruled directly on whether communications of public employees to or from private email accounts that otherwise meet the definition of a record are subjecttotheOhioPublicRecordsAct,58theissueisanalogoustomailingarecordfromoneshome, versusmailingitfromtheofficethelocationfromwhichtheitemissentdoesnotchangeitsstatus asarecord.Recordstransmittedviaemail,likeallotherrecords,mustbemaintainedinaccordance withtheofficesrelevantrecordsretentionschedules,basedoncontent.59
b.
Notes
Not every piece of paper on which a public official or employee writes something meets the definitionofarecord.60Personalnotesgenerallydonotconstituterecords.61Employeenoteshave beenfoundnottobepublicrecordsiftheyare: keptaspersonalpapers,notofficialrecords; keptfortheemployeesownconvenience(forexample,tohelprecallevents);and otheremployeesdidnotuseorhaveaccesstothenotes.62 Such personal notes do not meet the third part of the definition of a record because they do not documenttheorganization,functions,etc.ofthepublicoffice.TheOhioSupremeCourthasheldin several cases that, in the context of a public court hearing or administrative proceeding, personal notesthatmeettheabovecriterianeednotberetainedasrecordsbecausenoinformationwillbe losttothepublic.63However,ifanyoneofthesefactorsdoesnotapply(forinstance,ifthenotes arecirculatedtootheremployeesasadraft),thenthenotesarelikelytobeconsideredarecord.
c.
Drafts
Ifadraftdocumentkeptbyapublicofficemeetsthethreepartdefinitionofarecord,itissubjectto both the Public Records Act and records retention law.64 For example, the Ohio Supreme Court
56
State ex rel. Toledo Blade Co. v. Seneca County Bd. of Commrs, 120 Ohio St.3d 372, 2008Ohio6253 (public office email can constitute publicrecordsunderR.C.149.011(G)and149.43ifitdocumentstheorganization,policies,decisions,procedures,operations,orotheractivities ofthepublicoffice);Stateexrel.Zidonisv.ColumbusStateCmty.College,133OhioSt.3d122,2012Ohio4228,2832. 57 Stateexrel.WilsonSimmonsv.LakeCountySheriffsDept.,82OhioSt.3d37(1998)(Whenanemailmessagedoesnotservetodocument the organization, functions, policies, procedures, or other activities of the public office, it is not a record, even if it was created by public employeesonapublicofficesemailsystem). 58 Butsee,Stateexrel.Glasgowv.Jones,119OhioSt.3d391,2008Ohio4788,23(relatorconcededthatemailmessagescreatedorreceived by her in her capacity as state representative that document her workrelated activities constitute records subject to disclosure under R.C. 149.43regardlessofwhetheritwasherpublicorherprivateemailaccountthatreceivedorsenttheemailmessages). 59 Stateexrel.Glasgowv.Jones,119OhioSt.3d391,2008Ohio4788,21,fn.1(Ourdecisioninnowayrestrictsapublicofficefromdisposing of items, including transient and other documents (e.g., email messages) that are no longer of administrative value and are not otherwise requiredtobekept,inaccordancewiththeofficesproperlyadoptedpolicyforrecordsretentionanddisposal.See,R.C.149.351.Nordoesour decisionsuggestthatthePublicRecordsActprohibitsapublicofficefromdeterminingtheperiodoftimeafterwhichitsemailmessagescanbe routinelydeletedaspartofthedulyadoptedrecordsretentionpolicy.). 60 International Union, United Auto., Aerospace & Agric. Implement Workers v. Voinovich, 100 Ohio App.3d 372, 376 (10th Dist. 1995) (governorslogs,journals,calendars,andappointmentbooksnotrecords);Stateexrel.Doev.Tetrault,2012Ohio3879,4,28,3538(12th Dist.)(scrappaperusedbyonepersontotrackhishoursworked,forenteringhishoursintoreport,containedonlypersonalnotesandwerenot arecord). 61 State ex rel. Cranford v. Cleveland, 103 Ohio St.3d 196, 2004Ohio4884, 22 (notes taken during public employees predisciplinary conferencenotrecords);Stateexrel.Doev.Tetrault,2012Ohio3879,38(12thDist.)(citingCranfordv.Cleveland). 62 Stateexrel.Cranfordv.Cleveland,103OhioSt.3d196,2004Ohio4884,923;Stateexrel.Steffenv.Kraft,67OhioSt.3d439,440,1993 Ohio32; Barnes v. Cols., Ohio Civil Servc. Comm., 2011Ohio2808 (10th Dist.), discretionary appeal not allowed, 2011Ohio5605 (police promotionalexamassessorsnotes). 63 Personal notes, if not physically kept by the public office, would also not fit that defining requirement of a public record; R.C. 149.43(A)(1). 64 Kishv.CityofAkron,109OhioSt.3d162,2006Ohio1244,20(documentneednotbeinfinalformtomeetthestatutorydefinitionof record);Stateexrel.CincinnatiEnquirerv.Dupuis,98OhioSt.3d126,2002Ohio7041,20(evenifarecordisnotinfinalform,itmaystill constitutearecordforpurposesofR.C.149.43ifitdocumentstheorganization,policies,function,decisions,procedures,operations,orother activities of a public office.); see also, State ex rel. Wadd v. City of Cleveland, 81 Ohio St.3d 50, 53, 1998Ohio444 (granting access to
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foundthatawrittendraftofanoralcollectivebargainingagreementsubmittedtoacitycouncilfor itsapprovaldocumentedthecitysversionoftheoralagreementandthereforemetthedefinitionof arecord.65Apublicofficemayaddressthelengthoftimeitmustkeepdraftsthroughitsrecords retentionschedules.66Thecasesfindingdraftstoberecordsinvolvethesharingofthedocument withothers,implyingthatanunfinisheddraftdocumentheldsolelybytheindividualwhocreatedit mayconstituteonlypersonalnotesthatdonotyetdocumenttheactivitiesoftheoffice.67
d.
ComputerizedDatabaseContents
A database is an organized collection of related data. The Public Records Act does not require a public office to search a database for information and compile or summarize it to create new records.68 However, if the public office already uses a computer program that can perform the search and produce the compilation or summary described by the requester, the Ohio Supreme Court has determined that that output already exists as a record for the purposes of the Ohio Public Records Act.69 In contrast, where the public office would have to reprogram its computer systemtoproducetherequestedoutput,theCourthasdeterminedthatthepublicofficedoesnot havethatoutputasanexistingrecordoftheoffice.70
C.
WhatisaPublicRecord? 1. Statutory Definition R.C. 149.43(A)(1): Public record means recordskeptbyanypublicoffice71
This short definition joins the previously detailed definitions of records and public office, with thewordskeptby.
2.
WhatKeptByMeans
Arecordisonlyapublicrecordifitiskeptby72apublicoffice.73Recordsthatdonotyetexistfor example, future minutes of a meeting that has not yet taken place are not records, much less publicrecords,untilactuallyinexistenceandkeptbythepublicoffice.Apublicofficehasnoduty tofurnishrecordsthatarenotinitspossessionorcontrol.74Similarly,iftheofficekeptarecordin thepast,buthasproperlydisposedoftherecordandnolongerkeepsit,thenitisnolongerarecord ofthatoffice.75Forexample,whereaschoolboardfirstreceivedandthenreturnedsuperintendent candidatesapplicationmaterialstotheapplicants,thosematerialswerenolongerpublicrecords responsive to a newspapers request.76 But so long as a public record is kept by a government agency,itcanneverloseitsstatusasapublicrecord.77
preliminary, unnumbered accident reports not yet processed into final form); State ex rel. Cincinnati Post v. Schweikert, 38 Ohio St.3d 170 (1998)(grantingaccesstopreliminaryworkproductthathadnotreacheditsfinalstageorofficialdestination). 65 Stateexrel.Calvaryv.CityofUpperArlington,89OhioSt.3d229,2000Ohio142. 66 Foradditionaldiscussion,seeChapterFive:B.RecordsManagementPracticalPointers. 67 Stateexrel.Dist.1199,HealthCare&SocialServ.Union,SEIUv.Gulyassy,107OhioApp.3d729,733(10thDist.1995). 68 Stateexrel.Whitev.Goldsberry,85OhioSt.3d153,154,1999Ohio447(citingStateexrel.Kernerv.StateTeachersRetirementBd.,82Ohio St.3d273,1998Ohio242).Seealso,Margoliusv.CityofCleveland,62OhioSt.3d456,461(1992). 69 Stateexrel.Scanlonv.Deters,45OhioSt.3d376,379(1989)(overruledondifferentgrounds). 70 Stateexrel.Kernerv.StateTeachersRetirementBd.,82OhioSt.3d273,275,1998Ohio242(Relatorrequestednamesandaddressesofa describedclassofmembers.Thecourtfoundtheagencywouldhavehadtoreprogramitscomputerstocreatetherequestedrecords.). 71 Thedefinitiongoesontoexpresslyincludespecificentities,bytitle,aspublicoffices,andspecificrecordsaspublicrecords,asfollows: including, but not limited to, state, county, city, village, township, and school district units, and records pertaining to the delivery of educationalservicesbyanalternativeschoolinthisstatekeptbythenonprofitorforprofitentityoperatingthealternativeschoolpursuantto section3313.533oftheRevisedCode.R.C.149.43(A)(1). 72 PriortoJuly1985,thestatuteread,recordsrequiredtobekeptbyanypublicoffice,whichwasaverydifferentrequirement,andwhichno longerappliestotheOhiodefinitionofpublicrecord.Stateexrel.CincinnatiPostv.Schweikert,38OhioSt.3d170,173(1988). 73 Stateexrel.Hubbardv.Fuerst,2010Ohio2489(8thDist.)(Awritofmandamuswillnotissuetocompelacustodianofpublicrecordsto furnishrecordswhicharenotinhispossessionorcontrol.). 74 Stateexrel.Strikerv.Smith,129OhioSt.3d168,2011Ohio2878,28. 75 Stateexrel.ToledoBladeCo.v.SenecaCountyBd.ofCommrs,120OhioSt.3d372,2008Ohio6253,21. 76 See,Stateexrel.CincinnatiEnquirerv.CincinnatiBd.ofEduc.,99OhioSt.3d6,2003Ohio2260,12(materialsrelatedtosuperintendent search werenotpublicrecordswhereneitherboardnorsearchagencykeptsuch materials);seealso,Stateexrel.Johnsonv.OberlinCity
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D. Exceptions
BothwithintheOhioPublicRecordsActandinseparatestatutesthroughouttheOhioRevisedCode,the GeneralAssemblyhasidentifieditemsandinformationthatareeitherremovedfromthedefinitionof publicrecordorareotherwiserequiredorpermittedtobewithheld.78(See,ChapterThree:Exceptions to the Required Release of Public Records, for definitions, application, and examples of exceptions to thePublicRecordsAct).

SchoolDist.Bd.ofEduc.,2009Ohio3256(9thDist.)(individualevaluationsusedbyboardpresidenttoprepareacompositeevaluationbutnot kept thereafter, were not public records); Barnes v. Cols., Ohio Civil Servc. Comm., 2011Ohio2808 (10th Dist.), discretionary appeal not allowed,2011Ohio5605(policepromotionalexamassessorsnotes). 77 Stateexrel.ToledoBladeCo.v.SenecaCountyBd.ofCommrs,120OhioSt.3d372,2008Ohio6253,20(quotingStateexrel.Dispatch PrintingCo.v.Columbus,90OhioSt.3d39,41,2000Ohio8). 78 R.C.149.43(A)(1)(acc)(records,information,andotheritemsthattheGeneralAssemblyhasdeterminedarenotpublicrecordsorotherwise excepted).
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ChapterTwo:RequestingPublicRecords
II. ChapterTwo:RequestingPublicRecords
The Ohio Public Records Act sets out procedures, limits, and requirements designed to maximize requester success in obtaining access to public records, and to minimize the burden on public offices wherepossible.Whilemakingorrespondingtoapublicrecordsrequest,itisimportanttobefamiliar withthesestatutoryprovisionstoachieveacooperative,efficient,andsatisfactoryoutcome.
A.
RightsandObligationsofPublicRecordsRequestersandPublicOffices
Every public office must organize and maintain public records in a manner that they can be made availableinresponsetopublicrecordsrequests.Apublicofficemustalsomaintainacopyofitscurrent recordsretentionscheduleatalocationreadilyavailabletothepublic. Any person can make a request for public records by asking a public office or person responsible for public records for specific, existing records. The requester may make a request in any manner the requester chooses: by phone, in person, or in an email or letter. A public office cannot require the requestertoidentifyhimorherselforindicatewhyheorsheisrequestingtherecords,unlessaspecific law requires it. Often, however, a discussion about the requesters purposes or interest in seeking certain information can aid the public office in locating and producing the desired records more efficiently. Upon receiving a request for specific, existing public records, a public office must provide prompt inspectionatnocostduringregularbusinesshours,orprovidecopiesatcostwithinareasonableperiod oftime.Thepublicofficemaywithholdorredactspecificrecordsthatarecoveredbyanexceptionto thePublicRecordsAct,butisrequiredtogivetherequesteranexplanation,includinglegalauthority,for each denial. In addition, a public office may deny a request in the extreme circumstance where compliance would unreasonably interfere with the discharge of the offices duties. The Ohio Public Records Act provides for negotiation and clarification to help identify, locate, and deliver requested recordsif:1)arequestermakesanambiguousoroverlybroadrequest;or2)thepublicofficebelieves thataskingfortherequestinwriting,ortherequestersidentity,ortheintendeduseoftherequested information,wouldenhancetheabilityofthepublicofficetoprovidetherecords.
1.
OrganizationandMaintenanceofPublicRecords
Tofacilitatebroadaccesstopublicrecords,apublicoffice...shallorganizeandmaintainpublic recordsinamannerthattheycanbemadeavailableforinspectionorcopyinginresponsetopublic recordsrequests.79Thefactthattheofficeusesanorganizationalsystemthatisdifferentfrom,and inconsistentwith,theformofagivenrequestdoesnotmeanthatthepublicofficehasviolatedthis duty.80 For instance, if a person requests copies of all police service calls for a particular geographical areaidentifiedbystreetnames,therequestdoesnotmatch themethodofretrieval and is not one that the office has a duty to fulfill.81 At least one court has held that the primary concern of a retrieval system is to accommodate the mission of the office, and that providing reasonableaccessforcitizensissecondary.82TheOhioPublicRecordsActdoesnotrequireapublic office or person responsible for public records to post its public records on the offices website83 (but doing so may reduce the number of public records requests the office receives for posted 79
80
R.C.149.43(B)(2). See,Stateexrel.Zidonisv.ColumbusStateCommunityCollege,133OhioSt.3d122,2012Ohio4228,2830(PublicRecordsActdoesnot expressly require publicofficestomaintainemailssotheycanberetrievedbysenderandrecipientstatus);Stateexrel.Bardwellv.Cityof Cleveland,126OhioSt.3d195,2010Ohio2367(policedept.keptandmadeavailableitspawnbrokerreportson3x5notecards;whilekeeping theserecordson8x11papercouldreducedelaysinprocessingrequests,therewasnorequirementtodoso);Stateexrel.OrianaHousev. Montgomery,2005Ohio3377(10thDist.)(thefactthatrequestermadewhatitbelievedtobeaspecificrequestdoesnotmandatethatthe publicofficekeepitsrecordsinsuchawaythataccesstotherecordswaspossible);Stateexrel.Evansv.CityofParma,2003Ohio1159(8th Dist.). 81 Stateexrel.Evansv.CityofParma,2003Ohio1159(8thDist.). 82 Stateexrel.Zaudererv.Joseph,62OhioApp.3d752(10thDist.1989). 83 Stateexrel.Pattonv.Rhodes,129OhioSt.3d182,2011Ohio3093,1517.
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records). A public office is not required to create new records to respond to a public records request,evenifitisonlyamatterofcompilinginformationfromexistingrecords.84 A public office must have a copy of its current records retention schedule at a location readily availabletothepublic.85Therecordsretentionschedulecanbeavaluabletoolforarequesterto obtaininadvancetoplanaspecificandefficientpublicrecordsrequest,orforthepublicofficeto usetoinformarequesterhowtherecordskeptbytheofficeareorganizedandmaintained.
2.
AnyPersonMayMakeaRequest
TherequestingpersonneednotbeanOhioorUnitedStatesresident.86Infact,intheabsenceof alawtothecontrary,foreignindividualsandentitiesdomiciledinaforeigncountryareentitledto inspect and copy public records.87 The requester need not be an individual, but may be a corporation,governmentagency,orotherbody.88
3.
TheRequestMustbeforthePublicOfficesExistingRecords
The proper subject of a public records request is a record that actually exists at the time of the request,89notunrecordedordispersedinformationtherequesterseekstoobtain.90Forexample,if apersonasksapublicofficeforalistofcourtcasespendingagainstit,buttheofficedoesnotkeep such a list, the public office is under no duty to create a list to respond to the request.91 Additionally, there is no duty to provide records that were not in existence at the time of the request,92 or that the public office does not possess,93 including records that do later come into existence.94
4.
A Request Must be Specific Enough for the Public Office to ReasonablyIdentifyResponsiveRecords
Stateexrel.Whitev.Goldsberry,85OhioSt.3d153,1999Ohio447;Stateexrel.Warrenv.Warner,84OhioSt.3d432,1999Ohio475;State exrel.Kernerv.StateTeachersRetirementBd.,82OhioSt.3d273,1998Ohio242;Stateexrel.WilsonSimmonsv.LakeCountySheriffsDept., 82OhioSt.3d37,42(1998);Stateexrel.Fantv.Mengel,62OhioSt.3d197(1991). 85 R.C.149.43(B)(2);foradditionaldiscussion,seeChapterFive:A.RecordsManagement. 86 2006OhioOp.AttyGen.No.038. 87 2006OhioOp.AttyGen.No.038. 88 R.C.1.59(C);1990OhioOp.AttyGen.No.050. 89 Stateexrel.Toledo Blade Co.v.Seneca CountyBd.ofCommrs, 120OhioSt.3d372, 2008Ohio6253, 23(...incasesinwhichpublic records...areproperlydisposedofinaccordancewithadulyadoptedrecordsretentionpolicy,thereisnoentitlementtotheserecordsunder the Public Records Act.); State ex rel. Taxpayers Coalition v. Lakewood, 86 Ohio St.3d 385, 389, 1999Ohio114; State ex rel. White v. Goldsberry,85OhioSt.3d153,154,1999Ohio447(apublicofficehasnodutyunderR.C.149.43tocreatenewrecordsbysearchingforand compilinginformationfromexistingrecords.);Stateexrel.Cioffiv.Stuard,2010Ohio829(11thDist.)(noviolationofthePublicRecordsAct whenaClerkofCourtsfailedtoprovideahearingtranscriptthathadneverbeencreated). 90 See,Capersv.White,8thDist.No.80713(April17,2002)(requestsforinformationarenotenforceableinapublicrecordsmandamus);State exrel.Evansv.CityofParma,2003Ohio1159(8thDist.)(requestsforservicecallsfromgeographicareaimproperrequest);Stateexrel.Fantv. Tober,8thDist.No.63737(April28,1993)(officehadnodutytoseekoutrecordswhichwouldcontaininformationofinteresttorequester), affirmedbyOhioSup.Ct.w/oopinionat68OhioSt.3d117;seealso,Stateexrel.Thomasv.OhioStateUniv.,71OhioSt.3d245,1994Ohio 261; State ex rel. Rittner v. Fulton County, 2010Ohio4055 (6th Dist.) (improper request where requester sought only information on how documents might be searched); Natl Fedn of the Blind of Ohio v. Ohio Rehab. Serv. Commn, 2010Ohio3384 (10th Dist.) (a request for information as to payments made and received from state agencies was an improper request); State ex rel. OShea & Assoc. Co., LPA v. CuyahogaMetro.Hous.Auth.,2010Ohio3416(8thDist.)(arequestformeetingsthatcontainedcertaintopicswasanimproperrequestfor information and the public office was not required to seek out and retrieve those records which contain the information of interest to the requester). 91 State ex rel. White v. Goldsberry, 85 Ohio St.3d 153, 154, 1999Ohio447 (a public office has no duty under R.C. 149.43 to create new records by searching for and compiling information from existing records); Fant v. Flaherty, 62 Ohio St.3d 426 (1992); State ex rel. Fant v. Mengel,62OhioSt.3d197(1991);Stateexrel.Weldenv.OhioSt.Med.Bd.,2011Ohio6560,9(10thDist.)(becausealistofaddressesof everylicensedphysiciandidnotexist,therewasnoclearlegaldutytocreatesucharecord);Piercev.Dowler,12thDist.No.CA9208024(Nov. 1,1993). 92 Stateexrel.McCaffreyv.MahoningCty.ProsecutorsOffice,2012Ohio4246,2226;Stateexrel.Strikerv.Smith,129OhioSt.3d168, 2011Ohio2878,25;Stateexrel.Lanhamv.Smith,112OhioSt.3d527,2007Ohio609,15;Stateexrel.OhioPatrolmensBenevolentAssn v.CityofMentor,89OhioSt.3d440,448,2000Ohio214. 93 Stateexrel.Chatfieldv.Gammill,132OhioSt.3d36,2012Ohio1862. 94 State ex rel. Taxpayers Coalition v. Lakewood, 86 Ohio St.3d 385, 392, 1999Ohio114; State ex rel. Scanlon v. Deters, 45 Ohio St.3d 376 (1989);Starksv.WheelingTwp.Tr.,2009Ohio4827(5thDist.).
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Whetherapublicrecordsrequestisproperwillbeconsideredinthecontextofthecircumstances surroundingit.104
5.
Denying, and then Clarifying, an Ambiguous or Overly Broad Request
R.C. 149.43(B)(2) permits a public office to deny any part of a public records request which is ambiguousoroverlybroadasdefinedabove.However,thestatutethenrequiresthepublicoffice togivetherequestertheopportunitytorevisethedeniedrequest,byinformingtherequesterhow the office ordinarily maintains and accesses its records.105 Thus, the Public Records Act expressly promotescooperationtoclarifyandnarrowrequeststhatareambiguousoroverlybroad,inorder tocraftasuccessful,revisedrequest. Thepublicofficecaninformtherequesterhowtheofficeordinarilymaintainsandaccessesrecords throughverbalorwrittenexplanation.106Givingtherequesteracopyofthepublicofficesrelevant records retention schedules can be a helpful starting point in explaining the offices records organizationandaccess.107Retentionschedulescategorizerecordsbasedonhowtheyareusedand thepurposetheyserve,andwelldraftedschedulesprovidedetailsofrecordsubcategories,content, anddurationwhichcanhelparequesterreviseandnarrowtherequest.
6.
UnlessaSpecificLawProvidesOtherwise,Requestscanbeforany Purpose, and Need not Identify the Requester or be Made in Writing
Apersonneednotmakeapublicrecordsrequestinwriting,oridentifyhimorherselfwhenmaking a request.108 If the request is verbal, it is recommended that the public employee receiving the request write down the complete request, and confirm the wording with the requester to assure accuracy.Inmostcircumstances,therequesterneednotspecifythereasonfortherequest,109noris there any requirement in the Ohio Public Records Act that a requester use particular wording to make a request.110 Any requirement by the public office that the requester disclose his or her identityortheintendeduseoftherequestedpublicrecordconstitutesadenialoftherequest.111
7.
Optional Negotiation When Identity, Purpose, or Request in Writing Would Assist Identifying, Locating, or Delivering RequestedRecords
However,intheeventthatapublicofficebelievesthateither1)awrittenrequest,2)knowingthe intendeduseoftheinformation,or3)knowingtherequestersidentitywouldbenefittherequester byenhancingtheabilityofthepublicofficetoidentify,locate,ordelivertherequestedrecords,the 104

Stateexrel.OSheav.CuyahogaMetro.Hous.Auth.,2012Ohio115,1922(wherepublicofficedidnotinitiallyrespondthatrequestwas overlybroad,andrequesterlateradequatelyclarifiedtherequest,requestwasfoundappropriate). 105 R.C.149.43(B)(2);Stateexrel.ESPNv.OhioStateUniversity,2012Ohio2690,11. 106 State ex rel. Zidonis v. Columbus State Community College, 133 Ohio St.3d 122, 2012Ohio4228, 38 (a requester may also possess preexistingknowledgeofthepublicofficesrecordsorganizationwhichhelpssatisfythisrequirement). 107 Stateexrel.Zidonisv.ColumbusStateCommunityCollege,133OhioSt.3d122,2012Ohio4228,15,26,3637. 108 See,R.C.149.43(B)(5). 109 See,R.C.149.43(B)(5);seealso,Gilbertv.SummitCounty,104OhioSt.3d660,2004Ohio7108,10(citingStateexrel.Fantv.Enright,66 Ohio St.3d 186 (1993) ([a] person may inspect and copy a public record irrespective of his or her purpose for doing so.)); State ex rel. ConsumerNewsServ.,Inc.v.WorthingtonCityBd.ofEduc.,97OhioSt.3d58,2002Ohio5311,45(purposebehindrequesttoinspectand copypublicrecordsisirrelevant.);1974OhioOp.AttyGen.No.097;butcompare,Stateexrel.Kellerv.Cox,85OhioSt.3d279,1999Ohio264 (policeofficerspersonalinformationwasproperlywithheldfromacriminaldefendantwhomightusetheinformationfor nefariousends, implicatingconstitutionalrightofprivacy);R.C.149.43(B)(5)(journalistseekingsafetyofficerpersonalorresidentialinformationmustcertify thatdisclosurewouldbeinpublicinterest). 110 FranklinCountySheriffsDeptv.StateEmploymentRelationsBd.,63OhioSt.3d498,504(1992)(Nospecificformofrequestisrequiredby R.C.149.43.) 111 R.C.149.43(B)(4).
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publicofficemustfirstinformtherequesterthatgivingthisinformationisnotmandatory,andthen askiftherequesteriswillingtoprovidethatinformationtoassistthepublic officeinfulfillingthe request.112Aswiththenegotiationrequiredforanambiguousoroverlybroadrequest,thisoptional negotiation regarding purpose, identity, or writing can promote cooperation and efficiency. Reminder: The public office must let a requester know that they may decline this option, before askingfortheinformation.
8.
RequesterChoicesofMediaonWhichCopiesareMade
Arequestermustspecifywhetherheorshewouldliketoinspecttherecords,orobtaincopies.113If the requester asks for copies, he or she has the right to choose the copy medium (paper, film, electronicfile,etc.).114Therequestercanchoosetohavetherecordcopied:(1)onpaper,(2)inthe samemediumasthepublicofficekeepsthem,115or(3)onanymediumuponwhichthepublicoffice orpersonresponsibleforthepublicrecordsdeterminestherecordcanreasonablybeduplicatedas anintegralpartofthenormaloperationsofthepublicoffice...116Thepublicofficemaycharge the requester the actual cost of copies made, and may require payment of copying costs in advance.117
9.
RequesterChoicesofPickup,Delivery,orTransmissionofCopies; DeliveryCosts
Arequestermaypersonallypickuprequestedcopiesofpublicrecords,ormaysendadesignee.118 Upon request, a public office must transmit copies of public records via the U.S. mail or by any othermeansofdeliveryortransmission,atthechoiceoftherequester.119Thepublicofficemay requireprepaymentofpostageorotheractualdeliverycost,aswellastheactualcostofsupplies usedinmailing,delivery,ortransmission.120(Seeparagraph12belowforcostsdetail).
10.
PromptInspection,orCopiesWithinaReasonablePeriodofTime
Thereisnoset,predeterminedtimeperiodforrespondingtoapublicrecordsrequest.Instead,the requirementtoprovidepromptproductionofrecordsforinspection,andtomakecopiesavailable in a reasonable amount of time,121 have both been interpreted by the courts as being without delayandwithreasonablespeed.122Thereasonablenessofthetimetakenineachcasedepends on the facts and circumstances of the particular request.123 These terms do not mean
R.C.149.43(B)(5). R.C. 149.43(B); see also, generally, Consumer News Servs., Inc. v. Worthington City Bd. of Educ., 97 Ohio St.3d 58, 2000Ohio5311; R.C. 149.43(B)(6)(7). 114 R.C.149.43(B)(6);Stateexrel.DispatchPrintingCo.v.MorrowCountyProsecutorsOffice,105OhioSt.3d172,2005Ohio685,1213. 115 Gomezv.Ct.ofCommonPleas,2007Ohio6433(7thDist.)(althoughdirectcopiescouldnotbemadebecausetheoriginalrecordingdevice wasnolongeravailable,requesterisstillentitledtocopiesinavailablealternativeformat). 116 R.C.149.43(B)(6). 117 R.C.149.43(B)(1),(B)(6). 118 Stateexrel.Sevayegav.Reis,80OhioSt.3d458,459,2000Ohio383;Stateexrel.Steckmanv.Jackson,70OhioSt.3d420,427(1994). 119 R.C.149.43(B)(7). 120 R.C.149.43(B)(7). 121 R.C.149.43(B)(1);MontgomeryCty.Pub.Defenderv.Siroki,108OhioSt.3d207,2006Ohio662,10;Stateexrel.ConsumerNewsServ.,Inc. v.WorthingtonCityBd.ofEduc.,97OhioSt.3d58,2002Ohio5311,35. 122 Stateexrel.OfficeofMontgomeryCty.Pub.Defenderv.Siroki,108OhioSt.3d207,2006Ohio662,16;Stateexrel.ConsumerNewsServ., Inc.v.WorthingtonCityBd.ofEduc.,97OhioSt.3d58,2002Ohio5311,37;seealso,Stateexrel.Waddv.CityofCleveland,81OhioSt.3d50, 53,1998Ohio444. 123 Strothersv.Norton,131OhioSt.3d359,2012Ohio1007(45daysnotunreasonablewhereresponsiverecordsvoluminousovermultiple requests);Stateexrel.Pattonv.Rhodes,129OhioSt.3d182,2011Ohio3093,20(56dayswasnotunreasonableunderthecircumstances); State ex rel. Morgan v. Strickland, 121 Ohio St.3d 600, 2009Ohio1901 (Given the broad scope of the records requested, the governors officesdecisiontoreviewtherecordsbeforeproducingthem,todeterminewhethertoredactexemptmatter,wasnotunreasonable.);State exrel.DispatchPrintingCo.v.Johnson,106OhioSt.3d160,2005Ohio4384,44(delayduetobreadthoftherequestsandtheconcernsover theemployeesconstitutionalrightofprivacywasnotunreasonable);Stateexrel.ConsumerNewsServ.,Inc.v.WorthingtonCityBd.ofEduc., 97OhioSt.3d58,2002Ohio5311;Stateexrel.Strickerv.Cline,2010Ohio3592(5thDist.)(provisionofrecordswithinninebusinessdayswas areasonableperiodoftimetorespondtoarecordsrequest.);Stateexrel.Hollomanv.Collins,2010Ohio3034(10thDist.)(Thecriticaltime frameisnotthenumberofdaysbetweenwhenrespondentreceivedthepublicrecordsrequestandwhenrelatorfiledhisaction,butratherthe numberofdaysittookforrespondenttoproperlyrespondtotherelatorspublicrecordsrequest.).
113 112
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immediately, or without a moments delay,124 but the courts will find a violation of this requirementwhenanofficecannotshowthatthetimetakenwasreasonable.125Timespentonthe followingresponsetasksmaycontributetothecalculationofwhatispromptorreasonableina givencircumstance: IdentificationofResponsiveRecords: Clarifyorreviserequest;126and Identifyrecords.127 Location&Retrieval: Locaterecords128andretrievefromstoragelocation,e.g.,file cabinet, branch office, offsitestoragefacility. Review,Analysis&Redaction: Examineallmaterialsforpossiblerelease;129 Performnecessarylegalreview,130orconsultwithknowledgeableparties; Redactexemptmaterials;131and Provideexplanationandlegalauthorityforallredactionsand/ordenials.132
Preparation: Obtainrequesterschoiceofmedium;133and Makecopies.134
Delivery: Waitforadvancepaymentofcosts;135and Delivercopies,orscheduleinspection.136 TheOhioSupremeCourthasheldthatnopleadingoftoomuchexpense,ortoomuchtimeinvolved, ortoomuchinterferencewithnormalduties,canbeusedbythepublicofficetoevadethepublics righttoinspectorobtainacopyofpublicrecordswithinareasonabletime.137
Stateexrel.OfficeofMontgomeryCty.Pub.Defenderv.Siroki,108OhioSt.3d207,2006Ohio662,10. Stateexrel.ConsumerNewsServ.,Inc.v.WorthingtonCityBd.ofEduc.,97OhioSt.3d58,2002Ohio5311,3351(publicofficessixday delaywhenprovidingresponsiverecordswasneitherpromptnorreasonable);seealso,Waddv.CityofCleveland,81OhioSt.3d50,53,1998 Ohio444(thirteentotwentyfourdaydelaytoprovideaccesstoaccidentreportswasneitherpromptnorreasonable);Stateexrel.Warren Newspapers, Inc. v. Hutson, 70 Ohio St.3d 619, 624, 1994Ohio5 (police department taking four months to respond to a request for all incidentreportsandtrafficticketswrittenin1992wasneitherpromptnorreasonable);Stateexrel.Muni.Contr.Equip.Op.LaborCouncilv. Cleveland, 2011Ohio117 (8th Dist.) (28 days to release two emergency response plans and two pieces of correspondence found not reasonable). 126 R.C.149.43(B)(2),(5). 127 R.C.149.43(B)(2),(5). 128 R.C.149.43(B)(5). 129 Stateexrel.Morganv.Strickland,121OhioSt.3d600,2009Ohio1901;Stateexrel.OfficeofMontgomeryCty.Pub.Defenderv.Siroki,108 Ohio St.3d 207, 2006Ohio662, 17 (R.C. 149.43(A) envisions an opportunity on the part of the public office to examine records prior to inspectioninordertomakeappropriateredactionsofexemptmaterials.)(quotingStateexrel.WarrenNewspapers,Inc.v.Hutson,70Ohio St.3d619,623,1994Ohio5). 130 Stateexrel.Morganv.Strickland,121OhioSt.3d600,2009Ohio1901. 131 R.C. 149.43(A)(11), (B)(1); see, State ex rel. Office of Montgomery Cty. Pub. Defender v. Siroki, 108 Ohio St.3d 207, 2006Ohio662, 17 (clerkofcourtswasaffordedtimetoredactsocialsecuritynumbersfromrequestedrecords). 132 R.C.149.43(B)(3). 133 R.C.149.43(B)(6). 134 R.C.149.43(B)(1),(B)(6). 135 R.C.149.43(B)(6),(B)(7). 136 R.C.149.43(B)(1). 137 Stateexrel.Waddv.CityofCleveland,81OhioSt.3d50,5354,1998Ohio444.
125
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11. InspectionatNoCostDuringRegularBusinessHours
Apublicofficemustmakeitspublicrecordsavailableforinspectionatallreasonabletimesduring regularbusinesshours.138Regularbusinesshoursmeansestablishedbusinesshours.139Whena publicofficeoperatestwentyfourhoursaday,suchasapolicedepartment,theofficemayadopt hours that approximate normal administrative hours during which inspection may be provided.140 Public offices may not charge requesters for inspection of public records.141 Requesters are not requiredtoinspecttherecordsthemselves;theymaydesignatesomeonetoinspecttherequested records.142
12.
Copies,andDeliveryorTransmission,AtCost
A public office may charge costs for copies, and/or for delivery or transmission, and may require payment of both costs in advance.143 At cost includes the actual cost of making copies,144 packaging, postage, and any other costs of the method of delivery or transmission chosen by the requester.145Thecostofemployeetimecannotbeincludedinthecostofcopies,orofdelivery.146 At least one appellate court has held that a public office may choose to employ the services, and chargetherequesterthecostsof,aprivatecontractortocopypublicrecordssolongasthedecision todosoisreasonable.147 When a statute sets the cost of certain records or for certain requesters, the specific takes precedence over the general,148 and the requester must pay the cost set by the statute.149 For example,becauseR.C.2301.24requiresthatpartiestoacommonpleascourtactionmustpaycourt reportersthecompensationratesetbythejudgesforcourttranscripts,arequesterwhoisaparty totheactionmaynotuseR.C.149.43(B)(1)toobtaincopiesofthetranscriptattheactualcostof duplication.150 However, where a statute sets a fee for certified copies of an otherwise public record,andtherequesterdoesnotrequestthatthecopiesbecertified,theofficemayonlycharge actual cost.151 Similarly, where a statute sets a fee for photocopies and the request is for electroniccopiesratherthanphotocopies,theofficemayonlychargeactualcost.152 Thereisnoobligationtoprovidefreecopiestosomeonewhoindicatesaninabilityorunwillingness topayforrequestedrecords.153TheOhioPublicRecordsActdoesnotrequirethatapublicoffice allow those seeking a copy of the public record to make copies with their own equipment,154 nor doesitprohibitthepublicofficefromallowingthis.
R.C.149.43(B);Stateexrel.ToledoBladeCo.v.SenecaCountyBd.ofCommrs,120OhioSt.3d372,2008Ohio6253,37 (Therightof inspection,asopposedtotherighttorequestcopies,isnotconditionedonthepaymentofanyfeeunderR.C.149.43.). 139 Stateexrel.ButlerCountyBarAssnv.Robb,62OhioApp.3d298(12thDist.1990)(rejectingrequestersdemandthataclerkworkcertain hoursdifferentfromtheclerksregularlyscheduledhorus). 140 Stateexrel.WarrenNewspapers,Inc.v.Hutson,70OhioSt.3d619,1994Ohio5(allowingrecordsrequestsduringallhoursoftheentire policedepartmentsoperationsisunreasonable). 141 Stateexrel.WarrenNewspapers,Inc.v.Hutson,70OhioSt.3d619,624,1994Ohio5. 142 State ex rel. Sevayega v. Reis, 88 Ohio St.3d 458, 459, 2000Ohio383; State ex rel. Steckman v. Jackson, 70 Ohio St.3d 420, 427 (1994) (overruledonothergrounds). 143 R.C.149.43(B)(6),(B)(7);Stateexrel.Watsonv.Mohr,131OhioSt.3d338,2012Ohio1006;Stateexrel.Dehlerv.Mohr,129OhioSt.3d37, 2011Ohio959,3(requesterwasnotentitledtocopiesofrequestedrecords,becauseherefusedtosubmitprepayment). 144 R.C.149.43(B)(1)(copiesofpublicrecordsmustbemadeavailableatcost);Stateexrel.WarrenNewspapers,Inc.v.Hutson,70OhioSt.3d 619,625,1994Ohio5(publicofficecannotcharge$5.00forinitialpage,orforemployeelabor,butonlyforactualcostoffinalcopies). 145 R.C.149.43(B)(7);Stateexrel.Callv.Fragale,104OhioSt.3d276,2004Ohio6589,28. 146 Stateexrel.WarrenNewspapers,Inc.v.Hutson,70OhioSt.3d619,626,1994Ohio5. 147 Stateexrel.Gibbsv.ConcordTwp.Trustees,152OhioApp.3d387,2003Ohio1586,31(11thDist.2003). 148 R.C.1.51(rulesofstatutoryconstruction). 149 Stateexrel.Slaglev.Rogers,103OhioSt.3d89,90,2004Ohio4354,5. 150 Stateexrel.Slaglev.Rogers,103OhioSt.3d89,92,2004Ohio4354,15;foranotherexample,seeR.C.5502.12(Dept.ofPublicSafety maycharge$4.00foreachaccidentreportcopy). 151 Stateexrel. Call v. Fragale, 104 Ohio St.3d 276, 2004Ohio6589 (court offered uncertified records at actual cost, but may charge up to $1.00perpageforcertifiedcopiespursuanttoR.C.2303.20);Stateexrel.ButlerCountyBarAssnv.Robb,66OhioSt.3d255,2012Ohio753, 4262. 152 Stateexrel.DataTraceInfo.Svcs.v.CuyahogaCty.FiscalOffcr.,131OhioSt.3d255,2012Ohio753,4262. 153 Stateexrel.Callv.Fragale,104OhioSt.3d276,2004Ohio6589,6;Breedenv.Mitrovich,2005Ohio5763,10(11thDist.). 154 R.C.149.43(B)(6);fordiscussionofpreviouslaw,see2004OhioOp.AttyGen.No.011(countyrecordermaynotprohibitpersonfromusing digitalcameratoduplicaterecordsnorassessacopyfee).
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13. WhatResponsiveDocumentscanthePublicOfficeWithhold? a. DutytoWithholdCertainRecords
Apublicofficemustwithholdrecordssubjecttoamandatory,mustnotreleaseexceptiontothe Public Records Act in response to a public records request. (See Chapter Three: A.1. Must Not Release).
b.
OptiontoWithholdorReleaseCertainRecords
Recordssubjecttoadiscretionaryexceptiongivethepublicofficetheoptiontoeitherwithholdor releasetherecord.(SeeChapterThree:A.2.MayRelease,ButMayChoosetoWithhold).
c.
NoDutytoReleaseNonRecords
Apublicofficeneednotdiscloseorcreate155itemsthatarenonrecords.Thereisnoobligation that a public office produce items that do not document the organization, functions, policies, decisions, procedures, operations, or other activities of the office.156 A record must document something that the office does.157 The Ohio Supreme Court expressly rejected the notion that an item is a record simply because the public office could use the item to carry out its duties and responsibilities.158 Instead, the public office must actually use the item, otherwise it is not a record.159ThePublicRecordsActitselfdoesnotrestrictapublicofficefromreleasingnonrecords, butotherlawsmayprohibitapublicofficefromreleasingcertaininformationinnonrecords.160 Apublicofficeisnotrequiredtocreatenewrecordstorespondtoapublicrecordsrequest,evenifit isonlyamatterofcompilinginformationfromexistingrecords.161Forexample,ifapersonasksa publicofficeforalistofcasespendingagainstit,buttheofficedoesnotkeepsuchalist,thepublic officeisundernodutytocreatealisttorespondtotherequest.162Normusttheofficeconducta search for and retrieve records that contain described information that is of interest to the requester.163
R.C.149.40(...publicofficeshallcausetobemadeonlysuchrecordsasarenecessaryto...adequateandproperdocumentation... [emphasisadded]). Stateexrel.DispatchPrintingCo.v.Johnson,106OhioSt.3d160,2005Ohio4384,25;Stateexrel.Fantv.Enright,66OhioSt.3d186,188 (1993)(Totheextentthatanyitemcontainedinapersonnelfileisnotarecord,i.e.,doesnotservetodocumenttheorganization,etc.,ofthe publicoffice,itisnotapublicrecordandneednotbedisclosed.);R.C.149.011(G). 157 State ex rel. WilsonSimmons v. Lake County Sheriffs Dept., 82 Ohio St.3d 37 (1998) (allegedly racist emails circulated between public employeesarenotrecordswhentheywerenotusedtoconductthebusinessofthepublicoffice). 158 See,Stateexrel.BeaconJournalPublgCo.v.Whitmore,83OhioSt.3d61,1998Ohio180. 159 See,2007OhioOp.AttyGen.No.034(anitemofphysicalevidenceinthepossessionoftheProsecutingAttorneythatwasnotintroduced asevidencefoundnottobearecord);Stateexrel.WBNSTV,Inc.v.Dues,101OhioSt.3d406,2004Ohio1497,27(judgeusedredacted informationtodecidewhethertoapprovesettlement);Stateexrel.BeaconJournalPublgCo.v.Whitmore,83OhioSt.3d61,1998Ohio180 (judgereadunsolicitedlettersbutdidnotrelyontheminsentencing,therefore,lettersdidnotservetodocumentanyactivityofthepublic officeandwerenotrecords);Stateexrel.Senselv.Leone,85OhioSt.3d152,1999Ohio446(lettersalleginginappropriatebehaviorofcoach notrecordsandcanbediscarded)(citingtoWhitmore,supra);Stateexrel.Carrv.Caltrider,FranklinC.P.No.00CVH076001(May16,2001); Stateexrel.WilsonSimmonsv.LakeCountySheriffsDept.,82OhioSt.3d37(1998)(allegedlyracistemailmessagescirculatedbetweenpublic employeeswerenotrecords). 160 E.g.,R.C.1347.01,etseq.(OhioPersonalInformationSystemsAct). 161 Stateexrel.Whitev.Goldsberry,85OhioSt.3d153,1999Ohio447;Stateexrel.Warrenv.Warner,84OhioSt.3d432,1999Ohio475;State exrel.Kernerv.StateTeachersRetirementBd.,82OhioSt.3d273,1998Ohio242;Stateexrel.WilsonSimmonsv.LakeCountySheriffsDept., 82OhioSt.3d37,42(1998);Stateexrel.Fantv.Mengel,62OhioSt.3d197(1991). 162 Fantv.Flaherty,62OhioSt.3d426(1992);Stateexrel.Fantv.Mengel,62OhioSt.3d197(1991);Piercev.Dowler,12thDist.No.CA9308 024(Nov.1,1993). 163 State ex rel. White v. Goldsberry, 85 Ohio St.3d 153, 154, 1999Ohio447 (a public office has no duty under R.C. 149.43 to create new recordsbysearchingforandcompilinginformationfromexistingrecords).
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14. Denial of a Request, Redaction, and a Public Offices Duties of Notice
Boththewithholdingofanentirerecordandtheredactionofanypartofarecordareconsidereda denialoftherequesttoinspectorcopythatparticularitem.164Anyrequirementbythepublicoffice that the requester disclose the requesters identity or the intended use of the requested public recordalsoconstitutesadenialoftherequest.165
a.
RedactionStatutoryDefinition
Redaction means obscuring or deleting any information that is exempt from the duty to permit publicinspectionorcopyingfromanitemthatotherwisemeetsthedefinitionofarecord.166For recordsonpaper,redactionistheblackingorwhitingoutofnonpublicinformationinanotherwise publicdocument.Apublicofficemayredactaudio,video,andotherelectronicrecordsbyprocesses thatobscureordeletespecificcontent.Ifapublicrecordcontainsinformationthatisexemptfrom the duty to permit public inspection or to copy the public record, the public office or the person responsibleforthepublicrecordshallmakeavailablealloftheinformationwithinthepublicrecord thatisnotexempt.167Therefore,apublicofficemayredactonlythatpartofarecordsubjecttoan exception or other valid basis for withholding. However, an office may withhold an entire record where excepted information is inextricably intertwined with the entire content of a particular recordsuchthatredactioncannotprotecttheexceptedinformation.168 ThePublicRecordsActstatesthat[a]redactionshallbedeemedadenialofarequesttoinspector copy the redacted information, except if a federal or state law authorizes or requires the public officetomaketheredaction.169
b.
Requirement to Notify of and Explain Redactions and WithholdingofRecords
Public offices must either notify the requester of any redaction or make the redaction plainly visible.170 In addition, if an office denies a request in part or in whole, the public office must providetherequesterwithanexplanation,includinglegalauthority,settingforthwhytherequest was denied.171 If the requester made the initial request in writing, then the office must also provideitsexplanationforthedenialinwriting.172
c.
NoObligationtoRespondtoDuplicateRequest
Where a public office denies a request, and the requester sends a followup letter reiterating a requestforessentiallythesamerecords,thepublic officeisnot requiredtoprovideanadditional response.173
R.C.149.43(B)(1). R.C.149.43(B)(4). R.C.149.43(A)(11). 167 R.C.149.43(B)(1). 168 See, State ex rel. Master v. City of Cleveland, 76 Ohio St.3d 340, 1996Ohio300. See also, State ex rel. McGee v. Ohio State Bd. of Psychology, 49OhioSt.3d59,60(1990)(whereexemptinformationissointertwinedwiththepublicinformationastorevealtheexempt informationfromthecontext,therecorditself,andnotjusttheexemptinformation,maybewithheld). 169 R.C.149.43(B)(1). 170 R.C.149.43(B)(1). 171 R.C.149.43(B)(3). 172 R.C.149.43(B)(3). 173 Stateexrel.LaborersInternationalv.Summerville,122OhioSt.3d1234,2009Ohio4090.
165 166
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d. NoWaiverofUnasserted,ApplicableExceptions
If the requester later files a mandamus action against the public office, the public office is not limitedtotheexplanation(s)previouslygivenfordenial,butmayrelyonadditionalreasonsorlegal authorityindefendingthemandamusaction.174
15.
BurdenorExpenseofCompliance
A public office cannot deny or delay response to a public records request on the grounds that responding will interfere with the operation of the public office.175 However, when a request unreasonably interferes with the discharge of the public offices duties, the office may not be obligated to comply.176 For example, a requester does not have the right to the complete duplicationofvoluminousfilesofapublicoffice.177
B.
StatutesthatModifyGeneralRightsandDuties
Through legislation, the General Assembly can change the preceding rights and duties for particular records, for particular public offices, for particular requesters, or in specific situations. Be aware that thegeneralrulesofpublicrecordslawmaybemodifiedinavarietyandcombinationofways.Beloware afewexamplesofmodificationstothegeneralrules.
1.
ParticularRecords
(a) AlthoughmostDNArecordskeptbytheOhioBureauofCriminalIdentificationand Investigation (BCI&I) are protected from disclosure by exceptions,178 Ohio law requires that the results of DNA testing of an inmate who obtains postconviction testingmustbedisclosedtoanyrequester,179whichwouldincluderesultsoftesting conductedbyBCI&I. (b) Certain Ohio sex offender records must be posted on a public website, without waitingforanindividualpublicrecordsrequest.180 (c) Ohio law specifies that a public offices release of an infrastructure record or security record to a private business for certain purposes does not waive these exceptions,181 despite the usual rule that voluntary release to a member of the publicwaivesanyexception(s).182
R.C.149.43(B)(3). State ex rel. Beacon Journal Publg Co. v. Andrews, 48 Ohio St.2d 283 (1976) ([n]o pleading of too much expense, or too much time involved,ortoomuchinterferencewithnormalduties,canbeusedbythe[publicoffice]toevadethepublicsrighttoinspectandobtainacopy ofpublicrecordswithinareasonableamountoftime.). 176 Stateexrel.Dehlerv.Mohr,129OhioSt.3d37,2011Ohio959(allowinginmatetopersonallyinspectrequestedrecordsinanotherprison wouldhavecreatedsecurityissues,unreasonablyinterferedwiththeofficialsdischargeoftheirduties,andviolatedprisonrules);Stateexrel. WarrenNewspapers,Inc.v.Hutson,70OhioSt.3d619,623,1994Ohio5(unreasonabl[e]interfere[nce]withthedischargeofthedutiesofthe officerhavingcustodyofthepublicrecordscreatesanexceptiontotherulethatpublicrecordsshouldbegenerallyavailabletothepublic) (citingStateexrel.Natl.BroadcastingCo.v.CityofCleveland,38OhioSt.3d79,81(1988));Bartonv.Shupe,37OhioSt.3d308(1988);Stateex rel.Pattersonv.Ayers,171OhioSt.ed369(1990)(anyonemayinspect[public]recordsatanytime,subjectonlytothelimitationthatsuch inspectiondoesnotendangerthesafetyoftherecord,orunreasonablyinterferewiththedischargeofthedutiesoftheofficerhavingcustody oftherecords);Stateexrel.Zaudererv.Joseph,62OhioApp.3d752(10thDist.1989). 177 Stateexrel.Glasgowv.Jones,119OhioSt.3d391,2008Ohio788,17(thePublicRecordsActdoesnotcontemplatethatanyindividual hastherighttoacompleteduplicationofvoluminousfileskeptbygovernmentagencies.(citationomitted)). 178 R.C.109.573(D),(E),(G)(1);R.C.149.43(A)(j). 179 R.C.2953.81(B). 180 R.C. 2950.08(A) (BCI&I sex offender registry and notification, or SORN information, not open to the public); but, R.C. 2950.13(A)(11) (certainSORNinformationmustbepostedasadatabaseontheinternetandisapublicrecordunderR.C.149.43). 181 R.C.149.433(C). 182 See,e.g.,Stateexrel.CincinnatiEnquirerv.Dupuis,98OhioSt.3d126,2002Ohio7041.
175
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(d) Journalists may inspect, but not copy, some of the records to which they have specialaccess,despitethegeneralrighttochooseeitherinspectionorcopies.183 (e) Contractsandfinancialrecordsofmoneysexpendedinrelationtoservicesprovided under those contracts to federal, state, or local government by another governmental entity or agency, or by most nonprofit corporations or associations, shall be deemed to be public records, except as otherwise provided by R.C. 149.431.184 (f) Regardless of whether the dates of birth of office officials and employees fit the statutory definition of records, every public office must maintain a list of the namesanddatesofbirthofeveryofficialandemployee,whichisapublicrecord andshallbemadeavailableuponrequest.185
2.
ParticularPublicOffices
(a) TheOhioBureauofMotorVehiclesisauthorizedtochargeanonrefundablefeeof four dollars for each highway patrol accident report for which it receives a request,186andacoronersofficemaychargearecordretrievalandcopyingfeeof twentyfive cents per page, with a minimum charge of one dollar,187 despite the general requirement that a public office may only charge the actual cost of copies.188 (b) Ohio courts case records and administrative records are not subject to the Ohio Public Records Act. Rather, courts apply the records access rules of the Ohio SupremeCourtRulesofSuperintendence.189 (c) Information in a competitive sealed proposal and bid submitted to a county contracting authority becomes a public record subject to inspection and copying only after the contract is awarded. After the bid is opened by the contracting authority, any information that is subject to an exception set out in the Public RecordsActmayberedactedbythecontractingauthoritybeforetherecordismade public.190
3.
ParticularRequestersorPurposes
(a) Directoryinformationconcerningpublicschoolstudentsmaynotbereleasedifthe intendeduseisforaprofitmakingplanoractivity.191 (b) Incarcerated persons, commercial requesters, and journalists are subject to combinationsofmodifiedrightsandobligations,discussedbelow.
Ex.,R.C.4123.88(D)(IndustrialCommissionorWorkersCompensationBureaushalldisclosetojournalistaddressesandtelephonenumbers of claimants, and the dependents of those claimants); R.C. 313.10(D) (A journalist may submit to the coroner a written request to view preliminaryautopsyandinvestigativenotesandfindings,suicidenotes,orphotographsofthedecedentmadebythecoroner.). 184 R.C.149.431;Stateexrel.Bellv.Brooks,130OhioSt.3d87,2011Ohio4897,3040. 185 R.C.149.434. 186 R.C.5502.12 (alsoprovidesthatotheragencieswhichsubmitsuchreportsmaycharge requesterswhoclaimaninterestarisingoutofa motorvehicleaccidentanonrefundablefeenottoexceedfourdollars). 187 R.C.313.10(B). 188 Stateexrel.WarrenNewspapers,Inc.v.Hutson,70OhioSt.3d619,1994Ohio5.Seealso,Stateexrel.Russellv.Thomas,85OhioSt.3d83, 1999Ohio435(onedollarperpagedidnotrepresentactualcostofcopies);2001OhioOp.AttyGen.No.012. 189 RulesofSuperintendencefortheCourtsofOhio.Foradditionaldiscussion,seeChapterSix:D.CourtRecords. 190 R.C.307.862(c),R.C.307.87,andR.C.307.88;2012OhioOp.AttyGen.No.036. 191 R.C.3319.321(A)(Further,theschoolmayrequiredisclosureoftherequestersidentityortheintendeduseofthedirectoryinformation... toascertainwhetherthedirectoryinformationisforuseinaprofitmakingplanoractivity.).
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4. ModifiedRecordsAccessforCertainRequesters
The rights and obligations of the following requesters differ from those generally provided by the OhioPublicRecordsAct.Somearerequiredtodisclosetheintendeduseoftherecords,ormotive behindtherequest.Othersmayberequiredtoprovidemoreinformation,ormaketherequestina specificfashion.Somerequestersaregivengreateraccesstorecordsthanotherpersons,andsome aremorerestricted.Theseareonlyexamples.Changestothelawareconstantlyoccurring,sobe suretocheckforanycurrentlawmodifyingaccesstotheparticularpublicrecordswithwhichyou areconcerned.
a.
PrisonInmates
Prison inmates may request public records,192 but must follow a statutorilymandated process if requesting records concerning a criminal investigation or prosecution, or a juvenile delinquency investigationthatotherwisewouldbeacriminalinvestigationorprosecutionifthesubjectwerean adult.193Aninmatesdesigneemaynotmakeapublicrecordsrequestonbehalfoftheinmatethat the inmate is prohibited from making directly.194 The criminal investigation records that may be requested by an inmate only by using this process are broader than those defined under the Confidential Law Enforcement Investigatory Records (CLEIRs) exception, and include offense and incidentreports.195Apublicofficeisnotrequiredtoproducesuchrecordsinresponsetoaninmate requestunlesstheinmateobtainsafindingfromthejudgewhosentencedorotherwiseadjudicated the inmates case that the information sought is necessary to support what appears to be a justiciable claim.196 The inmates request must be filed in the original criminal action against the inmate, not in a separate, subsequent forfeiture action involving the inmate.197 Unless an inmate requestingpublicrecordsconcerningacriminalprosecutionhasfirstfollowedtheserequirements, anysuittoenforcehisorherrequestwillbedismissed.198Theappropriateremedyforaninmateto seekifheorshefollowstheserequirementsisanappealofthesentencingjudgesfindings,nota mandamus action.199 Any public records that were obtained by a litigant prior to the ruling in Steckmanv.Jacksonarenotexcludedforuseinthelitigantspostconvictionproceedings.200
b.
CommercialRequesters
Unless a specific statute provides otherwise,201 it is irrelevant whether the intended use of requestedrecordsisforcommercialpurposes.202However,ifanindividualorentityismakingpublic records requests for commercial purposes, the public office receiving the requests can limit the numberofrecordsthattheofficewilltransmitbyUnitedStatesmailtotenpermonth.203
See,Stateexrel.Dehlerv.Collins,2010Ohio5436(10thDist.)(correctionalfacilitiesmaybeabletolimittheaccessto,andprovisionof, requested records due to personnel and safety considerations); see also, State ex rel. Dehler v. Kelly, 2010Ohio3053 (11th Dist.) (prison officialshadtocomplywithvariousrequestssubmittedbyinmate). 193 R.C.149.43(B)(8).NOTE:Thestatutorylanguageisnotlimitedtorequestsforcriminalinvestigationsconcerningtheinmatewhoismaking therequest. 194 Stateexrel.Barbv.CuyahogaCty.JuryCommr.,128OhioSt.3d528,2011Ohio1914. 195 Stateexrel.Russellv.Thornton,111OhioSt.3d409,2006Ohio5858,918;Stateexrel.Sevayegav.Reis,88OhioSt.3d458,2000Ohio 383. 196 R.C.149.43(B)(8);Statev.Wilson,2011Ohio4195(2ndDist.),discretionaryappealnotallowed2012Ohio136(applicationforclemencyis not a justiciable claim); State v. Rodriguez, 2011Ohio1397 (6th Dist.) (relator identified no pending proceeding to which his claims of evidencetamperingwouldbematerial). 197 StateofOhiov.Lather,2009Ohio3215(6thDist.);StateofOhiov.Chatfield,2010Ohio4261(5thDist.)(inmatemayfileR.C.149.43(B)(8) motion,evenifcurrentlyrepresentedbycriminalcounselintheoriginalaction). 198 Stateexrel.Barbv.CuyahogaCty.JuryCommr.,2009Ohio3301(8thDist.);Hallv.State,2009Ohio404(11thDist.);Stateexrel.Russellv. Thornton,111OhioSt.3d409,2006Ohio5858,918;Stateexrel.Sevayegav.Reis,88OhioSt.3d458,2000Ohio383. 199 StateofOhiov.Thornton,2009Ohio5049(2ndDist.). 200 Statev.Broom,123OhioSt.3d114,2009Ohio4778. 201 E.g.,R.C.3319.321(A)(prohibitsschoolsfromreleasingstudentdirectoryinformationtoanypersonorgroupforuseinaprofitmakingplan oractivity). 202 1990OhioOp.AttyGen.No.050;seealso,R.C.149.43(B)(4). 203 R.C. 149.43(B)(7) (unless the person certifies to the office in writing that the person does not intend to use or forward the requested records,ortheinformationcontainedinthem,forcommercialpurposes).NOTE:ThelimitonlyappliestorequestedtransmissionbyUnited Statesmail.
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WhiletheRevisedCodedoesnotspecificallydefine commercial purposes204it doesrequire that thetermbenarrowlyconstrued,andlistsspecificactivitiesexcludedfromthedefinition: Reportingorgatheringnews; Reportingorgatheringinformationtoassistcitizenoversightorunderstandingof theoperationoractivitiesofgovernment;or Nonprofiteducationalresearch.205
c.
Journalists
Several statutes grant journalists206 enhanced access to certain records that are not available to other requesters. This enhanced access is sometimes conditioned on the journalist providing informationorrepresentationsnotnormallyrequiredofarequester. Forexample,ajournalistmayobtaintheactualresidentialaddressofapeaceofficer,paroleofficer, probation officer, bailiff, prosecuting attorney, assistant prosecuting attorney, correctional employee, youth services employee, firefighter, EMT, or investigator of the Bureau of Criminal IdentificationandInvestigation.Iftheindividualsspouse,formerspouse,orchildisemployedbya publicoffice,ajournalistmayobtainthenameandaddressofthatspouseorchildsemployerinthis manneraswell.207Ajournalistmayalsorequestcustomerinformationmaintainedbyamunicipally owned or operated public utility, other than social security numbers and any private financial information such as credit reports, payment methods, credit card numbers, and bank account information.208Toobtainthisinformation,thejournalistmust: Maketherequestinwritingandsigntherequest; Identifyhimselforherselfbyname,title,andemployersnameandaddress;and Statethatdisclosureoftheinformationsoughtwouldbeinthepublicinterest.209 (SeeJournalistRequestTableonnextpageformoredetails.)
Thestatutedoesnotcontainageneraldefinitionofcommercialpurposesbutdoesdefinecommercialinthecontextofrequeststothe Bureau of Motor Vehicles. There, commercial is defined as profitseeking production, buying, or selling of any good, service, or other product.R.C.149.43(F)(2)(c). 205 R.C.149.43(B)(7). 206 R.C.149.43(B)(9)(c)states,Asusedin[division(B)ofR.C.149.43],journalistmeansapersonengagedin,connectedwith,oremployedby anynewsmedium,includinganewspaper,magazine,pressassociation,newsagency,orwireservice,aradioortelevisionstation,orasimilar medium,forthepurposeofgathering,processing,transmitting,compiling,editing,ordisseminatinginformationforthegeneralpublic. 207 R.C.149.43(B)(9)(a). 208 R.C.149.43(B)(9)(b). 209 R.C. 149.43(B)(9)(a) and (b); see also, 2007 Ohio Op. Atty Gen. No. 039 ([R.C. 2923.129(B)(2)] prohibits a journalist from making a reproductionofinformationaboutthelicenseesofconcealedcarrylicensesbyanymeans,otherthanthroughhisownmentalprocesses.).
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WorkersCompensationInitialFilings,including: Addresses and telephone numbers of claimants, regardless of whether their claims are active or closed,andthedependentsofthoseclaimants 4123.88(D)(1) Inspectorcopy therecord(s)
Actualconfidentialpersonalresidentialaddressofa: Publicchildrenserviceagencyemployee Privatechildplacingagencyemployee Juvenilecourtemployee Lawenforcementagencyemployee 2151.142(D) Inspectorcopy therecord(s)
Note:Thejournalistmustadequatelyidentifytheperson whose address is being sought, and must make the request to the agency by which the individual is employed or to the agency that has custody of the records
5.
ModifiedAccesstoCertainPublicOfficesRecords
As with requesters, the rights and obligations of public offices can be modified by law. Some of these modifications impose conditions on obtaining records in volume and setting permissible chargesforcopying.Thefollowingprovisionsareonlyexamples.Thelawissubjecttochange,sobe suretocheckforanycurrentlawmodifyingaccesstoparticularpublicrecordswithwhichyouare concerned.
a.
BulkCommercialRequestsfromOhioBureauofMotorVehicles
The bureau of motor vehicles may adopt rules pursuant to Chapter 119. of the Revised Code to reasonably limit the number of bulk commercial special extraction requests made by a person for thesamerecordsorforupdatedrecordsduringacalendaryear.Therulesmayincludeprovisions for charges to be made for bulk commercial special extraction requests for the actual cost of the bureau, plus special extraction costs, plus ten percent. The bureau may charge for expenses for redactinginformation,thereleaseofwhichisprohibitedbylaw.210Thestatutesetsoutdefinitions ofactualcost,bulkcommercialextractionrequest,commercial,specialextractioncosts,and surveys,marketing,solicitation,orresaleforcommercialpurposes.211
b.
CopiesofCoronersRecords
Generally,allrecordsofacoronersofficearepublicrecordssubjecttoinspectionbythepublic.212A coroners office may provide copies to a requester upon a written request and payment by the requesterofastatutoryfee.213However,thefollowingarenotpublicrecords:preliminaryautopsy and investigative notes and findings; photographs of a decedent made by the coroners office; suicidenotes;medicalandpsychologicalrecordsofthedecedentprovidedtothecoroner;records of a deceased individual that are part of a confidential enforcement investigatory record; and laboratoryreportsgeneratedfromanalysisofphysicalevidencebythecoronerslaboratorythatis 210
211 212
R.C.149.43(F)(1). ThesedefinitionsaresetforthatR.C.149.43(F)(2)(a)(d),and(F)(3). R.C.313.10(B). 213 R.C.313.10(B).
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discoverableunderOhioCriminalRule16.214Thefollowingthreeclassesofrequestersmayrequest some or all of the records that are otherwise excepted from disclosure: 1) next of kin of the decedent or the representative of the decedents estate (copy of full records),215 2) journalists (limited right to inspect),216 and 3) insurers (copy of full records).217 The coroner may notify the decedentsnextofkinifajournalistorinsurerhasmadearequest.218
C. 1.
GoingAboveandBeyond,Negotiation,andMediation ThinkOutsidetheBoxGoAboveandBeyondYourDuties
Requestersmaybecomeimpatientwiththetimearesponseistaking,andpublicofficesareoften concerned with the resources required to process a large or complex request, and either may believe that the other is pushing the limits of the public records laws. These problems can be minimizedifoneorbothpartiesgoaboveandbeyondtheirdutiesinsearchofaresultthatworks forboth.Someexamples: If a request is made for paper copies, and the office keeps the records electronically, the officemightoffertoemaildigitalcopiesinstead(particularlyifthisiseasierfortheoffice). Therequestermaynotknowthattherecordsarekeptelectronically,orthatsendingbye mail is cheaper and faster for the requester. The worst that can happen is the requester declines. Ifarequestertellsthepublicofficethatonepartofarequestisveryurgentforthem,and therestcanwait,thentheofficemightagreetoexpeditethatpart,inexchangeforrelaxed timingfortherest. Ifatownshipfiscalofficersabilitytocopy500pagesofpaperrecordsislimitedtoaslow inkjet copier, then either the fiscal officer or the requester might suggest taking the documentstoacopystore,wherethecopyingwillbefaster,andlikelycheaper.
2.
HowtoFindaWinWinSolution:Negotiate
ThePublicRecordsActrequiresnegotiatedclarificationwhenanambiguousoroverlybroadrequest isdenied(seeSectionA.5.above),andoffersoptionalnegotiationwhenapublicofficebelievesthat sharing the reason for the request or the identity of the requester would help the office identify, locate, or deliver the records (see Section A.7. above). But negotiation is not limited to these circumstances.Ifyouhaveaconcern,oracreativeidea(seeSectionC.1.above),rememberthatit neverhurtstoask.Iftheotherpartyappearsfrustratedorburdened,askthem,Isthereanother waytodothisthatworksbetterforyou?
3.
HowtoFindaWinWinSolution:Mediate
Ifyoubelievethataneutralpublicrecordsexpertmighthelpthepartiesresolveaconflictregarding a public records request, a free and voluntary Public Records Mediation Program is available throughtheOhioAttorneyGeneralsOffice.Eithertherequesterorthepublicofficecanaskfora telephoneconferencewithamediator,aslongasnocourtactionhasbeenfiledyet(seeChapter4). For more information, go to http://www.ohioattorneygeneral.gov/AboutAG/Organizational Structure/ConstitutionalOffices/PublicRecordsMediationProgram. The teleconference should beconductedwithin30daysorso,anditisalwaysalessexpensiveoption,forbothparties,than filingalawsuit.
214 215 216
R.C.313.10(A)(2)(a)(f). R.C.313.10(C). R.C.313.10(D). 217 R.C.313.10(E). 218 R.C.313.10(F).
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ChapterThree:ExceptionstotheRequiredReleaseofPublicRecords
III. ChapterThree:ExceptionstotheRequiredReleaseofPublicRecords219
While the Ohio Public Records Act presumes and favors public access to government records, the GeneralAssemblyhascreatedexceptionstoprotectcertainrecordsfrommandatoryrelease.
A.
CategoriesofExceptions
There are two types of public records exceptions: 1) those that mandate that a public office cannot release certain documents; and 2) those that allow the public office to choose whether to release certaindocuments.Theseexceptionsarealmostalwayscreatedbystateorfederalstatutesorcodes.
1.
MustNotRelease
Thefirsttypeofexceptionprohibitsapublicofficefromreleasingspecificrecordsorinformationto thepublic.Suchrecordsareprohibitedfromreleaseinresponsetoapublicrecordsrequest,often undercivilorcriminalpenalty,andthepublicofficehasnochoicebuttodenytherequest.These mandatoryrestrictionsareexpresslyincludedasexceptionstotheOhioPublicRecordsActbywhat isreferredtoasthecatchallexceptioninR.C.149.43(A)(1)(v):recordsthereleaseof whichis prohibitedbystateorfederallaw.Theselawscanincludeconstitutionalprovisions,220statutes,221 commonlaw,222orauthorizedstateorfederaladministrativecodes.223Localordinances,however, cannotcreatepublicrecordsexceptions. Afewmustnotreleaseexceptionsapplytopublicofficesonbehalfof,andsubjecttothedecisions of,anotherperson.Forexample,apubliclegalormedicalofficemayberestrictedbytheattorney clientorphysicianpatientprivilegesfromreleasingcertainrecordsoftheirclientsorpatients.224In suchcases,iftheclientorpatientchoosestowaivetheprivilege,thepublicofficewouldbereleased fromtheotherwisemandatoryexception.225
2.
MayRelease,ButMayChoosetoWithhold
The other type of exception, a discretionary exception, gives a public office the choice of either withholding orreleasingspecificrecords,oftenbyexcludingcertainrecordsfromthedefinitionof public records.226 This means that the public office does not have to disclose these records in responsetoapublicrecordsrequest;however,itmaydosoifitchooseswithoutfearofpunishment underthelaw.Suchprovisionsareusuallystateorfederalstatutes.Somelawscontainambiguous titlesortextsuchasconfidentialorprivate,butthetestforpublicrecordspurposesiswhethera particularlawappliedtoaparticularrequestactuallyprohibitsreleaseofarecord,orjustgivesthe publicofficethechoicetowithholdtherecord.
B.
MultipleandMixedExceptions
Many records are subject to more than one exception. Some may be subject to both a discretionary exception (giving the public office the option to withhold), as well as a mandatory exceptions (which
Forpurposes of thissectiononly, thetermexceptionwillbeusedtodescribelawsauthorizingthewithholdingofrecordsfrompublic recordsrequests.Thetermexemptionisalsooftenusedinpublicrecordslaw,apparentlyinterchangeablywithexception. 220 E.g.,Stateexrel.Kellerv.Cox,85OhioSt.3d279,1999Ohio264. 221 Seee.g.Stateexrel.BeaconJournalPublgCo.v.Akron,104OhioSt.3d399,2004Ohio6557(applyingR.C.2151.421). 222 Forexample,commonlawattorneyclientprivilege.Stateexrel.Lesliev.OhioHous.Fin.Agency,105OhioSt.3d261,2005Ohio1508,27. 223 Stateexrel.Lindsayv.Dwyer,108OhioApp.3d462,467(10thDist.1996)(STRSproperlydeniedaccesstobeneficiaryformpursuanttoOhio AdministrativeCode);2000OhioOp.AttyGen.No.036(federalregulationprohibitsreleaseofservicemembersdischargecertificatewithout servicememberswrittenconsent);butcompare,Stateex.rel.Gallon&TakacsCo.v.Conrad,123OhioApp.3d554,561(10thDist.1997)(if regulationwaspromulgatedoutsideofagencysstatutoryauthority,theinvalidrulewillnotconstituteanexceptiontothepublicrecordsact). 224 Stateexrel.Nixv.CityofCleveland,83OhioSt.3d379,1998Ohio290. 225 See,Stateexrel.Dreamerv.Mason,115OhioSt.3d190,2007Ohio4789(illustratestheinterplayofattorneyclientprivilege,waiver,public recordslaw,andcriminaldiscovery). 226 2000OhioOp.AttyGen.No.021(R.C.149.43doesnotexpresslyprohibitthedisclosureofitemsthatareexcludedfromthedefinitionof publicrecords,butmerelyprovidesthattheirdisclosureisnotmandated.);seealso,2001OhioOp.AttyGen.No.041.
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prohibits release), so it is important for public offices to find all exceptions that apply to a particular record,ratherthanactingonthefirstonethatisfoundtoapply.
C.
WaiverofanException
Ifavalidexceptionappliestoaparticularrecord,butthepublicofficedisclosesitanyway,theofficeis deemed to have waived227 (abandoned) that exception for that particular record, especially if the disclosurewastoapersonwhoseinterestsareantagonistictothoseofthepublicoffice.228However, waiverdoesnotnecessarilyoccurwhenthepublicofficethatpossessestheinformationmakeslimited disclosures [to other public officials] to carry out its business.229 Under such circumstances, the informationhasneverbeendisclosedtothepublic.230
D.
ApplyingExceptions
In Ohio, the public records of a public office belong to the people, not to the government officials holdingthem.231Accordingly,thepublicrecordslawmustbeliberallyinterpretedinfavorofdisclosure, andanyexceptionsinthelawthatpermitcertaintypesofrecordstobewithheldfromdisclosuremust benarrowlyconstrued.232Thepublicofficehastheburdenofestablishingthatanexceptionapplies,and does not meet that burden if it has not proven that the requested records fall squarely within the exception.233TheOhioSupremeCourthasstatedthatinenumeratingverynarrow,specificexceptions tothepublicrecordsstatute,theGeneralAssemblyhasalreadyweighedandbalancedthecompeting publicpolicyconsiderationsbetweenthepublicsrighttoknowhowitsstateagenciesmakedecisions andthepotentialharm,inconvenienceorburdenimposedontheagencybydisclosure.234 A wellsettled principle of statutory construction [is] that when two statutes, one general and the otherspecial,coverthesamesubjectmatter,thespecialprovisionistobeconstruedasanexceptionto the general statute which might otherwise apply.235 This means that when two different statutes applytooneissue,themorespecificofthetwocontrols.Forexample,wherecountycoronersstatutes seta25centperpage(onedollarminimum)retrievalandcopyingfeeforpublicrecordsofthecoroners office,236 the coroners statute prevails over the general Public Records Act provision that copies of recordsmustbeprovidedatcost.Butthestatutesmustactuallyconflictifaspecialstatutesetsa twodollarfeeforphotocopiesofanofficesrecords237andapersoninsteadrequeststhoserecordsas
Stateexrel.Wallacev.StateMed.Bd.,89OhioSt.3d431,435(2000)(Waiverisdefinedasavoluntaryrelinquishmentofaknownright). See,e.g.,Stateexrel.CincinnatiEnquirerv.Dupuis,98OhioSt.3d126,2002Ohio7041;Stateexrel.GannettSatelliteNetwork,Inc.v.Petro, 80OhioSt.3d261,1998Ohio319;Dept.ofLiquorControlv.B.P.O.E.Lodge0107,62OhioSt.3d1452,579N.E.2d1391(1991)(introductionof record at administrative hearing waives any bar to dissemination); State ex rel. Zuero v. Leis, 45 Ohio St.3d 20, 22 (1990) (any exceptions applicabletosheriffsinvestigativematerialwerewaivedbydisclosureincivillitigation);Stateexrel.Colemanv.CityofNorwood,1stDist.No. C890075 (Aug. 2, 1989) (the visual disclosure of the documents to relator [the requester in this case] waives any contractual bar to disseminationofthesedocuments);Covingtonv.Backner,FranklinC.P.No.98CVH075242,(June1,2000)(attorneyclientprivilegewaived wherestaffattorneyhadreviewed,duplicated,andinadvertentlyproduceddocumentstodefendantsduringdiscovery). 229 State ex rel. Musial v. N. Olmstead, 106 Ohio St.3d 459, 2005Ohio5521, 15 (forwarding police investigation records to a citys ethics commission did not constitute waiver); State ex rel. Cincinnati Enquirer v. Sharp, 151 Ohio App.3d 756, 761, 2003Ohio1186 (1st Dist.) (statutoryconfidentialityofdocumentssubmittedtomunicipalportauthoritynotwaivedwhenportauthoritysharesdocumentswithcounty commissioners). 230 Stateexrel.Musialv.N.Olmstead,106OhioSt.3d459,465,2005Ohio5521,3539;Stateexrel.CincinnatiEnquirerv.Sharp,151Ohio App.3d756,761,2003Ohio1186(1stDist.). 231 Whitev.Clinton Cty.Bd.ofCommrs.,76OhioSt.3d 416, 420(1996); DaytonNewspapers,Inc.v.Dayton, 45 OhioSt.2d107,109 (1976) (quotingStateexrel.Pattersonv.Ayers,171OhioSt.369,371(1960)). 232 Stateexrel.Mahajanv.StateMedicalBd.,127OhioSt.3d497,2010Ohio5995,21;Stateexrel.ToledoBladeCo.v.SenecaCountyBd.of Commrs,120OhioSt.3d372,2008Ohio6253,17;Stateexrel.Carrv.CityofAkron,112OhioSt.3d351,2006Ohio6714,30(Insofaras AkronassertsthatsomeoftherequestedrecordsfallwithincertainexceptionstodisclosureunderR.C.149.43,westrictlyconstrueexceptions againstthepublicrecordscustodian,andthecustodianhastheburdentoestablishtheapplicabilityofanexception.). 233 Stateexrel.Rockerv.GuernseyCountySheriffsOffice,126OhioSt.3d224,2010Ohio3288,7. 234 Stateexrel.Jamesv.OhioStateUniv.,70OhioSt.3d168,172,1994Ohio246;NOTE:TheOhioSupremeCourthasnotauthorizedcourtsor otherrecordscustodianstocreatenewexceptionstoR.C.149.43basedonabalancingofinterestsorgeneralizedprivacyconcerns.Stateex rel.WBNSTV,Inc.v.Dues,101OhioSt.3d406,2004Ohio1497,31. 235 State ex rel. Slagle v. Rogers, 103 Ohio St.3d 89, 92, 2004Ohio4354, 415 (citing State ex rel. Dublin Securities, Inc. v. Ohio Div. of Securities,68OhioSt.3d426,429,1994Ohio340(1994));see,R.C.1.51. 236 R.C.313.10(B). 237 R.C.317.32(I).
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electroniccopiesonaCD,thenthereisnoconflict,andthespecificchargeforphotocopyingdoesnot apply.238(SeeChapterTwo:B.StatutesThatModifyGeneralRightsandDuties). Anotherruleofconstructioncourtsoftenapplywheninterpretingastatuteisthemaximexpressiounius estexclusioalteriustheexpressionofonethingistheexclusionofanother.239Ifthismaximapplied topublicrecordslaw,itwouldmeanthatwhereastatuteexpresslystatesthatparticularrecordsofa public office are public, then the remaining records would not be public. However, Ohios Supreme Courthasclearlystatedthatthismaximdoesnotapplytopublicrecords:soevenifastatuteexpressly statesthatspecificrecordsofapublicofficearepublic,itdoesnotmeanthatallotherrecordsofthat officeareexemptfromdisclosure.240 Tosummarize,ifarecorddoesnotclearlyfitintooneoftheexceptionslistedbytheGeneralAssembly, andisnototherwiseprohibitedfromdisclosurebyotherstateorfederallaw,itmustbedisclosed.
E.
ExceptionsEnumeratedinthePublicRecordsAct
The Ohio Public Records Act contains a list of records and types of information removed from the definitionofpublicrecords.241ThefulltextofthoseexceptionsappearsinR.C.149.43(A)(1),acopyof whichisincludedinAppendixA.Here,theseexceptionsareaddressedinbriefsummaries.Notethat althoughthelanguageremovingarecordfromthedefinitionofpublicrecordsgivesthepublicoffice the choice of withholding or releasing the record, many of these records are further subject to other statutesthatprohibittheirrelease.242 (a) Medicalrecords,whicharedefinedasanydocumentorcombinationofdocumentsthat: 1) pertaintoapatientsmedicalhistory,diagnosis,prognosis,ormedicalcondition, and 2) weregeneratedandmaintainedintheprocessofmedicaltreatment.243 Records meeting this definition need not be disclosed.244 Birth, death, and hospital admission or discharge records are not considered medical records for purposes of Ohios public records law.245 Reports generated for reasons other than medical diagnosis or treatment,suchasforemploymentorlitigationpurposes,arenotmedicalrecordsexempt from disclosure under the Public Records Act.246 However, other statutes or federal constitutionalrightsmayprohibitdisclosure,247inwhichcasetherecordsorinformationare notpublicrecordsunderthecatchallexception,R.C.149.43(A)(1)(v). (b) Records pertaining to probation and parole proceedings or proceedings related to the imposition of community control sanctions248 and postrelease control sanctions.249 Examplesofrecordscoveredbythisexceptioninclude:
Stateexrel.DataTracev.CuyahogaCo.FiscalOfficer,2012Ohio753. BlacksLawDictionary,581(6thEd.1990). FranklinCountySheriffsDept.v.StateEmploymentRelationsBd.,63OhioSt.3d498(1992)(whilecategoriesofrecordsdesignatedinR.C. 4117.17clearlyarepublicrecords,allotherrecordsmuststillbeanalyzedunderR.C.149.43). 241 R.C.149.43(A)(1)(a)(bb). 242 SeeChapterThree:B.MultipleandMixedExceptions. 243 R.C.149.43(A)(1)(a)(applyingPublicRecordsActdefinitionofmedicalrecordsatR.C.149.43(A)(3)). 244 R.C. 149.43(A)(3); State ex rel. Strothers v. Wertheim, 80 Ohio St.3d 155, 158, 1997Ohio349; 1999 Ohio Op. Atty Gen. No. 06; but compare,Stateexrel.CincinnatiEnquirerv.Adcock,2004Ohio7130(1stDist.). 245 R.C.149.43(A)(3). 246 See State ex rel. OShea & Assoc. v. Cuyahoga Metro. Housing Auth., 131 Ohio St.3d 149, 2012Ohio115, 962 N.E.2d 297, 4143 (questionnairesandreleaseauthorizationsgeneratedtoaddressleadexposureincityownedhousingnotmedicalrecordsdespitetouching onchildrensmedicalhistories);Stateexrel.Multimedia,Inc.v. Snowden,72 OhioSt.3d 141, 144145, 1995Ohio248(apolicepsychologist reportobtainedtoassistinthepolicehiringprocessisnotamedicalrecord);StateofOhiov.Hall,141OhioApp.3d561,2000Ohio4059(4th Dist.)(psychiatricreportscompiledsolelytoassistcourtwithcompetencytostandtrialdeterminationarenotmedicalrecords). 247 See,e.g.,42U.S.C.12101etseq.(1990)(AmericanswithDisabilitiesAct);29U.S.C.2601etseq.(1993)(FamilyandMedicalLeaveAct). 248 R.C.149.43(A)(9)(CommunitycontrolsanctionhasthesamemeaningasinR.C.2929.01).
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Presentenceinvestigationreports;250 Recordsreliedontocompileapresentenceinvestigationreport;251 DocumentsreviewedbytheParoleBoardinpreparationforaparolehearing;252and Recordsofparoleproceedings.253
(c) Allrecordsassociatedwiththestatutoryprocessthroughwhichminorsmayobtainjudicial approval for abortion procedures in lieu of parental consent. This exception includes recordsfrombothtrialandappellatelevelproceedings.254 (d),(e),and(f)Thesethreeexceptionsallrelatetotheconfidentialityofadoptionproceedings. Documentsremovedfromthedefinitionofpublicrecordinclude: Recordspertainingtoadoptionproceedings;255 ContentsofanadoptionfilemaintainedbytheDepartmentofHealth;256 Aputativefatherregistry;257and Inlimitedcircumstances,releaseofadoptionrecordsandproceedingsmaybeappropriate. Forexample: The Department of Job and Family Services may release a putative fathers registration form to the mother of the minor or to the agency or attorney who is attemptingtoarrangetheminorsadoption.259 Nonidentifying social and medical histories may be released to an adopted person whohasreachedmajorityortotheadoptiveparentsofaminor.260 Anadultadoptedpersonmaybeentitledtothereleaseofidentifyinginformationor accesstohisorheradoptionfile.261 Anoriginalbirthrecordafteranewbirthrecordhasbeenissued.258
(g) Trial preparation records: trial preparation record, for the purposes of the Ohio Public RecordsAct,isdefinedasanyrecordthatcontainsinformationthatisspecificallycompiled in reasonable anticipation of, or in defense of, a civil or criminal action or proceeding, including the independent thought processes and personal trial preparation of an attorney.262 Documents that a public office obtains through discovery during litigation are considered trialpreparationrecords.263Inaddition,materialcompiledforapublicattorneyspersonal trial preparation constitutes a trial preparation record.264 The trial preparation exception does not apply to settlement agreements or settlement proposals,265 or where there is
R.C.149.43(A)(1)(b);R.C.149.43(A)(10)(PostreleasecontrolsanctionhasthesamemeaningasinR.C.2967.01). MADDv.Gosser,20OhioSt.3d30,32n.2(1985). Hadlockv.Polito,74OhioApp.3d764,766(8thDist.1991). 252 Lipshutzv.Shoemaker,49OhioSt.3d88,90,551N.E.2d160(1990). 253 Gainesv.AdultParoleAuthority,5OhioSt.3d104,449N.E.2d762(1983). 254 R.C.149.43(A)(1)(c)(referencingR.C.2505.073(B)). 255 R.C.149.43(A)(1)(d). 256 R.C.149.43(A)(1)(d)(referencingR.C.3705.12). 257 R.C.149.43(A)(1)(e)(referencingR.C.3107.062,3111.69). 258 R.C.3705.12(A)(2). 259 R.C.3107.063. 260 R.C.3107.17(D). 261 R.C.149.43(A)(1)(f);R.C.3107.38(B)(adoptedpersonwhoseadoptionwasdecreedpriortoJanuary1,1964mayrequestadoptionfile);R.C. 3107.40,3107.41(accesstoadoptionfileforpersonwhoseadoptionwasdecreedafterJanuary1,1964isdependentonwhethertheadoption filehaseitheradenialofreleaseformoranauthorizationofreleaseform). 262 R.C.149.43(A)(4). 263 ClevelandClinicFound.v.Levin,120OhioSt.3d1210,2008Ohio6197,898N.E.2d589,10. 264 Stateexrel.Steckmanv.Jackson,70OhioSt.3d420,431432,639N.E.2d83(1994). 265 Stateexrel.CincinnatiEnquirerv.Dupuis,98OhioSt.3d126,2002Ohio7041,1621.
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insufficient evidence that litigation was reasonably anticipated at the time records were prepared.266 (h) Confidential Law Enforcement Investigatory Records (see Chapter Six: A. CLEIRs: Confidential Law Enforcement Investigatory Records Exception): CLEIRs are defined267 as records that (1) pertain to a law enforcement matter, and (2) have a high probability of disclosinganyofthefollowing: Theidentityofanunchargedsuspect; The identity of an information source or witness to whom confidentiality has been reasonablypromised; Informationthatwouldtendtorevealtheidentityofasourceorwitness,wherethe sourceorwitnesswasreasonablypromisedconfidentiality; Specificconfidentialinvestigatorytechniquesorprocedures,orspecificinvestigatory workproduct;or Information that would endanger the life or physical safety of law enforcement personnel,acrimevictim,awitness,oraconfidentialinformationsource. (i) Records containing confidential mediation communications (R.C. 2710.03) or records of theOhioCivilRightsCommissionmadeconfidentialunderR.C.4112.05.268 (j) DNArecordsstoredinthestateDNAdatabasepursuanttoR.C.109.573.269 (k) Inmate records released by the Department of Rehabilitation and Correction to the DepartmentofYouthServicesoracourtofrecordpursuanttoR.C.5120.21(E).270 (l) RecordsoftheDepartmentofYouthServices(DYS)regardingchildreninitscustodythatare releasedtotheDepartmentofRehabilitationandCorrection(DRC)forthelimitedpurpose ofcarryingoutthedutiesoftheDRC.271 (m)Intellectual property records: While this exception seems broad, it has a specific definitionforthepurposesoftheOhioPublicRecordsAct,andislimitedtothoserecords thatareproducedorcollected:(1)byorforstateuniversityfacultyorstaff;(2)inrelationto studies or research on an education, commercial, scientific, artistic, technical, or scholarly issue;and(3)whichhavenotbeenpubliclyreleased,published,orpatented.272 (n) Donor profile records: Similar to the intellectual property exception, the donor profile records exception is given a specific, limited definition for the purposes of the Public Records Act. First, it only applies to records about donors or potential donors to public colleges and universities.273 Second, the names and reported addresses of all donors and the date, amount, and condition of their donation(s), are all public information.274 The exceptionappliestoallotherdonororpotentialdonorrecords.
SeeStateexrel.OShea&Assoc.v.CuyahogaMetro.HousingAuth.,131OhioSt.3d149,2012Ohio115,962N.E.2d297,44. R.C.149.43(A)(2). R.C.149.43(A)(1)(i). 269 R.C.149.43(A)(1)(j). 270 R.C.5120.21(A). 271 R.C.5139.05(D)(1);see,R.C.5139.05(D)forallrecordsmaintainedbyDYSofchildreninitscustody. 272 R.C.149.43(A)(1)(m);R.C.149.43(A)(5);seealso,Stateexrel.PhysiciansComm.forResponsibleMedicinev.Bd.ofTrs.ofOhioStateUniv., 108 Ohio St.3d 288, 2006Ohio903, 843 N.E.2d 174 (In finding universitys records of spinal cord injury research to be exempt intellectual property records, Court ruled that limited sharing of the records with other researchers to further the advancement of spinal cord injury researchdidnotmeanthattherecordshadbeenpubliclyreleased). 273 R.C.149.43(A)(6)(Donorprofilerecordmeansallrecordsaboutdonorsorpotentialdonorstoapublicinstitutionofhighereducation). 274 R.C.149.43(A)(6).
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(o) Records maintained by the Ohio Department of Job and Family Services on statutory employerreportsofnewhires.275 (p) Peace officer, parole officer, probation officer, bailiff, prosecuting attorney, assistant prosecuting attorney, correctional employee, communitybased correctional facility employee, youth services employee, firefighter, EMT or investigator of the Bureau of CriminalIdentificationandInvestigationresidentialandfamilialinformation.276SeeChapter Six: C. Residential and Familial Information of Covered Professions that are not Public Records. (q) Tradesecretsofcertaincountyandmunicipalhospitals:TradesecretsaredefinedatR.C. 1333.61(D),thedefinitionalsectionofOhiosUniformTradeSecretsAct. (r) Informationpertainingtotherecreationalactivitiesofapersonundertheageofeighteen. Thisincludesanyinformationthatwouldrevealthepersons: Addressortelephonenumber,orthatofpersonsguardian,custodian,oremergency contactperson; SocialSecurityNumber,birthdate,orphotographicimage; Medicalrecords,history,orinformation;or Informationsoughtorrequiredforthepurposeofallowingthatpersontoparticipate in any recreational activity conducted or sponsored by a public office or obtain admission privileges to any recreational facility owned or operated by a public office.277
(s) Listedrecordsofachildfatalityreviewboard(exceptfortheannualreportstheboardsare requiredbystatutetosubmittotheOhioDepartmentofHealth).278Thelistedrecordsare alsoprohibitedfromunauthorizedreleasebyR.C.307.629(B). (t) Records and information provided to the executive director of a public children services agencyorprosecutorregardingthedeathofaminorfrompossibleabuse,neglect,orother criminalconduct.Someoftheserecordsareprohibitedfromreleasetothepublic.Others maybecomepublicdependingonthecircumstances.279 (u) Nursinghomeadministratorlicensingtestmaterials,examinations,orevaluationtools.280 (v) Records the release of which is prohibited by state or federal law; this is often called the catchall exception. Although state and federal statutes can create both mandatory and discretionary exceptions by themselves, this provision also incorporates as exceptions by referenceanystatutesoradministrativecodethat prohibitthe releaseofspecificrecords. Anagencyruledesignatingparticularrecordsasconfidentialthatisproperlypromulgatedby a state or federal agency will constitute a valid catchall exception281 because such rules havetheeffectoflaw.282
R.C.149.43(A)(1)(o)(referencingR.C.3121.894). R.C.149.43(A)(7). R.C.149.43(A)(1)(r);R.C.149.43(A)(8). 278 R.C.149.43(A)(1)(s)(referencingR.C.307.621.629). 279 R.C.149.43(A)(1)(t)(referencingR.C.5153.171). 280 R.C.149.43(A)(1)(u)(referencingR.C.4751.04). 281 State ex rel. Lindsay v. Dwyer, 108 Ohio App.3d 462 (10th Dist. 1996) (State Teachers Retirement System properly denied access to beneficiaryformpursuanttoOhioAdministrativeCode);2000OhioOp.AttyGen.No.036(servicemembersdischargecertificateprohibited fromreleasebyGovernorsOfficeofVeteransAffairs,perfederalregulation,withoutservicememberswrittenconsent). 282 Columbus and Southern Ohio Elec. Co. v. Indus. Comm., 64 Ohio St.3d 119, 122, 592 N.E.2d 1367 (1992); Doyle v. Ohio Bureau of Motor Vehicles,51OhioSt.3d46,48,554N.E.2d97(1990);Stateexrel.DeBoev.Indus.Comm.,161OhioSt.67,117N.E.2d925(1954)(paragraphone ofsyllabus).
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But,iftherulewaspromulgatedoutsidetheauthoritystatutorilygrantedtotheagency,the ruleisnotvalidandwillnotconstituteanexceptiontodisclosure.283 (w)Proprietaryinformationoforrelatingtoanypersonthatissubmittedtoorcompiledbythe OhioVentureCapitalAuthority.284 (x) Allinformationandevaluationsregardingthepreparednessandcapacityoftraumacenters torespondtodisasters,masscasualties,andbioterrorism.285 (y) Financial statements and data any person submits for any purpose to the Ohio Housing Finance Agency or the Controlling Board in connection with applying for, receiving, or accounting for financial assistance from the agency, and information that identifies any individualwhobenefitsdirectlyorindirectlyfromfinancialassistancefromtheagency. (z) Recordsandinformationrelatingtofostercaregiversandchildrenhousedinfostercare,as well as children enrolled in licensed, certified, or registered child care centers. This exception applies only to records held by county agencies or the Ohio Department of Job andFamilyServices.286(SeealsoSectionG.13.CountyChildrenServicesAgencyRecords). (aa)Militarydischargesrecordedwithacountyrecorder.287 (bb) Usageinformationincludingnamesandaddressesofspecificresidentialand commercial customersofamunicipallyownedoroperatedpublicutility. (cc) Records described in division (C) of section 187.04 of the Revised Code that are not designatedtobemadeavailabletothepublicasprovidedinthatdivision.
F.
ExceptionsAffectingPersonalPrivacy
ThereisnogeneralprivacyexceptiontotheOhioPublicRecordsAct.Ohiohasnogeneralprivacylaw comparabletothefederalPrivacyAct.288However,apublicofficeisobligatedtoprotectcertainnon publicrecordpersonalinformationfromunauthorizeddissemination.289Thoughmanyoftheexceptions to the Public Records Act apply to information people would consider private, this section focuses specifically on records and information that are protected by: (1) the right to privacy found in the UnitedStatesConstitution;and(2)R.C.149.45andR.C.319.28(B),whicharelawsdesignedtoprotect personalinformationontheinternet.
1.
ConstitutionalRighttoPrivacy
The U.S. Supreme Court recognizes a constitutional right to informational privacy under the Fourteenth Amendments Due Process Clause. This right protects peoples interest in avoiding divulgence of highly personal information,290 but must be balanced against the public interest in
Stateexrel.Gallon&Takacs Co., L.P.A.v.Conrad, 123 OhioApp.3d 554, 560561(10thDist.1997)(BWCadministrativeruleprohibiting releaseofmanagedcareorganizationapplicationswasunauthorizedattempttocreateexceptiontoPublicRecordsAct). 284 R.C.149.43(A)(1)(w);see,R.C.150.01. 285 R.C.149.43(A)(1)(x);R.C.3701.072. 286 R.C.149.43(A)(1)(z);see,R.C.5101.29. 287 R.C.149.43(A)(1)(aa);see,R.C.317.24. 288 5U.S.C.552a. 289 OhiohasaPersonalInformationSystemsAct(PISA),Chapter1347oftheOhioRevisedCode,thatonlyappliestothoseitemstowhichthe Public Records Act does not apply; that is, PISA does not apply to public records but instead PISA only applies to records that have been determinedtobenonpublic,anditemsofinformationthatarenotrecordsasdefinedbythePublicRecordsAct.Publicofficescanfindmore detailedguidanceathttp://privacy.ohio.gov/government/aspx.SeealsoStateexrel.Renfrov.CuyahogaCty.Dept.ofHumanServ.,54Ohio St.3d25,560N.E.2d239(1990). 290 Kallstromv.CityofColumbus,136F.3d1055(6thCir.1998)(citingWhalenv.Roe,429U.S.589,598600(1977)).
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the information.291 Such information cannot be disclosed unless disclosure narrowly serves a compellingstateinterest.292 InOhio,theU.S.CourtofAppealsfortheSixthCircuithaslimitedthisrighttoinformationalprivacy to interests that are of constitutional dimension, that are considered fundamental rights or rights implicit in the concept of ordered liberty.293 That is, the consequence of disclosure must implicatesomeotherrightprotectedbytheConstitution. The Ohio Supreme Court has not authorized courts or other records custodians to create new exceptionstoR.C.149.43basedonabalancingofinterestsorgeneralizedprivacyconcerns.294In matters which do not rise to fundamental constitutional levels, the Court notes that many state statutes address privacy rights, and defers to the role of the General Assembly to balance the competingconcernsofthepublicsrighttoknowandindividualcitizensrighttokeepprivatecertain informationthatbecomespartoftherecordsofpublicoffices.295Casesfindinganeworexpanded constitutionalrightofprivacyaffectingpublicrecordsarerelativelyinfrequent. In the Sixth Circuit case of Kallstrom v. City of Columbus, several police officers sued the city for releasingtheirunredactedpersonnelfilestoanattorneyrepresentingmembersofacriminalgang whomtheofficershadinvestigatedandweretestifyingagainstinamajordrugcase.Thepersonnel filescontainedtheaddressesandphonenumbersoftheofficersandtheirfamilymembers,aswell as banking information, Social Security Numbers, and photo IDs.296 The Court held that, because release of the information could lead to the gang members causing the officers bodily harm, the officersfundamentalconstitutionalrightstopersonalsecurityandbodilyintegritywereatstake.297 TheCourtalsodescribedthisconstitutionalrightasapersonsinterestinpreserving[ones]life.298 The Court then found that the Ohio Public Records Act did not require release of the files in this manner,becausethedisclosuredidnotnarrowly[serve]thestatesinterestinensuringaccountable government.299 Based on the Sixth Circuits holding in Kallstrom, the Ohio Supreme Court subsequently held that policeofficershaveaconstitutionalrighttoprivacyintheirpersonalinformationthatcouldbeused by defendants in a criminal case to achieve nefarious ends.300 The Ohio Supreme Court has also suggestedthattheconstitutionalrighttoprivacyofminorswouldcomeintoplaywherereleaseof personalinformation[wouldcreate]anunacceptableriskthatachildcouldbevictimized.301 In another Sixth Circuit case, a county sheriff held a press conference to release the confidential andhighlypersonaldetailsofarape.TheCourtheldthatarapevictimhasafundamentalrightof privacy in preventing government officials gratuitously and unnecessarily releasing the intimate detailsoftherape,wherereleaseoftheinformationservednopenalogicalpurpose.302TheCourt indicatedthatreleaseofsomeofthedetailsmayhavebeenjustifiableifthedisclosurewouldhave served any specific law enforcement purpose, including apprehending the suspect, but no such justificationwasofferedinthiscase.
Kallstrom v. City of Columbus, 126 F.3d 1055, 1061 (6th Cir. 1998) (citing Whalen v. Roe, 429 U.S. 589, 602604 (1977)); Nixon v. AdministratorofGen.Servs.(1977),433U.S.425;seealso,J.P.v.DeSanti,653F.2d1080,1091(6thCir.1981). Kallstromv.CityofColumbus,136F.3d1055,1059(6thCir.1998). 293 Kallstromv.CityofColumbus,136F.3d1055,1062(6thCir.1998)(quotingJ.P.v.DeSanti,653F.2d1080,1090(6thCir.1981)). 294 Stateexrel.WBNSTVv.Dues,101OhioSt.3d406,2004Ohio1497,3031,3637. 295 Stateexrel.ToledoBladeCo.v.UniversityofToledo,65OhioSt.3d258,266,602N.E.2d1159(1992). 296 Kallstromv.CityofColumbus,136F.3d1055,1059(6thCir.1998). 297 Kallstromv.CityofColumbus,136F.3d1055,1063(6thCir.1998)(quotingDoev.ClairborneCounty,103F.3d495,507(6thCir.1996)). 298 Kallstromv.CityofColumbus,136F.3d1055,1063(6thCir.1998)(quotingNishiyamav.DicksonCounty,814F.2d277,380(6thCir.1987) (enbanc)). 299 Kallstromv.CityofColumbus,136F.3d1055,1065(6thCir.1998). 300 Stateexrel.Kellerv.Cox,85OhioSt.3d279,282,1999Ohio264;seealsoStateexrel.CincinnatiEnquirerv.Craig,132OhioSt.3d68,2012 Ohio1999,969N.E.2d243,1323(identitiesofofficersinvolvedinfatalaccidentwithmotorcycleclubexemptedfromdisclosurebasedon constitutionalrightofprivacy,wherereleasewouldcreateperceivedlikelythreatofseriousbodilyharmordeath). 301 Stateexrel.McClearyv.Roberts,88OhioSt.3d365,372,2000Ohio345. 302 Blochv.Ribar,156F.3d673,686(6thCir.1998).
292 291
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NeithertheOhioSupremeCourtnortheSixthCircuithasappliedtheconstitutionalrighttoprivacy broadly.Publicofficesandindividualsshouldthusbeawareofthispotentialprotection,butknow thatitislimitedtocircumstancesinvolvingfundamentalrights,andthatmostpersonalinformation isnotprotectedbyit.
2.
PersonalInformationListedOnline
R.C.149.45requirespublicofficestoredact,andpermitscertainindividualstorequestredactionof, specific personal information303 from any records made available to the general public on the internet.304 A person must make this request in writing on a form developed by the Attorney General,specifyingtheinformationtoberedactedandprovidinganyinformationthatidentifiesthe location of that personal information.305 In addition to the right of all persons to request the redaction of personal information defined above, persons in certain covered professions can also requesttheredactionoftheiractualresidentialaddressfromanyrecordsmadeavailablebypublic offices to the general public on the internet.306 When a public office receives a request for redaction,itmustactinaccordancewiththerequestwithinfivebusinessdays,ifpracticable.307If thepublicofficedeterminesthatredactionisnotpracticable,itmustexplaintotheindividualwhy theredactionisimpracticablewithinfivebusinessdays.308 R.C.149.45separatelyrequiresallpublicofficestoredact,encrypt,ortruncatetheSocial Security Numbersofindividualsfromanydocumentsmadeavailabletothegeneralpublicontheinternet.309 IfapublicofficebecomesawarethananindividualsSocialSecurityNumberwasnotredacted,the officemustredacttheSocialSecurityNumberwithinareasonableperiodoftime.310 Thestatuteprovidesthatapublicofficeisnotliableinacivilactionforanyallegedharmasaresult ofthefailuretoredactpersonalinformationoraddressesonrecordsmadeavailableontheinternet tothegeneralpublic,unlesstheofficeactedwithamaliciouspurpose,inbadfaith,orinawanton orrecklessmanner.311 Inadditiontotheprotectionslistedabove,R.C.319.28allowsacoveredprofessional312tosubmita request,byaffidavit,toremovehisorhernamefromthegeneraltaxlistofrealandpublicutility propertyandinsertinitialsinstead.313Uponreceivingsucharequest,thecountyauditorshallact withinfivedaysinaccordancewiththerequest.314Ifremovalisnotpracticable,theauditorsoffice mustexplainwhytheremovalandinsertionisimpracticable.315
Personalinformationisdefinedasanindividuals:socialsecuritynumber,federaltaxidentificationnumber,driverslicensenumberor stateidentificationnumber,checkingaccountnumber,savingsaccountnumber,orcreditcardnumber.R.C.149.43(A)(1). R.C.149.45(C)(1). 305 This form is available at http://www.OhioAttorneyGeneral.gov/Legal/SunshineLaws/OpenGovernment/YourRightstoanOpenand AccountableGovernmentundertheFormsdropdownmenuontheleft. 306 Coveredprofessionsinclude:peaceofficer,paroleofficer,probationofficer,bailiff,prosecutingattorney,assistantprosecutingattorney, correctionalemployee,youthservicesemployee,firefighter,EMT,orBCI&IInvestigator.(R.C.149.45(A)(2)).Foradditionaldiscussion,see ChapterSix:C.ResidentialandFamilialInformationofCoveredProfessionsthatarenotPublicRecords;R.C.149.45(D)(1)(thissectiondoes not apply to county auditor offices). The request must be on a form developed by the Attorney General, which is available at http://www.OhioAttorneyGeneral.gov/Legal/SunshineLaws/OpenGovernment/YourRightstoanOpenandAccountableGovernment undertheFormsdropdownmenuontheleft. 307 R.C.149.45(C)(2);R.C.149.45(D)(2). 308 R.C.149.45(C)(2);R.C.149.45(D)(2).NOTE:Explanationoftheimpracticabilityofredactionbythepublicofficecanbeeitheroralorwritten. 309 R.C.149.45(B)(1),(2);NOTE:Apublicofficeisalsoobligatedtoredactsocialsecuritynumbersfromrecordsthatwerepostedbeforethe effectivedateofR.C.149.45. 310 R.C.149.45(E)(1). 311 R.C.149.45(E)(2). 312 Apeaceofficer,paroleofficer,prosecutingattorney,assistantprosecutingattorney,correctionalemployee,communitybasedcorrectional facility employee, youth services employee, firefighter, EMT or investigator of the bureau of criminal identification and investigation. R.C. 319.28(B)(1). 313 R.C.319.28(B)(1). 314 R.C.319.28(B)(2). 315 R.C.319.28(B)(2).
304
303
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G. ExceptionsCreatedbyOtherLaws(byTopic)
Note:AdditionalstatutoryexceptionsbeyondthosementionedinthisChaptercanbefoundonlineat: http://www.OhioAttorneyGeneral.gov/Sunshine, by clicking the link to Publications, and then to AppendixBStatutoryProvisionsExceptingRecordsFromtheOhioPublicRecordsAct.
1. a.
AttorneyClientPrivilege,Discovery,andOtherLitigationItems AttorneyClientPrivilege
The attorneyclient privilege is one of the oldest recognized privileges for confidential communications.316 Attorneyclient privileged records and information must not be revealed without the clients waiver.317 Such records are thus prohibited from release by both state and federallawforpurposesofthecatchallexceptiontotheOhioPublicRecordsAct. Theattorneyclientprivilegeariseswheneverlegaladviceofanykindissoughtfromaprofessional legaladvisorinhisorhercapacityassuch,andthecommunicationsrelatingtothatpurpose,made inconfidencebytheclient,areattheclientsinstancepermanentlyprotectedfromdisclosurebythe client or the legal advisor.318 Records or information within otherwise public records that meet those criteria must be withheld or redacted in order to preserve attorneyclient privilege. For example, drafts of proposed bond documents prepared by an attorney are protected by the attorneyclientprivilege,andarenotsubjecttodisclosure.319 Theprivilegeappliestorecordsofcommunicationsbetweenpublicofficeclientsandtheirattorneys inthesamemannerthatitdoesforprivateclientsandtheircounsel.320Communicationsbetweena client and his or her attorneys agent may also be subject to the attorneyclient privilege.321 The privilege also applies to documents containing communications between members ofa representedpublicentityaboutthelegaladvicegiven.322Forexample,thenarrativeportions of itemized attorney billing statements to a public office that contain descriptions of work performed may be protected by the attorneyclient privilege, although the portions which reflect dates,hours,rates,andamountbilledfortheservicesareusuallynotprotected.323
b.
CriminalDiscovery
The Ohio Supreme Court has determined that in a pending criminal proceeding, defendants may only seek records through discovery under the Rules of Criminal Procedure.324 However, this limitation does not extend to police initial incident reports, which must be made available immediately,eventothedefendant.325
Stateexrel.Lesliev.OhioHous.Fin.Agency,105OhioSt.3d261,2005Ohio1508,824N.E.2d990,19(quotingSwidler&Berlinv.United States,524U.S.399(1998)). 317 Stateexrel.Lesliev.OhioHous.Fin.Agency,105OhioSt.3d261,2005Ohio1508,824N.E.2d990,18;see,e.g.,Reedv.Baxter,134F.3d 351,356(6thCir.1998);Stateexrel.Nixv.CityofCleveland,83OhioSt.3d379,383,1998Ohio290;TBCWestlake,Inc.v.HamiltonCty.Bd.of Revision,81OhioSt.3d58,1998Ohio445;Stateexrel.Besserv.OhioStateUniv.,87OhioSt.3d535,2000Ohio475;Stateexrel.Thomasv. OhioStateUniv.,71OhioSt.3d245,1994Ohio261. 318 Stateexrel.Lesliev.OhioHous.Fin.Agency,105OhioSt.3d261,265,2005Ohio1508,824N.E.2d990,21(quotingReedv.Baxter,134 F.3d351,355356(6thCir.1998)). 319 Stateexrel.Benesch,Friedlander,Coplan&Aronoff,LLPv.CityofRossford,140OhioApp.3d149,156(6thDist.2000). 320 Stateexrel.Lesliev.OhioHous.Fin.Agency,105OhioSt.3d261,2005Ohio1508,824N.E.2d990,23(attorneyclientprivilegeappliesto communicationsbetweenstateagencypersonnelandtheirinhousecounsel);AmericanMotorsCorp.v.Huffstutler,61OhioSt.3d343(1991). 321 State ex rel. Toledo Blade v. ToledoLucas Cty. Port Auth., 121 Ohio St.3d 537, 2009Ohio1767 (a factual investigation may invoke the attorneyclientprivilege).Statev.Post,32OhioSt.3d380,385(1987). 322 See,Stateexrel.Thomasv.OhioStateUniv.,71OhioSt.3d245,251,1994Ohio261. 323 State ex rel. Anderson v. City of Vermilion, Ohio Supreme Court No. 20120943, 2012Ohio5320 (Nov. 21, 2012), 1315; State exrel. Dawsonv.BloomCarrollLocalSchoolDist.,131OhioSt.3d10,2011Ohio6009. 324 Stateexrel.Steckmanv.Jackson,70OhioSt.3d420,432(1994)(information,notsubjecttodiscoverypursuanttoCrim.R.16(B),contained in the file of a prosecutor who is prosecuting a criminal matter, is not subject to release as a public record pursuant to R.C. 149.43 and is specificallyexemptfromreleaseasatrialpreparationrecordinaccordancewithR.C.149.43(A)(4).). 325 Stateexrel.RasulBeyv.Onunwor,94OhioSt.3d119,120,2002Ohio67(criminaldefendantslimitationtousingonlycriminaldiscovery doesnotapplytoinitialincidentreports,whicharesubjecttoimmediatereleaseuponrequest);StateofOhiov.Twyford,2001Ohio3241(7th Dist.).
316
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However, when the records requested by criminal defendants are not related to their ongoing criminal case, the discovery limitation does not apply.326 Such requests must be analyzed in the samemannerasanyotherpublicrecordsrequest. Note that when the prosecutor discloses materials to the defendant pursuant to the rules of criminalprocedure,thatdisclosuredoesnotmeanthoserecordsautomaticallybecomeavailablefor publicdisclosure.327Theprosecutordoesnotwaive328applicablepublicrecordsexceptions,suchas trial preparation records or confidential law enforcement records,329 simply by complying with discoveryrules.330
c.
CivilDiscovery
Unlikeinthecriminalarena,inpendingcivilcourtproceedingsthepartiesarenotconfinedtothe materials available under the civil rules of discovery. A civil litigant is permitted to use the Ohio Public Records Act in addition to the more restricted limits associated with civil discovery.331 The nature of a request as either discovery or request for public records will determine available enforcement.332 Astotheuseofthesepublicrecordsasevidenceinlitigation,theOhioRulesofEvidencegovern.333 Justice Strattons concurring opinion in Gilbert v. Summit County, noted that trial courts have discretiontoadmitorexcludeevidence,andadded,moredirectly,trialcourtshavediscretionto impose sanctions for discovery violations, one of which could be exclusion of that evidence, and she concluded that, even though a party may effectively circumvent a discovery deadline by acquiring a document through a public records request, it is the trial court that ultimately determineswhetherthoserecordswillbeadmittedinthependinglitigation.334
d.
Prosecutor and Government Attorney Files (Trial Preparation andWorkProduct)
R.C.149.43(A)(1)(g)exceptsfromreleaseanytrialpreparationrecords,whicharedefinedasany record that contains information that is specifically compiled in reasonable anticipation of, or in defenseof,acivilorcriminalactionorproceeding,includingtheindependentthoughtprocessesand personal trial preparation of an attorney.335 Documents that a public office obtains as a litigant through discovery will ordinarily qualify as trial preparation records,336 as would the material compiled for a specific criminal proceeding by a prosecutor or the personal trial preparation by a publicattorney.337Attorneytrialnotesandlegalresearcharetrialpreparationrecords,whichmay be withheld from disclosure.338 Virtually everything in a prosecutors file during an active prosecutioniseithermaterialcompiledinanticipationofaspecificcriminalproceedingorpersonal trial preparation of the prosecutor, and is therefore exempt from public disclosure as trial preparation material.339 However, unquestionably nonexempt materials do not transform into
Stateexrel.Kellerv.Cox,85OhioSt.3d279,281282,1999Ohio264(whererecordssoughthavenorelationtocrimeorcase,Stateexrel. Steckmanv.Jackson,70OhioSt.3d420(1994)isnotapplicable). Stateexrel.WHIOTV7v.Lowe,77OhioSt.3d350,355,1997Ohio271. 328 SeeChapterThree:C.WaiverofanException. 329 SeeChapterThree:E.(g)Trialpreparationrecords;seealsoChapterSix:A.CLEIRs:ConfidentialLawEnforcementInvestigatoryRecords Exception. 330 Stateexrel.WHIOTV7v.Lowe,77OhioSt.3d350,354355,1997Ohio271. 331 Gilbertv.SummitCounty,104OhioSt.3d660,661662,2004Ohio7108. 332 Stateexrel.TPMech.Contractors,Inc.v.FranklinCty.Bd.ofCommrs,2009Ohio3614(10thDist.) 333 R.Evid.803(8),1005;StateofOhiov.Curti,153OhioApp.3d183,2003Ohio3286,15(7thDist.). 334 Gilbertv.SummitCounty,104OhioSt.3d660,2004Ohio7108,11. 335 R.C.149.43(A)(4). 336 ClevelandClinicFound.v.Levin,120OhioSt.3d1210,2008Ohio6197,10. 337 Stateexrel.Steckmanv.Jackson,70OhioSt.3d420,431432(1994). 338 Stateexrel.Nixv.CityofCleveland,83OhioSt.3d379,384385,1998Ohio290. 339 Stateexrel.Steckmanv.Jackson,70OhioSt.3d420,432(1994);Stateexrel.Towlerv.OBrien,2005Ohio363,1416(10thDist.).
327
326
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trial preparation records simply by virtue of being held in a prosecutors file.340 For example, routineoffenseandincidentreportsaresubjecttoreleasewhileacriminalcaseisactive,including thoseinthefilesoftheprosecutor.341 The common law attorney work product doctrine also protects a broader range of materials than attorneyclient privilege.342 The doctrine provides a qualified privilege,343 and is incorporated into Rule 26 of the Ohio and Federal Rules of Civil Procedure. Ohio Civ.R. 26(B)(3) protects material prepared in anticipation of litigation or for trial. The rule protects the notes or documents containingthementalimpressions,conclusions,opinions,orlegaltheoriesofitsattorneyorother representativeconcerningthelitigation.344
e.
SettlementAgreementsandOtherContracts
Whereagovernmentalentityisapartytoasettlement,thetrialpreparationrecordsexceptionwill not apply to the settlement agreement.345 But the parties are entitled to redact any information within the settlement agreement that is subject to the attorneyclient privilege.346 Any provision withintheagreementthatspecifiesitshallbekeptconfidentialisvoidandunenforceablebecausea contractualprovisionwillnotsupersedeOhiopublicrecordslaw.347
2.
IncomeTaxReturns
Generally, any information gained as a result of municipal and State income tax returns, investigations,hearings,orverificationsareconfidentialandmayonlybedisclosedaspermittedby law.348Ohiosmunicipaltaxcodeprovidesthatinformationmayonlybedisclosed(1)inaccordance withajudicialorder;(2)inconnectionwiththeperformanceofofficialduties;or(3)inconnection with authorized official business of the municipal corporation.349 One Attorney General Opinion foundthatW2federaltaxformspreparedandmaintainedbyatownshipasanemployerarepublic records, but that W2 forms filed as part of a municipal income tax return are confidential.350 ReleaseofmunicipalincometaxinformationtotheAuditorofStateispermissibleforpurposesof facilitationofanaudit.351 Federaltaxreturnsandreturninformationarealsoconfidential.352W4formsareconfidentialas return information, which includes data with respect to the determination of the existence of liability,ortheamountthereof,ofanypersonforanytax.353
Stateexrel.WLWTTV5v.Leis,77OhioSt.3d357,361,1997Ohio273.SeealsoStateexrel.FasulBeyv.Onunwor,94OhioSt.3d199,120, 2002Ohio67(findingthatacriminaldefendantwasentitledtoimmediatereleaseofinitialincidentreports). Stateexrel.FasulBeyv.Onunwor,94OhioSt.3d119,120,2002Ohio67(findingthatacriminaldefendantslimitationtodiscoverydoes notapplytoinitialincidentreports,whicharesubjecttoimmediatereleaseuponrequest);Stateexrel.Steckmanv.Jackson,70OhioSt.3d420, 435(1994). 342 Schaefer,Inc.v.GarfieldMitchellAgency,Inc.,82OhioApp.3d322(2ndDist.1992);Hickmanv.Taylor,329U.S.495(1947). 343 Squire,Sanders&Dempsey,L.L.P.v.GivaudanFlavorsCorp.,127OhioSt.3d161,2010Ohio4469,55. 344 Id.54,60. 345 Stateexrel.CincinnatiEnquirerv.Dupuis,98OhioSt.3d126,2002Ohio7041,1121;Stateexrel.Kinsleyv.BereaBd.ofEduc.,64Ohio App.3d659,663(8thDist.1990);Stateexrel.SunNewspapersv.CityofWestlakeBd.ofEduc.,76OhioApp.3d170,172173(8thDist.1991). 346 State exrel. Sun Newspapers v. City of Westlake Bd. of Educ., 76 Ohio App.3d 170, 173 (8th Dist. 1991); see also Chapter Three: G.1.a. AttorneyClientPrivilege. 347 Kellerv.CityofColumbus,100OhioSt.3d192,2003Ohio5599,20;Stateexrel.FindleyPublgCo.v.HancockCountyBd.ofCommrs,80 OhioSt.3d134,136137,1997Ohio353;seegenerallyChapterThree:G.8.ContractualConfidentiality. 348 R.C.5747.18(C);R.C.718.13(A);seealsoRenov.CityofCenterville,2004Ohio781(2dDist.). 349 R.C.718.13;seealsoCityofCincinnativ.Grogan,141OhioApp.3d733,755(1stDist.2011)(findingthat,underCincinnatiMunicipalCode, thecitysuseoftaxinformationinanuisanceabatementactionconstitutedanofficialpurposeforwhichdisclosureispermitted). 350 1992OhioOp.AttyGen.No.013. 351 SeeR.C.5747.18(C);seealso1992OhioOp.AttyGen.No.010. 352 26U.S.C.6103(a). 353 26U.S.C.6103(b)(2)(A).
341
340
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3. TradeSecrets
TradesecretsaredefinedinR.C.1333.61(D)andincludeanyinformation,includinganybusiness informationorplans,financialinformation,orlistingofnamesthat: 1) Derivesactualorpotentialindependenteconomicvaluefromnotbeinggenerallyknown to, and not being readily ascertainable by proper means by, other persons who can obtaineconomicvaluefromitsdisclosureoruse; and 2) Is the subject of efforts that are reasonable under the circumstances to maintain its secrecy.354 Information identified in records by its owner as trade secret is not automatically excepted from disclosure under R.C. 149.43(A)(1)(v) of the Public Records Act as records the release of which is prohibited by state or federal law. Rather, identification of a trade secret requires a factbased assessment.355Anentityclaimingtradesecretstatusbearstheburdentoidentifyanddemonstrate that the material is included in categories of protected information under the statute and additionallymusttakesomeactivestepstomaintainitssecrecy.356TheOhioSupremeCourthas adopted the following factors in analyzing a trade secret claim: (1) the extent to which the informationisknownoutsidethebusiness;(2)theextenttowhichitisknowntothoseinsidethe business,i.e.,bytheemployees;(3)theprecautionstakenbytheholderofthetradesecrettoguard the secrecy of the information; (4) the savings effected and the value to the holder in having the informationasagainstcompetitors;(5)theamountofeffortormoneyexpendedinobtainingand developing the information; and (6) the amount of time and expense it would take for others to acquireandduplicatetheinformation.357Themaintenanceofsecrecyisimportant,butdoesnot require that the trade secret be completely unknown to the public in its entirety. If parts of the tradesecretareinthepublicdomain,butthevalueofthetradesecretderivesfromthepartsbeing takentogetherwithothersecretinformation,thenthetradesecretremainsprotectedunderOhio law.358 Tradesecretlawisunderpinnedbytheprotectionofcompetitiveadvantageinprivate,notpublic, business.359 However, the Ohio Supreme Court has held that certain governmental entities can have trade secrets in limited situations.360 Signed nondisclosure agreements do not create trade secretstatusforotherwisepubliclydisclosabledocuments.361 Anincamerainspectionmaybenecessarytodetermineifdisputedrecordscontaintradesecrets.362
R.C.1333.61(D)(adoptstheUniformTradeSecretsAct);seealsoR.C.149.43(A)(1)(m);R.C.149.43(A)(5). FredSiegelCo.,L.P.A.v.Arter&Hadden,85OhioSt.3d171,181(findingthattime,effort,ormoneyexpendingindevelopinglawfirms clientlist,aswellasamountoftimeandexpenseitwouldtakeforotherstoacquireandduplicateit,maybeamongfactfindersconsiderations indeterminingifthatinformationqualifiesasatradesecret). 356 Stateexrel.Besserv.OhioSt.Univ.,89OhioSt.3d396,400,2000Ohio207(BesserII). 357 Stateexrel.Besserv.OhioSt.Univ.,89OhioSt.3d396,399400,2000Ohio207(citationomitted). 358 Stateexrel.Besserv.OhioSt.Univ.,89OhioSt.3d396,399400,2000Ohio207. 359 Stateexrel.ToledoBladeCo.v.Univ.ofToledoFound.,65OhioSt.3d258,264(1992). 360 Stateexrel.Besserv.OhioSt.Univ.,87OhioSt.3d535,543,2000Ohio475(BesserI)(findingthatapublicentitycanhaveitsowntrade secrets);Stateexrel.LucasCountyBd.ofCommrsv.OhioEPA,88OhioSt.3d166,171,2000Ohio282;Stateexrel.PlainDealerv.OhioDept.of Ins.,80OhioSt.3d513,524525,1997Ohio75;compareStateexrel.GannettSatelliteInfo.Networkv.Shirey,76OhioSt.3d1224,12241225, 1997Ohio206(findingthatresumesarenottradesecretsofaprivateconsultant);Stateexrel.Reav.OhioDept.ofEd.,81OhioSt.3d527,533, 1998Ohio334(findingthatproficiencytestsarepublicrecordaftertheyhavebeenadministered;butcompareStateexrel.Perreav.Cincinnati Pub.Sch.,123OhioSt.3d410,2009Ohio4762,3233(holdingthatapublicschoolhadproventhatcertainsemesterexaminationrecords metthestatutorydefinitionoftradesecretinR.C.1333.61(D))). 361 Stateexrel.PlainDealerv.OhioDept.ofIns.,80OhioSt.3d513,527,1997Ohio75. 362 Stateexrel.AllrightParkingofCleveland,Inc.v.CityofCleveland,63OhioSt.3d772,776(1992)(findingthatanincamerainspectionmay benecessarytodeterminewhetherdisputedrecordscontaintradesecrets);Stateexrel.LucasCountyBd.ofCommrsv.OhioEPA,88Ohio St.3d166,2000Ohio282;Stateexrel.Besserv.OhioSt.Univ.,89OhioSt.3d396,404405,2000Ohio207(BesserII)(followinganincamera inspection,theCourtheldthatauniversitysbusinessplanandmemorandaconcerningamedicalcenterdidnotconstitutetradesecrets).
355 354
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4. JuvenileRecords
Althoughitisacommonmisconception,thereisnoOhiolawthatcategoricallyexcludesalljuvenile recordsfrompublicrecordsdisclosure.363Aswithanyotherrecord,apublicofficemustidentifya specificlawthatrequiresorpermitsarecordregardingajuveniletobewithheld,orelseitmustbe released.364Examplesoflawsthatexceptspecificjuvenilerecordsinclude: JuvenileCourtRecords:Recordsmaintainedbythejuvenilecourtandthepartiesthereintypically arenotavailableforpublicinspectionandcopying.365Althoughthejuvenilecourtmayexcludethe generalpublicfrommosthearings,seriousyouthfuloffenderproceedingsandtheirtranscriptsare open to the public unless the court orders a hearing closed.366 The closure hearing notice, proceedings, and decision must themselves be public.367 Records of social, mental, and physical examinationsconductedpursuanttoajuvenilecourtorder,368recordsofjuvenileprobation,369and recordsofjuvenilesheldincustodybytheDepartmentofYouthServicesarenotpublicrecords.370 Sealedorexpungedjuvenileadjudicationrecordsmustbewithheld.371 LawEnforcementRecords:Juvenileoffenderinvestigationrecordsmaintainedbylawenforcement agencies, in general, are treated no differently than adult records, including records identifying a juvenile suspect, victim, or witness in an initial incident report.372 Specific additional juvenile exemptions apply to: 1) fingerprints, photographs, and related information in connection with specified juvenile arrest or custody;373 2) certain information forwarded from a childrens services agency;374 and 3) sealed or expunged juvenile records (see Juvenile Court Records, above). Most information held by local law enforcement offices may be shared with other law enforcement agenciesandsomemaybesharedwithaboardofeducationuponrequest.375 Federal law similarly prohibits disclosure of specified records associated with federal juvenile delinquency proceedings.376 Additionally, federal laws restrict the disclosure of fingerprints and photographs of a juvenile found guilty in federal delinquency proceedings of committing a crime thatwouldhavebeenafelonyifthejuvenilewereprosecutedasanadult.377 Some Other Exceptions for Juvenile Records: 1) reports regarding allegations of child abuse;378 2) certainrecordsofchildrensservicesagencies;3793)individuallyidentifiablestudentrecords;380and 4)informationpertainingtotherecreationalactivitiesofapersonundertheageofeighteen.381
1990OhioOp.AttyGen.No.101. 1990 Ohio Op. Atty Gen. No. 101; See Chapter Two: A.14.b. Requirement to Notify of and Explain Redactions and Withholding of Records. 365 Juv.P.Rules27and37(B),R.C.2151.35;1990OhioOp.AttyGen.No.101. 366 Stateexrel.ScrippsHowardBroadcastingCo.v.CuyahogaCountyCt.ofCommonPleas,73OhioSt.3d19,2122(1995)(thereleaseofa transcriptofajuvenilecontemptproceedingwasrequiredwhenproceedingswereopentothepublic). 367 Stateexrel.PlainDealerv.Floyd,111OhioSt.3d56,2006Ohio4437,4452. 368 Juv.R.ofCiv.Proc.32(B). 369 R.C.2151.14. 370 R.C.5139.05(D). 371 R.C.2151.355through.358;SeeStateexrel.Doev.Smith,123OhioSt.3d44,2009Ohio4149,6,9,38,43(whererecordsweresealed pursuant to R.C. 2151.356, the response, There is no information available, was a violation of R.C. 149.43(B)(3) requirement to provide a sufficientexplanation,withlegalauthority,forthedenial);seealsoChapterSix:D.CourtRecords. 372 SeeChapterSix:A.CLEIRs;1990OhioOp.AttyGen.No.101. 373 R.C.2151.313;Stateexrel.Carpenterv.ChiefofPolice,8thDist.No.62482(Sep.17,1992)(notingthatotherrecordsmayincludethe juvenilesstatementoraninvestigatorsreportiftheywouldidentifythejuvenile);butseeR.C.2151.313(A)(3)(statingthat[t]hissectiondoes notapplytoachildtowhomeitherofthefollowingapplies:(a)Thechildhasbeenarrestedorotherwisetakenintocustodyforcommitting,or hasbeenadjudicatedadelinquentchildforcommitting,anactthatwouldbeafelonyifcommittedbyanadultorhasbeenconvictedofor pleadedguiltytocommittingafelony.(b)Thereisprobablecausetobelievethatthechildmayhavecommittedanactthatwouldbeafelonyif committedbyanadult.)Alsonotethatthisstatutedoesnotapplytorecordsofajuvenilearrestor custodythatwasnot thebasisofthe takingofanyfingerprintsandphotographs.1990OhioOp.AttyGen.No.101. 374 E.g.,Stateexrel.BeaconJournalPublgCo.v.Akron,104OhioSt.3d399,2004Ohio6557,4445(informationreferredfromachildrens servicesagencyaspotentiallycriminalmayberedactedfrompolicefiles,includingtheincidentreport,pursuanttoR.C.2151.421(H)). 375 R.C. 2151.14(D)(1)(e); 1990 Ohio Op. Atty Gen. No. 099 (opining that a local board of education may request and receive information regardingstudentdrugoralcoholusefromcertainrecordsoflawenforcementagencies);1987OhioOp.AttyGen.No.010. 376 18U.S.C.5038(a),5038(e)oftheFederalJuvenileDelinquencyAct(18U.S.C.50315042)(theserecordscanbeaccessedbyauthorized personsandlawenforcementagencies). 377 See18U.S.C.5038(d). 378 R.C.2151.421(H)(1);Stateexrel.BeaconJournalPublgCo.v.Akron,104OhioSt.3d399,2004Ohio6557,4445.
364 363
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5. SocialSecurityNumbers
SocialSecurityNumbers(SSNs)shouldberedactedbeforethedisclosureofpublicrecords,including court records.382 The Ohio Supreme Court has held that while the federal Privacy Act (5 U.S.C. 552a)doesnotexpresslyprohibitreleaseofonesSSN,theActdoescreateanexpectationofprivacy astotheuseanddisclosureoftheSSN.383 Any federal, state, or local government agency that asks individuals to disclose their SSNs must advisetheperson:(1)whetherthatdisclosureismandatoryorvoluntaryand,ifmandatory,under whatauthoritytheSSNissolicited;and(2)whatusewillbemadeofit.384Inshort,aSSNcanonlybe disclosedifanindividualhasbeengivenpriornoticethattheSSNwillbepubliclyavailable. However,theOhioSupremeCourthasruledthat911tapesmustbemadeimmediatelyavailablefor publicdisclosure385withoutredaction,evenifthetapescontainSSNs.386TheCourtexplainedthat thereisnoexpectationofprivacywhenapersonmakesa911call.Instead,thereisanexpectation that the information will be recorded and disclosed to the public.387 Similarly, the Ohio Attorney GeneralhasopinedthatthereisnoexpectationofprivacyinofficialdocumentscontainingSSNs.388 TheOhioSupremeCourtsinterpretationofOhiolawwithrespecttoreleaseandredactionofSSNs isbindingonpublicofficeswithinthestate.However,anarrowerviewexpressedbya2008federal appeals court decision389 is worth noting, as it may impact future Ohio Supreme Court opinions regarding the extent of a persons constitutional right to privacy in his or her SSN. In Lambert v. Hartman, the U.S. Sixth Circuit Court of Appeals looked to its own past decisions to find a constitutional privacy right in personal information in only two situations: (1) where release of personalinformationcouldleadtobodilyharm,390and(2)wheretheinformationreleasedwasofa sexual, personal, and humiliating nature.391 The Court explained that it would only balance an individuals right to control the nature and extent of information when a fundamental liberty interest is involved.392 The interest asserted in Lambert protection from identity theft and the resulting financial harm was found not to implicate a fundamental right, especially when 379
380 381
R.C.5153.17. SeeChapterThree,G.ExceptionsCreatedbyOtherLaws,6.StudentRecords. R.C.149.42(A)(1)(r);seealsoStateexrel.McClearyv.Roberts,88OhioSt.3d365,2000Ohio345. 382 Stateexrel.OfficeofMontgomeryCountyPub.Defenderv.Siroki,108OhioSt.3d207,2006Ohio662,18(findingthattheclerkofcourts correctlyredactedSSNsfromcriminalrecordsbeforedisclosure);Stateexrel.Highlanderv.Rudduck,103OhioSt.3d370,2004Ohio4952,25 (notingthatSSNsshouldberemovedbeforereleasingcourtrecords);seealsoStateexrel.BeaconJournalPublgCo.v.Bond,98OhioSt.3d146, 2002Ohio7117,25(findingthatthepersonalinformationofjurorswasusedonlytoverifyidentification,nottodeterminecompetencyto serveonthejury,andSSNs,telephonenumbers,driverslicensenumbers,mayberedacted);Stateexrel.Waddv.Cleveland,81OhioSt.3d50, 53,1998Ohio444(statingthatthereisnothingtosuggestthatWaddwouldnotbeentitledtopublicaccess[]followingpromptredactionof exemptinformationsuchasSocialSecurityNumbers);Stateexrel.BeaconJournalPublgCo.v.KentState,68OhioSt.3d40,43,1993Ohio 146(determining,onremand,thatthecourtofappealsmayredactconfidentialinformationthereleaseofwhichwouldviolateconstitutional righttoprivacy);Lambertv.Hartman,517F.3d433,445(6thCir.2008)(determiningthat,asapolicymatter,aclerkofcourtsdecisiontoallow publicinternetaccesstopeoplesSSNswasunwise). 383 State ex rel. Beacon Journal Publg v. City of Akron, 70 Ohio St.3d 605, 607, 1994Ohio6 (determining that city employees had an expectationofprivacyoftheirSSNssuchthattheymustberedactedbeforereleaseofpublicrecordstonewspapers);compareStateexrel. Cincinnati Enquirer v. Hamilton County, 75 Ohio St.3d 374, 378, 1996Ohio214 (finding that SSNs contained in 911 tapes are public records subjecttodisclosure);butseeR.C.4931.49(E),4931.99(E)(providingthatinformationfromadatabasethatservespublicsafetyansweringpoint of 911 system may not be disclosed); 1996 Ohio Op. Atty Gen. No. 034 (opining that a county recorder is under no duty to obliterate SSN beforemakingadocumentavailableforpublicinspectionwheretherecorderpresentedwiththedocumentwasaskedtofileit). 384 PrivacyActof1974,Pub.L.No.93579,88Stat.1896(5U.S.C.552a(West2000)). 385 Stateexrel.DispatchPrintingCo.v.MorrowCountyProsecutorsOffice,105OhioSt.3d172,2005Ohio685, 5;Stateexrel.Cincinnati Enquirerv.Hamilton County, 75OhioSt.3d 374, 377, 1996Ohio214;butseeR.C.4931.49(E), 4931.99(E) (providingthatinformationfroma databasethatservespublicsafetyansweringpointof911systemmaynotbedisclosed). 386 Stateexrel.CincinnatiEnquirerv.HamiltonCounty,75OhioSt.3d374,1996Ohio214. 387 Stateexrel.DispatchPrintingCo.v.MorrowCountyProsecutorsOffice,105OhioSt.3d172,2005Ohio685;Stateexrel.CincinnatiEnquirer v.HamiltonCounty,75OhioSt.3d374,1996Ohio214. 388 1996OhioOp.AttyGen.No.034 (opiningthatthefederalPrivacyActdoesnotrequire countyrecorderstoredactSSNsfromcopiesof officialrecords);butseeR.C.149.45(B)(1)(specifyingthatnopublicofficeshallmakeanydocumentcontaininganindividualsSSNavailableon theinternetwithoutremovingthenumberfromthatdocument). 389 Lambertv.Hartman,517F.3d433,445(6thCir.2008). 390 Kallstromv.CityofColumbus,136F.3d1055(6thCir.1998). 391 Blochv.Ribar,156F.3d673,686687(6thCir.1998)(determiningthatasheriffspublicationofdetailsofarapeimplicatedthevictimsright tobefreefromgovernmentalintrusionintomatterstouchingonsexualityandfamilylife,andpermittingsuchanintrusionwouldbetostrip awaytheveryessenceofherpersonhood). 392 Lambertv.Hartman,517F.3d433,440(6thCir.2008).
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compared to the fundamental interests found in earlier cases; i.e., preserving the lives of police officersandtheirfamilymembersfromaveryrealthreat393byaviolentgang,andwithholdingthe highlypersonalandextremelyhumiliatingdetails394ofarape.
6.
StudentRecords395
The federal Family Education Rights and Privacy Act of 1974 (FERPA)396 prohibits educational institutions from releasing a students education records without the written consent of the eligiblestudent397orhisorherparents,exceptaspermittedbytheAct.398Educationrecordsare recordsdirectlyrelatedtoastudentthataremaintainedbyaneducationagencyorinstitutionorby a party acting for the agency or institution.399 The term encompasses records such as school transcripts,attendancerecords,andstudentdisciplinaryrecords.400Educationrecordscoveredby FERPAarenotlimitedtoacademicperformance,financialaid,orscholasticperformance.401 A record is considered to be directly related to a student if it contains personally identifiable information. The latter term is defined broadly: it covers not only obvious identifiers such as student and family member names, addresses, and Social Security Numbers, but also personal characteristics or other information that would make the students identity easily linkable.402 In evaluating records for release, an institution must consider what the records requester already knows about the student to determine if that knowledge, together with the information to be disclosed,wouldallowtherequestertoascertainthestudentsidentity. The federal FERPA law applies to all students, regardless of grade level. In addition, Ohio has adoptedlawsspecificallyapplicabletopublicschoolstudentsingradesK12.403Thoselawsprovide that, unless otherwise authorized by law, no public school employee is permitted to release or permitaccesstopersonallyidentifiableinformationotherthandirectoryinformationconcerning a public school student without written consent of the students parent, guardian, or custodian if thestudentisunder18,orofthestudentifthestudentis18orolder.404 Directory information is one of several exceptions to the requirement that an institution obtain written consent prior to disclosure. Directory information is informationthat would not generally be considered harmful or an invasion of privacy if disclosed.405 It includes a students name, address, telephone listing, date and place of birth, major field of study, participation in officiallyrecognizedactivitiesandsports,weightandheightofmembersofathleticteams,datesof attendance, date of graduation, and awards achieved.406 Pursuant to federal law, postsecondary institutionsdesignatewhattheywillunilaterallyreleaseasdirectoryinformation.ForK12students, Ohiolawleavesthatdesignationtoeachschooldistrictboardofeducation.Institutionsatalllevels mustnotifyparentsandeligiblestudentsandgivethemanopportunitytooptoutofdisclosureof theirdirectoryinformation.407 Ohiolawprohibitsreleaseofdirectoryinformationtoanypersonorgroupforuseinaprofitmaking planoractivity. A public officemayrequire disclosureoftherequestersidentityoftheintended 393
Lambertv.Hartman,517F.3d433,441(6thCir.2008)citingKallstromv.CityofColumbus,136F.3d1055,1063(6thCir.2008). Blochv.Ribar,156F.3d673,676(6thCir.2008). SeealsoChapterSix:B.9.SchoolRecords. 396 20U.S.C.1232g. 397 34 C.F.R 99.3 (eligible student means a student who has reached 18 years of age or is attending an institution of postsecondary education). 398 34C.F.R.99.30. 399 34C.F.R.99.3. 400 Stateexrel.ESPN,Inc.v.OhioStateUniv.,132OhioSt.3d212,2012Ohio2690,970N.E.2d939,2830(universitydisciplinaryrecordsare educationrecords);seealsoUnitedStatesv.MiamiUniv.,294F.3d797,802803(6thCir.2002). 401 Stateexrel.ESPN,Inc.v.OhioStateUniv.,132OhioSt.3d212,2012Ohio2690,970N.E.2d939,30. 402 34C.F.R.99.3. 403 R.C.3319.321. 404 R.C.3319.321(B). 405 34C.F.R.99.3. 406 R.C.3319.321(B)(1). 407 34C.F.R.99.37.
394 395
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use of directory information in order to ascertain if it will be used in a profitmaking plan or activity.408 Although the release of FERPAprotected records is prohibited by law, a public office or school should redact the students personal identifying information, instead of withholding the entire record,wherepossible.409 7. InfrastructureandSecurityRecords In2002,theOhiolegislatureenactedanantiterrorismbill.AmongotherchangestoOhiolaw,the bill created two new categories of records that are exempt from mandatory public disclosure: infrastructure records and security records.410 Other state and federal411 laws may create exceptionsforthesameorsimilarrecords.
a.
InfrastructureRecords
Aninfrastructurerecordisanyrecordthatdisclosestheconfigurationofapublicofficescritical systems, such as its communications, computer, electrical, mechanical, ventilation, water, plumbing,orsecuritysystems.412Simplefloorplansorrecordsshowingthespatialrelationshipof the public office are not infrastructure records.413 Infrastructure records may be disclosed for purposesofconstruction,renovation,orremodelingofapublicofficewithoutwaivingtheexempt statusofthatrecord.414
b.
SecurityRecords
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.415 Security records may be disclosed for purposes of construction,renovation,orremodelingofapublicofficewithoutwaivingtheexemptstatusofthat record.416
8.
ContractualConfidentiality
Parties to a public contract, including settlement agreements417 and collective bargaining agreements,cannotnullifythePublicRecordsActsguaranteeofpublicaccesstopublicrecords.418 Nor can an employee handbook confidentiality provision alter the status of public records.419 In otherwords,acontractcannotnullifyorrestrictthepublicsaccesstopublicrecords.420Absenta
34C.F.R.99.3,R.C.3319.321. Stateexrel.ESPN,Inc.v.OhioStateUniv.,132OhioSt.3d212,2012Ohio2690,970N.E.2d939,34. R.C.149.433. 411 E.g.,6U.S.C.131,etseq.,6C.F.R.29(providingthatthefederalHomelandSecurityActof2002prohibitsdisclosureofcertaincritical infrastructureinformationsharedbetweenstateandfederalagencies). 412 R.C.149.433(A)(2). 413 R.C.149.433(A)(2). 414 R.C.149.433(C). 415 R.C. 149.433(A)(3)(a)(b); State ex rel. Bardwell v. Cordray, 181 Ohio App.3d 661, 2009Ohio1265, 6870 (10th Dist.) (applying the statute). 416 R.C.149.433(C). 417 ChapterThree:G.1.e.SettlementAgreementsandOtherContracts. 418 Kellerv.CityofColumbus,100OhioSt.3d192,2003Ohio5599,23(statingthat[a]nyprovisioninacollectivebargainingagreementthat establishesascheduleforthedestructionofpublicrecordisunenforceableifitconflictswithorfailstocomportwithallthedictatesofthe PublicRecordsAct.);Stateexrel.DispatchPrintingCo.v.CityofColumbus,90OhioSt.3d39,4041,2000Ohio8;Stateexrel.FindlayPublg Co.v.HancockCountyBd.ofCommrs,80OhioSt.3d134,137,1997Ohio353;ToledoPolicePatrolmansAssnv.CityofToledo,94OhioApp.3d 734,739(6thDist.1994);Stateexrel.Kinsleyv.BereaBd.ofEduc.,64OhioApp.3d659,663(8thDist.1990);Bowmanv.ParmaBd.ofEduc.,44 OhioApp.3d169,172(8thDist.1988);Stateexrel.Dwyerv.CityofMiddletown,52OhioApp.3d87,91(12thDist.1988);Stateexrel.Toledo BladeCo.v.Telb,LucasC.P.,50OhioMisc.2d1,8(Feb.8,1990);Stateexrel.SunNewspapersv.CityofWestlakeBd.ofEduc.,76OhioApp.3d 170,173(8thDist.1991). 419 Stateexrel.Russellv.Thomas,85OhioSt.3d83,85,1999Ohio435. 420 Stateexrel.GannettSatelliteInfo.Networkv.Shirey,76OhioSt.3d1224,1997Ohio206.
409 410
408
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statutoryexception,apublicentitycannotenterintoenforceablepromisesofconfidentialitywith respecttopublicrecords.421
9.
ProtectiveOrdersandSealed/ExpungedCourtRecords422
Whenthereleaseofcourtrecordswouldprejudicetherightsofthepartiesinanongoingcriminalor civilproceeding,423courtrulesmaypermitaprotectiveorderprohibitingreleaseoftherecords.424 Similarly, where court records have been properly expunged or sealed, they are not available for public disclosure.425 However, when a responsive record is sealed, the public office must provide theexplanationforwithholding,includingthelegalauthorityunderwhichtherecordwassealed.426 Evenabsentstatutoryauthority,trialcourts,inunusualandexceptionalcircumstances,havethe inherentauthoritytosealcourtrecords.427Whenexercisingthisauthority,however,courtsshould balancetheindividualsprivacyinterestagainstthegovernmentslegitimateneedtoprovidepublic accesstorecordsofcriminalproceedings.428
10.
GrandJuryRecords
Ohio Criminal Rule 6(E) provides that [d]eliberations of the grand jury and the vote of any grand juror shall not be disclosed, and provides for withholding of other specific grand jury matters by certain persons under specific circumstances. Materials covered by Criminal Rule 6 include transcripts, voting records, subpoenas, and the witness book.429 In contrast to those items that documentthedeliberationsandvoteofagrandjury,evidentiarydocumentsthatwouldotherwise be public records remain public records, regardless of their having been submitted to the grand jury.430
11.
Copyright
Federalcopyrightlawisdesignedtoprotectoriginalworksofauthorship,whichmayexistinone ofseveralspecifiedcategories:431(1)literaryworks;(2)musicalworks(includinganyaccompanying words);(3)dramaticworks(includinganyaccompanyingmusic);(4)pantomimesandchoreographic works;(5)pictorial,graphic,andsculpturalworks;(6)motionpicturesandotheraudiovisualworks; (7)soundrecordings;and(8)architecturalworks.432
Stateexrel.FindlayPublgCo.v.HancockCountyBd.ofCommrs,80OhioSt.3d134,137,1997Ohio353;Stateexrel.AllrightParkingof Cleveland,Inc.v.Cleveland,63OhioSt.3d772,776(1992)(reversingandremandingonthegroundsthatthecourtfailedtoexaminerecordsin cameratodeterminetheexistenceoftradesecrets);Stateexrel.NatlBroadcastingCo.,Inc.v.CityofCleveland,82OhioApp.3d202(8thDist. 1992). 422 ChapterSix:D.CourtRecords. 423 Stateexrel.VindicatorPrintingCo.v.Watkins,66OhioSt.3d129,137138(1993)(prohibitingdisclosureofpretrialcourtrecordsprejudicing rights of criminal defendant) (overruled on other grounds); Adams v. Metallica, 143 Ohio App.3d 482, 493495 (1st Dist. 2001) (applying balancing test to determine whether prejudicial record should be released where filed with the court); but see State ex rel. Highlander v. Rudduck,103OhioSt.3d370,2004Ohio4952,920(pendingappealfromcourtorderunsealingdivorcerecordsdoesnotprecludewritof mandamusclaim). 424 Stateexrel.CincinnatiEnquirerv. Dinkelacker,144 OhioApp.3d725, 730733(1stDist.2001)(findingthatatrialjudgewasrequiredto determinewhetherreleaseofrecordswouldjeopardizedefendantsrighttoafairtrial). 425 Stateexrel.CincinnatiEnquirerv.Winkler,101OhioSt.3d382,2004Ohio1581,4(WinklerIII)(affirmingtrialcourtssealingorderper R.C.2953.52);DreamFields,LLCv.Bogart,175OhioApp.3d165,2008Ohio152,5(1stDist.)(statingthat[u]nlessacourtrecordcontains informationthatisexcludedfrombeingapublicrecordunderR.C.149.43,itshallnotbesealedandshallbeavailableforpublicinspection.And thepartywishingtosealtherecordhasthedutytoshowthatastatutoryexclusionapplies[][j]ustbecausethepartieshaveagreedthatthey wanttherecordssealedisnotenoughtojustifythesealing.);seealsoChapterSix:D.CourtRecords. 426 Stateexrel.Doev.Smith,123OhioSt.3d44,2009Ohio4149,6,9,38,43(response,Thereisnoinformationavailable,wasaviolation ofR.C.149.43(B)(3)requirementtoprovideasufficientexplanation,withlegalauthority,forthedenial). 427 PepperPikev.Doe,66OhioSt.2d374,376(1981);butcompareStateexrel.Highlanderv.Rudduck,103OhioSt.3d370,2004Ohio4952, 1(determiningthatdivorcerecordswerenotproperlysealedwhenanorderresultsfromunwrittenandinformalcourtpolicy). 428 PepperPikev.Doe,66OhioSt.2d374(1981),paragraphtwoofthesyllabus. 429 Stateexrel.BeaconJournalv.Waters,67OhioSt.3d321(1993);FedCrim.R.6. 430 Stateexrel.Dispatchv.MorrowCo.Prosecutor,105OhioSt.3d172,2005Ohio685,5(citingStateexrel.CincinnatiEnquirerv.Hamilton County,75OhioSt.3d374,378(1996);Stateexrel.GannettSatelliteInfo.Networkv.Petro,80OhioSt.3d261,267(1997)). 431 17U.S.C.102(a). 432 17U.S.C.102(a)(1)(8).
421
Page43
Federal copyright law provides certain copyright owners the exclusive right of reproduction,433 whichmeanspublicofficescouldexposethemselvestolegalliabilityiftheyreproducecopyrighted publicrecordsinresponsetoapublicrecordsrequest.Ifapublicrecordsoughtbyarequesteris copyrighted material that the public office does not possess the right to reproduce or copy via a copyright ownership or license, the public office is not typically authorized to make copies of this material under federal copyright law.434 However, there are some exceptions to this rule. For example,incertainsituations,thecopyingofaportionofacopyrightedworkmaybepermitted.435 Notethatcopyrightlawonlyprohibitsunauthorizedcopying,andshouldnotaffectapublicrecords requestforinspection.
12.
EMSRunSheets
When a run sheet created and maintained by a county emergency medical services (EMS) organizationdocumentstreatmentofalivingpatient,theEMSorganizationmayredactinformation that pertains to the patients medical history, diagnosis, prognosis, or medical condition.436 The organization may not redact patients names, addresses, and other nonmedical personal informationaspartofthemedicalrecordsexception.437
13.
CountyChildrenServicesAgencyRecords
Records prepared and kept by a public children services agency of investigations of families, children,andfosterhomes,andofthecareofandtreatmentaffordedchildren,andofotherrecords asarerequiredbythedepartmentofjobandfamilyservices,arerequiredtobekeptconfidentialby theagency.438Theserecordsshallbeopentoinspectionbytheagencyandcertainlistedofficials, andtootherpersonsuponthewrittenpermissionoftheexecutivedirectorwhenitisdetermined thatgoodcauseexiststoaccesstherecords(exceptasotherwiselimitedbyR.C.3107.17).439
14.
FOIADoesNotApplytoOhioPublicOffices
ThefederalFreedomofInformationAct(FOIA)isafederallawthatdoesnotapplytostateorlocal agencies or officers.440 A request for government records from a state or local agency in Ohio is governedbytheOhioPublicRecordsAct.Requestsforrecordsaninformationfromafederaloffice locatedinOhio(oranywhereelseinthecountryortheworld)aregovernedbyFOIA.441
15.
DriversPrivacyProtection
17U.S.C.102(a). Because of the complexity of copyright law and the factspecific nature of this area, public bodies should resolve public records related copyrightissueswiththeirlegalcounsel. 435 See 17 U.S.C. 107; Harper & Row Publishers, Inc. v. Nation Enterprises, 471 U.S. 539, 560561 (1985) (providing that, in determining whethertheyintendeduseoftheprotectedworkisfairuse,acourtmustconsiderthesefacts,whicharenotexclusive:(1)thepurposeand characteroftheuse,includingwhethertheintendeduseiscommercialorfornonprofiteducationalpurposes;(2)thenatureoftheprotected work;(3)theamountandsubstantialityoftheportionusedinrelationtothecopyrightedworkasawhole;and(4)themostimportantfactor: theeffectoftheintendeduseuponthemarketfororvalueoftheprotectedwork). 436 1999OhioOp.AttyGen.No.006. 437 1999OhioOp.AttyGen.No.006. 438 R.C.5153.17;Stateexrel.Edingerv.C.C.D.C.F.S.,2005Ohio5453,67(8thDist.). 439 R.C.5153.17;OhioOp.AttyGen.No.91003. 440 Stateexrel.WBNSTV,Inc.v.Dues,101OhioSt.3d406,2004Ohio1497,35;Stateexrel.CincinnatiEnquirerv.Dupuis,98OhioSt.3d126, 2002Ohio7041,32. 441 5U.S.C.552. 442 18 U.S.C.S. 2721 et seq. (Drivers Privacy Protection Act); R.C. 4501.27; O.A.C. 4501:11201; see also State ex rel. Motor Carrier Serv. v. Williams,2012Ohio2590(10thDist.)(requestermotorcarrierservicewasnotentitledtounredactedcopiesofanemployeesdrivingrecord fromtheBMVwhererequesterdidnotcomplywithstatutoryrequirementsforaccess).
434
An authorized recipient of personal information about an individual that the Bureau of Motor Vehicles obtained in connection with a motor vehicle record may redisclose the personal informationonlyforcertainpurposes.442 433
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ChapterFour:EnforcementandLiabilities
IV. ChapterFour:EnforcementandLiabilities
The Ohio Public Records Act is a selfhelp statute. A person who believes that the Act has been violated must independently pursue a remedy, rather than asking a public official such as the Ohio AttorneyGeneraltoinitiatelegalactiononhisorherbehalf.Ifapublicofficeorpersonresponsiblefor publicrecordsfailstoproducerequestedrecords,orotherwisefailstocomplywiththerequirementsof division(B)ofthePublicRecordsAct,therequestercanfilealawsuittoseekawritofmandamus443to enforcecompliance,andmayapplyforvarioussanctions.Priortofilingalawsuit,eithertherequester or the (nonState) public office can propose voluntary mediation of the dispute through the Attorney GeneralsPublicRecordsMediationProgram(seeChapterTwo:C.3.HowtoFindaWinWinSolution: Mediate). Thissectiondiscussesthebasicaspectsofamandamussuitandthetypesofreliefavailable.
A.
PublicRecordsActStatutoryRemedies 1. Parties
A person allegedly aggrieved by a public offices failure to comply with Division (B) of the Ohio Public Records Act may file an action in mandamus444 against the public office or any person responsible for the offices public records.445 The person who files the suit is called the relator, andthenamedpublicofficeorpersonresponsiblefortherecordsiscalledtherespondent.
2.
WheretoFile
Therelatorcanfilethemandamusactioninanyoneofthreecourts:thecommonpleascourtofthe county where the alleged violation occurred, the court of appeals for the appellate district where theallegedviolationoccurred,ortheOhioSupremeCourt.446IfarelatorfilesintheSupremeCourt, theCourtmayreferthecasetomediationcounselforasettlementconference.447
3.
WhentoFile
When an official responsible for records has denied a public records request, no administrative appealtotheofficialssupervisorisnecessarybeforefilingamandamusactionincourt.448Thelikely statuteoflimitationsforfilingapublicrecordsmandamusactioniswithintenyearsafterthecause of action accrues.449 However, the defense of laches may apply if the respondent can show that unreasonable and inexcusable delay in asserting a known right caused material prejudice to the respondent.450
Mandamusmeansacourtcommandtoagovernmentalofficetocorrectlyperformamandatoryfunction.BlacksLawDictionary(7thed. 1999)973. 444 R.C.149.43(C)(1);Stateexrel.Glasgowv.Jones,119OhioSt.3d391,2008Ohio4788,12(providingthat[m]andamusistheappropriate remedytocompelcompliancewithR.C.149.43,OhiosPublicRecordsAct). 445 Stateexrel.CincinnatiPostv.Schwekert,38OhioSt.3d170,174(1988)(findingthatmandamusdoesnothavetobebroughtagainstthe personwhoactuallywithheldtherecordsorcommittedtheviolation;itcanbebroughtagainstanypersonresponsibleforpublicrecordsin thepublicoffice);Stateexrel.MothersAgainstDrunkDriversv.Gosser,20OhioSt.3d30(1985),paragraphtwoofthesyllabus(statingthat [w]henstatutesimposeadutyonaparticularofficialtooverseerecords,thatofficialisthepersonresponsibleunderthePublicRecordsAct) seealsoChapterOne:A.3.QuasiAgencyAPrivateEntity,EvenifnotaPublicOffice,canbeAPersonResponsibleforPublicRecords. 446 R.C.149.43(C)(1). 447 S.Ct.Prac.R.XIV,6(providingthataCourtmay,onitsownoronmotionbyaparty,refercasestomediationcounseland,unlessotherwise orderedbytheCourt,thisdoesnotalterthefilingdeadlinesfortheaction). 448 Stateexrel.Multimedia,Inc.v.Whalen,48OhioSt.3d41,42(1990)(overruledonothergrounds). 449 R.C.2305.14. 450 Stateexrel.Carverv.Hull,70OhioSt.3d570,577(1994);Stateexrel.Moorev.Sanders,65OhioSt.2d72,74(1981).
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4. RequirementstoPrevail
Tobeentitledtoawritofmandamus,therelatormustprovethatheorshehasaclearlegalrightto therequestedreliefandthattherespondenthadaclearlegaldutytoperformtherequestedact.451 Inapublicrecordsmandamuslawsuit,thisusuallyincludesshowingthatwhentherequestermade the request, she or he specifically described the records being sought,452 and specified in the mandamusactiontherecordswithheldorotherfailuretocomplywithR.C.149.43(B).453Apersonis not entitled to file a mandamus action to request public records unless a prior request for those records has already been made and was denied.454 Only those particular records that were requestedfromthepublicofficecanbelitigatedinthemandamusaction.455Iftheserequirements aremet,therespondentthenhastheburdenofprovingincourtthatanyitemswithheldareexempt from disclosure,456 and of countering any other alleged violations of R.C. 149.43(B). The court, if necessary,willreviewincamera(inprivate)thematerialsthatwerewithheldorredacted.457Tothe extentanydoubtorambiguityexistsastothedutyofthepublicoffice,thepublicrecordslawwillbe liberallyinterpretedinfavorofdisclosure.458 Unlikemostmandamusactions,arelatorinastatutorypublicrecordsmandamusactionneednot provethelackofanadequateremedyatlaw.459Alsonotethat,ifarespondentprovidesrequested records to the relator after the filing of a public records mandamus action, all or part of the case mayberenderedmoot,orconcluded.460However,evenifthecaseisrenderedmoot,461therelator maystillbeentitledtoattorneyfees.462
B.
LiabilitiesofthePublicOfficeunderthePublicRecordsAct463
Inaproperlyfiledaction,ifacourtdeterminesthatthepublicofficeorthepersonresponsibleforpublic recordsfailedtocomplywithanobligationcontainedinR.C.149.43(B)andissuesawritofmandamus, therelatorshallbeentitledtoanawardofallcourtcosts,464andmayreceiveanawardofattorneyfees and/orstatutorydamages,asdetailedbelow.
Stateexrel.Scanlonv.Deters,45OhioSt.3d376,377(1989)(overruledonothergrounds);Stateexrel.Fieldsv.Cervenik,2006Ohio3969, 4(8thDist.) Stateexrel.Glasgowv.Jones,119OhioSt.3d391,2008Ohio4788,17;Stateexrel.Morganv.NewLexington,112OhioSt.3d33,2006 Ohio6365,26(statingthatitistheresponsibilityofthepersonwhowishestoinspectand/orcopyrecordstoidentifywithreasonableclarity therecordsatissue.);Stateexrel.Zaudererv.Joseph,62OhioApp.3d752(10thDist.1989). 453 Stateexrel.CitizensforEnvtl.Justicev.Campbell,93OhioSt.3d585,586,2001Ohio1617. 454 Stateexrel.TaxpayersCoalitionv.Lakewood,86OhioSt.3d385,390,1999Ohio114;Stateexrel.Rossv.Vivo,2008Ohio4819,5(7th Dist.);Strothersv.Norton,131OhioSt.3d359,2012Ohio1007,14. 455 State ex rel. Lanham v. Smith, 112 Ohio St.3d 527, 2007Ohio609, 14 (stating that R.C. 149.43(C) requires a prior request as a prerequisite to a mandamus action); State ex rel. Bardwell v. Cordray, 181 Ohio App.3d 661, 2009Ohio1265, 5 (10th Dist.) (finding that [t]herecanbenofailureofapublicofficetomakeapublicrecordavailableinaccordancewithdivision(B),withoutarequestfortherecord underdivision(B).). 456 Gilbertv.SummitCounty,104OhioSt.3d660,2004Ohio7108,6(citingStateexrel.NatlBroadcastingCo.v.CityofCleveland,38Ohio St.3d79(1988)(NBCI). 457 Stateexrel.Besserv.OhioSt.Univ.,89OhioSt.3d396,400,2000Ohio207(BesserII);Stateexrel.Seballosv.SERS,70OhioSt.3d667, 1994Ohio80;Stateexrel.NatlBroadcastingCo.v.CityofCleveland,38OhioSt.3d79(1988). 458 Stateexrel.ToledoBladeCo.v.SenecaCountyBd.ofCommrs,120OhioSt.3d372,2008Ohio6253,17;Stateexrel.Carrv.CityofAkron, 112OhioSt.3d 351, 2006Ohio6714,29 (findingthat,whenassessingapublicrecordsmandamusclaim,R.C.149.43shouldbe construed liberallyinfavorofbroadaccess,andnotingthatanydoubtisresolvedinfavorofdisclosureofpublicrecords). 459 Stateexrel.Gaydoshv.Twinsburg,93OhioSt.3d576,580,2001Ohio1613. 460 State ex rel. Striker v. Smith, 129 Ohio St.3d 168, 2011Ohio2878, 22; State ex rel. Cincinnati Enquirer, Div. of Gannett Satellite Info. Network,Inc.v.Dupuis,98OhioSt.3d126,2002Ohio7041,8;Stateexrel.Calvaryv.UpperArlington,89OhioSt.3d229,231,2000Ohio 142. 461 Stateexrel.CincinnatiEnquirerv.Heath,121OhioSt.3d165,2009Ohio590,11. 462 Stateexrel.Dilleryv.Icsman,92OhioSt.3d312,2001Ohio193;Stateexrel.OhioPatrolmensBenevolentAssnv.Mentor,89OhioSt.3d 440,449,2000Ohio214. 463 Publicofficesmaystillbeliableforthecontentofpublicrecordstheyrelease,e.g.,defamation.Mehtav.OhioUniv.,194OhioApp.3d, 2011Ohio3484,63(10thDist.)(thereisnolegalauthorityinOhioprovidingforblanketimmunityfromdefamationforanyandallcontent includedwithinapublicrecord.). 464 R.C.149.43(C)(2)(a).
452
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1. AttorneyFees
If the court renders a judgment ordering the respondent to comply with R.C. 149.43(B), then the courtmayawardreasonableattorneyfees.465Anawardofattorneyfeesuponfindingaviolationis notmandatory.466Litigationexpenses,otherthancourtcosts,arenotrecoverableatall.467Acourt shallawardreasonableattorneyfeesifeither:(1)thepublicofficefailedtorespondtothepublic recordsrequestinaccordancewiththetimeallowedunderR.C.149.43(B);468or(2)thepublicoffice promisedtopermitinspectionordelivercopieswithinaspecifiedperiodoftimebutfailedtofulfill thatpromise.469Ifattorneyfeesareawardedundereitheroftheseprovisions,theymaybereduced oreliminatedatthediscretionofthecourt(seeSection6below).Attorneyfeeawardsaregenerally reviewedonappealunderanabuseofdiscretionstandard.470
2.
AmountofFees
Only those attorney fees directly associated with the mandamus action,471 and only fees paid or actuallyowed,472maybeawarded.Theopportunity tocollectattorneyfeesdoesnotapplywhen the relator appears before the court pro se (without an attorney), even if the pro se relator is an attorney.473Thewagesofinhousecounsel474arenotconsideredpaidoractuallyowed,norare contingency fees.475 The relator is entitled to fees only insofar as the requests had merit.476 Reasonable attorney fees also include reasonable fees incurred to produce proof of the reasonableness and amount of the fees and to otherwise litigate entitlement to the fees.477 A relatormaywaiveaclaimforattorneyfeesbynotincludinganyargumentinsupportforanaward of fees in its merit brief.478 Court costs and reasonable attorney fees awarded in public records mandamusactionsareconsideredremedialratherthanpunitive.479
3.
StatutoryDamages
A person who transmits a valid written request for public records by hand delivery or certified mail480isentitledtoreceivestatutorydamagesifacourtfindsthatthepublicofficefailedtocomply with its obligations under R.C. 149.43(B).481 The award of statutory damages is not considered a penalty, but is intended to compensate the requester for injury arising from lost use482 of the
R.C.149.43(C)(2)(b);AwardofattorneyfeeswasdiscretionaryunderpriorR.C.149.43(C)(Wadev.Cleveland,81OhioSt.3d50,54(1998)) andremainsdiscretionaryundercurrentR.C.149.43(C)(Stateexrel.Doev.Smith,123OhioSt.3d44,2009Ohio4149,2932). State ex rel. Doe v. Smith, 123 Ohio St.3d 44, 2009Ohio4149; State ex rel. Laborers Intl Union of N. Amer., Local Union No. 500 v. Summerville,122OhioSt.3d1234,2009Ohio4090. 467 Stateexrel.Doev.Smith,123OhioSt.3d 44,2009Ohio4149, 10,46;Dilleryv.Icsman, 92OhioSt.3d312,313,318, 2001Ohio193 (litigationexpensessoughtincludedtelephone,copying,mailing,filing,andparalegalexpenses). 468 R.C.149.43(C)(2)(b)(i);Stateexrel.Braxtonv.Nichols,2010Ohio3193(8thDist.). 469 R.C.149.43(C)(2)(b)(ii). 470 Stateexrel.Doev.Smith,123OhioSt.3d44,2009Ohio4149. 471 Stateexrel.GannettSatelliteInfo.Networkv.Petro,81OhioSt.3d1234,1236,1998Ohio638(determiningthatfeesincurredasaresultof othereffortstoobtainthesamerecordswerenotrelatedtothemandamusactionandwereexcludedfromtheaward). 472 SeeStateexrel.OShea&Assoc.v.CuyahogaMetro.HousingAuth.,2012Ohio115,45. 473 Stateexrel.Yantv.Conrad,74OhioSt.3d681,1996Ohio234;Stateexrel.Thomasv.OhioSt.Univ.,71OhioSt.3d245,251,1994Ohio 261;Stateexrel.OShea&Assoc.v.CuyahogaMetro.HousingAuth.,2012Ohio115,45. 474 Stateexrel.BeaconJournalPublgCo.v.CityofAkron,104OhioSt.3d399,2004Ohio6557,62. 475 Stateexrel.HousingAdvocates,Inc.v.CityofCleveland,2012Ohio1187,67(8thDist.)(inhousecounseltakingcaseoncontingentfee basisnotentitledtoawardofattorneyfees). 476 Stateexrel.Cranfordv.Cleveland,103OhioSt.3d196,2004Ohio4884,25(denyingrelatorsattorneyfeesduetomeritlessrequest); Stateexrel.Dilleryv.Icsman,92OhioSt.3d312,317,2001Ohio193;Stateexrel.ESPN,Inc.v.OhioStateUniv.,132OhioSt.3d212,2012Ohio 2690,39;Stateexrel.Andersonv.CityofVermilion,2012Ohio5320,26. 477 R.C.149.43(C)(2)(c);Stateexrel.Millerv.Brady,123OhioSt.3d255,2009Ohio4942. 478 Stateexrel.DataTraceInfo.Svcs.v.CuyahogaCty.FiscalOffcr.,2012Ohio753,69,citingMun.Constr.Equip.OperatorsLaborCouncil, 114OhioSt.3d183,2007Ohio3831,83. 479 R.C.149.43(C)(2)(c). 480 Stateexrel.DataTraceInfo.Svcs.v.CuyahogaCty.FiscalOffcr.,2012Ohio753,70;Stateexrel.Mahajanv.StateMed.Bd.ofOhio,127 OhioSt.3d497,2010Ohio5995,59;Stateexrel.Millerv.Brady,123OhioSt.3d255,2009Ohio4942;seealsoStateexrel.Petranekv.Cityof Cleveland,2012Ohio2396,8(8thDist.)(laterrepeatrequestbycertifiedmaildoesnottriggerentitlementtostatutorydamages). 481 R.C.149.43(C)(1). 482 R.C. 149.43(C)(1); See State ex rel. Bardwell v. Rocky River Police Dept, 2009Ohio727, 63 (8th Dist.) (finding that a public officials improperrequestforrequestersidentity,absentproofthatthisresultedinactuallostuseoftherecordsrequested,doesnotprovideabasis forstatutorydamages).
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requested information, and if lost use is proven, then injury is conclusively presumed. Statutory damagesarefixedat$100foreachbusinessdayduringwhichtherespondentfailstocomplywith division (B), beginning with the day on which the relator files a mandamus action to recover statutory damages, up to a maximum of $1000. This means that a respondent may stop further accrualofstatutorydamagesbyfully complyingwithdivision(B)beforethe maximumis reached. The Act does not permit stacking of statutory damages based on what is essentially the same recordsrequest.483
4.
RequirementofPublicBenefit
Theawardofstatutorydamagesandattorneyfeesisdependentondemonstratingthattherelease of the requested public records provides a public benefit that is greater than the benefit to the requester.484Severalcourtshaveheldthatmerelyencouragingandpromotingcompliancewiththe PublicRecordsActandsubjectingthepublicrecordskeepertopublicexposure,review,andcriticism does not establish a sufficient public benefit to allow for the award of statutory damages and fees.485
5.
RecoveryofDeletedEmailRecords
The Ohio Supreme Court has determined that if there is evidence showing that records in email format have been deleted in violation of a public offices records retention schedule, the public officehasadutytorecoverthecontentsofdeletedemailsandtoprovideaccesstothem.486The courtswillconsiderthereliefavailabletotherequesterbasedonthefollowingfactors: 1) There must be a determination made as to whether deleted emails have been destroyed,asthereisnodutytocreateorprovidenonexistentrecords. 2) The requester must make a prima facie showing that the emails were deleted in violationofapplicableretentionschedules,unrebuttedbydefendant(s). 3) Theremustbesomeevidencethatrecoveryoftheemailsmaybesuccessful. 4) Whiletheexpenseoftherecoveryservicesisnotaconsideration,therecoveryefforts need only be reasonable, not Herculean, consistent with a public offices general dutiesunderthePublicRecordsAct;and 5) There must be a determination made as to who should bear the expense of forensic recovery.487
Stateexrel.Dehlerv.Kelly,127OhioSt.3d309,2010Ohio5724,4;Stateexrel.Bardwellv.CityofCleveland,2009Ohio5688,28,29 (8thDist.). 484 Stateexrel.Dawsonv.BloomCarrollLocalSchoolDist.,131OhioSt.3d10,2011Ohio6009,959N.E.2d524,34([parentrelators]public recordsclaimslackmeritandwereprimarilybeneficialtoherratherthanthepublicingeneral);Stateexrel.Mahajanv.StateMed.Bd.of Ohio,127OhioSt.3d497,2010Ohio5995,940N.E.2d1280,60(anyminimalbenefitconferredbythewritgrantedhereisbeneficialmainly toMahajanratherthantothepublicingeneral.);Stateexrel.LaborersIntlUnionNo.500v.Summerville,122OhioSt.3d1234,2009Ohio 4090,857N.E.2d452,6(Thereleaseoftherequestedrecordstorelatorprimarilybenefitsrelatoritselfratherthanthepublicingeneral.); Stateexrel.Doev.Smith,123OhioSt.3d44,2009Ohio4149,20,33,38. 485 State ex rel. Petranek, 2012Ohio2396, 7, 8 (8th Dist.); State ex rel. Morabito v. City of Cleveland, 2012Ohio6012, 16 (8th Dist.) (merelyensuringthefulfillmentofpublicrecordsdutiesisaninsufficientbasistoawardattorneyfees);Stateexrel.Hartmeyerv.FairfieldTwp., 2012Ohio5158,10(12thDist.)(ThebenefitclaimedbyDiFrancoissimplyanargumentthattheOhioPublicRecordsActbeenforcedagainst therespondents.Thus,wefindthatDiFrancoisnotentitledtoanawardofstatutorydamagesorattorneyfees.). 486 Stateexrel.ToledoBladeCo.v.SenecaCountyBd.ofCommrs,120OhioSt.3d372,2008Ohio6253,41(notethatboarddidnotcontest thestatusoftherequestedemailsaspublicrecords). 487 Stateexrel.ToledoBladeCo.v.SenecaCountyBd.ofCommrs,120OhioSt.3d372,2008Ohio6253,51(findingthat,wherenewspaper soughttoinspectimproperlydeletedemails,thepublicofficehadtobeartheexpenseofforensicrecovery).
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6. ReductionofAttorneyFeesandStatutoryDamages
After any reasonable attorneys fees and any statutory damages are calculated and awarded, the court may reduce or eliminate either or both such awards, if the court determines both of the following:488 1) That,basedonthelawasitexistedatthetime,awellinformedpersonresponsiblefor the requested public records reasonably would have believed that the conduct of the respondentdidnotconstituteafailuretocomplywithanobligationofR.C.149.43(B);489 and, 2) That a wellinformed person responsible for the requested public records reasonably wouldhavebelievedthattheconductofthepublicofficewouldservethepublicpolicy thatunderliestheauthoritythatitassertedaspermittingthatconduct.490
C.
LiabilitiesApplicabletoEitherParty
Thefollowingremediesmaybeavailableagainstapartyunderthecircumstancessetoutbystatuteor rule. They are applicable regardless of whether the party represents him or herself (pro se), or is representedbycounsel.
1.
FrivolousConduct
Anypartyadverselyaffectedbyfrivolousconductofanotherpartymayfileamotionwiththecourt, not more than 30 days after the entry of final judgment, for an award of court costs, reasonable attorneyfees,andotherreasonableexpensesincurredinconnectionwiththelawsuitorappeal.491 Where the court determines that the accused party has engaged in frivolous conduct, a party adversely affected by the conduct may recover the full amount of the reasonable attorney fees incurred, even fees paid or in the process of being paid, or in the process of being paid by an insurancecarrier.492
2.
CivilRule11493
Civ.R.11provides,inpart: Thesignatureofanattorneyorprosepartyconstitutesacertificatebytheattorneyorparty thattheattorneyorpartyhasreadthedocument;thattothebestoftheattorneysorpartys knowledge, information, and belief there is good ground to support it; and that it is not interposed for delay . . . For a willful violation of this rule, an attorney or pro se party, upon motion of a party or upon the courts own motion, may be subjected to appropriate action, includinganawardtotheopposingpartyofexpensesandreasonableattorneyfeesincurredin bringinganymotionunderthisrule.
R.C.149.43(C)(1)(a)(b)(providingforareductionofcivilpenalty);R.C.149.43(C)(2)(c)(i)(ii)(providingforareductioninattorneysfees); State ex rel. Cincinnati Enquirer v. Ronan, 127 Ohio St.3d 236, 2010Ohio5680, 17 (even if court had found denial of request contrary to statute,requesterwouldnothave been entitledtoattorneyfeesbecausethepublicofficesconductwas reasonable);Stateexrel.Rohmv. Fremont City Sch. Dist. Bd. of Educ., 2010Ohio2751 (6th Dist.) (respondent did not demonstrate reasonable belief that its actions did not constituteafailuretocomply). 489 Stateexrel.Andersonv.CityofVermilion,2012Ohio5320,26;Stateexrel.Doev.Smith,123OhioSt.3d44,2009Ohio4149,37,39, 40;Stateexrel.Bardwellv.RockRiverPoliceDept,2009Ohio717,58(8thDist.). 490 Stateexrel.Doev.Smith,123OhioSt.3d44,2009Ohio4149,40;Rohmv.FremontCitySch.Dist.Bd.ofEduc,2010Ohio2751,14(6th Dist.). 491 R.C.2323.51;Foranexampleoffrivolousconductinapublicrecordsmandamusaction,seeStateexrel.Strikerv.Cline,130OhioSt.3d214, 2011Ohio5350,affirmingawardofattorneyfeesagainstrelatorinStateexrel.Strikerv.Cline,2011Ohio983(5thDist.). 492 Stateexrel.Strikerv.Cline,130OhioSt.3d214,2011Ohio5350,7,2325. 493 ForanexampleofRule11sanctionsorderedinapublicrecordsmandamusaction,seeStateexrel.Bardwellv.Cuyahoga County Bd.of Commrs,127OhioSt.3d202,2010Ohio5073,937N.E.2d1274.
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ChapterFive:OtherObligationsofPublicOffice
V. ChapterFive:OtherObligationsofaPublicOffice
Publicofficeshaveotherobligationswithregardtotherecordsthattheykeep.Theseinclude: Managing public records by organizing them such that they can be made available in responsetopublicrecordsrequests,494andensuringthatallrecordspublicornotare maintained and disposed of only in accordance with properly adopted, applicable recordsretentionschedules;495 Maintaining a copy of the offices current records retention schedules at a location readilyavailabletothepublic;496 Adoptingandpostinganofficepublicrecordspolicy;497and Ensuring that all elected officials associated with the public office, or their designees, obtain three hours of certified public records training through the Ohio Attorney GeneralsOfficeonceduringeachtermofoffice.498
Additionally,theOhioAuditorofStatesOfficerecommendsthatpublicofficeslogandtrackthepublic recordsrequeststheyreceivetoensurecompliancewiththeaccessprovisionoftheOhioPublicRecords Act.AuditorofStateBulletin2011006setsoutandexplainstheofficesrecommendedBestPractices forComplyingwithPublicRecordsRequests.499
A.
RecordsManagement
Records are a crucial component of the governing process. They contain information that supports government functions affecting every person in government and within its jurisdiction. Like other important government resources, records and the information they contain must be well managed to ensureaccountability,efficiency,economy,andoverallgoodgovernment. Thetermrecordsmanagementencompassestwodistinctobligationsofapublicoffice,eachofwhich furthersthe goalsoftheOhioPublic RecordsAct.First,inordertofacilitatebroaderaccesstopublic records, a public office must organize and maintain the public records it keeps in a manner such that theycanbemadeavailableforinspectionorcopyinginresponsetoapublicrecordsrequest.500Second, inordertofacilitatetransparencyingovernmentandasonemeansofpreventingthecircumventionof Ohio Public Records Act, Ohios records retention law R.C. 149.351, prohibits unauthorized removal, destruction, mutilation, transfer, damages, or disposal of any record or part of a record, except as provided by law or under the rules adopted by the records commissions (i.e., pursuant to approved records retention schedules).501 Therefore, in the absence of a law or retention schedule permitting disposal of particular records, an office lacks the required authority to dispose of those records, and mustmaintainthemuntilproperauthoritytodisposeofthemisobtained.Inthemeantime,therecords remainsubjecttopublicrecordsrequests.Publicofficesatvariouslevelsofgovernment,includingstate agencies,countyboardsandcommissions,andlocalpoliticalsubdivisions,havedifferentresourcesand processesforadoptingrecordsretentionschedules.Thosearedescribedinthissection. Apublicofficeshallonlycreaterecordsthatarenecessaryfortheadequateandproperdocumentation oftheorganization,functions,policies,decisions,procedures,andessentialtransactionsoftheagency andfortheprotectionofthelegalandfinancialrightsofthestateandpersonsdirectlyaffectedbythe
R.C.149.43(B)(2). R.C.149.351(A). R.C.149.43(B)(2). 497 R.C.149.43(E)(1),R.C.109.43(E). 498 R.C.149.43(E)(1),R.C.109.43(B). 499 SeeAuditorofStateBulletin2011006athttp://www.auditor.state.oh.us/services/lgs/bulletins/2011/2011006.pdf. 500 R.C.149.43(B)(2);seeChapterTwo:B.RightsandObligationsofaPublicOffice(providingmoreinformationaboutrecordsmanagementin thecontextofpublicrecordsrequests). 501 R.C.149.351(A);Rhodesv.CityofNewPhiladelphia,129OhioSt.3d304,2011Ohio3279,851N.E.2d782,14.
495 496 494
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agencys activities.502 This standard only addresses the records required to be created by a public office,whichmayreceivemanyrecordsinadditiontothoseitcreates.
1. a.
RecordsManagementPrograms LocalGovernmentRecordsCommissions
Authorizationfordispositionoflocalgovernmentrecordsisprovidedbyapplicablestatutes,and byrulesadoptedbyrecordscommissionsatthecounty,503township,504andmunicipal505levels. Records commissions also exist for each library district,506 special taxing district,507 school district,508andeducationalservicecenter.509 Records commissions are responsible for reviewing applications for onetime disposal of obsoleterecords,aswellasrecordsretentionschedulessubmittedbygovernmentofficeswithin theirjurisdiction.510Onceacommissionhasapprovedanapplicationorschedule,itisforwarded to the State Archives at the Ohio Historical Society for review and identification of records511 thattheStateArchivesdeemstobeofcontinuinghistoricalvalue.512Uponcompletionofthat process, the Ohio Historical Society will forward the application or schedule to the Auditor of Stateforapprovalordisapproval.513
b.
StateRecordsProgram
TheOhioDepartmentofAdministrativeServices(DAS)administerstherecordsprogramforthe legislativeandjudicialbranchesofgovernment514andforallstateagencies,withtheexception ofstatesupportedinstitutionsofhighereducation.515Amongitsotherduties,thestaterecords programisresponsibleforestablishinggeneralschedulesforthedisposalofcertaintypesof recordscommontomoststateagencies.Stateagenciesmustaffirmativelyadoptanyexisting generalschedulestheywishtoutilize.516Onceageneralschedulehasbeenofficiallyadoptedby a state agency, when the time specified in the general schedule has elapsed, the records identifiedshouldnolongerhavesufficientadministrative,legal,fiscal,orothervaluetowarrant furtherpreservationbythestate.517 Ifastateagencykeepsarecordseriesthatdoesnotfitintoanexistingstategeneralschedule, or if it wishes to modify the language of a general schedule to better suit its needs, the state agency can submit its own proposed retention schedules to DAS via the online Records and Information Management System (RIMS) for approval by DAS, the Auditor of State, and the StateArchivist. Thestatesrecordsprogramworksinasimilarfashiontolocalrecordscommissions,exceptthat applicationsandschedulesareforwardedtotheOhioHistoricalSocietyandtheAuditorofState
R.C.149.40. R.C.149.38. R.C.149.42. 505 R.C.149.39. 506 R.C.149.411. 507 R.C.149.412. 508 R.C.149.41. 509 R.C.149.41. 510 R.C.149.38,.381. 511 R.C.149.38,.381. 512 R.C.149.38,.381. 513 R.C.149.39. 514 R.C.149.332. 515 R.C. 149.33(A); Information about records management for state agencies is available at: http://www.das.ohio.gov/Divisions/GeneralServices/StatePrintingandMailServices/RecordsManagement/tabid/265/Default.aspx. 516 Instructions for how to adopt DAS general retention schedules are on page 20 of the RIMS User Manual, available at: http://www.das.ohio.gov/LinkClick.aspx?fileticket=D6T7Sb1qZ0k%3d&tabid=265. 517 R.C. 149.331(C); General retention schedules (available for adoption by all state agencies) and individual state agency schedules are availableat:http://apps.das.ohio.gov/rims/General/General.asp.
503 504
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for review simultaneously following the approval of DAS.518 Again, the Ohio Historical Society focusesonidentifyingrecordswithenduringhistoricalvalue.TheStateAuditordecideswhether toapprove,reject,ormodifyapplicationsandschedulesbasedonthecontinuingadministrative andfiscalvalueofthestaterecordstothestateortoitscitizens.519
c.
RecordsProgramforStatesupportedCollegesandUniversities
Statesupportedinstitutionsofhighereducationareunique,inthattheirrecordsprogramsare established and administered by their respective boards of trustees rather than a separate recordscommissionortheStatesrecordsprogram.520Throughtheirrecordsprograms,these state offices are charged with applying efficient and economical management methods to the creation,utilization,maintenance,retention,preservation,anddispositionofrecords.521
2. a.
RecordsRetentionandDisposition RetentionSchedules
Recordsofapublicofficemaybedestroyed,butonlyiftheyaredestroyedincompliancewitha properlyapprovedrecordsretentionschedule.522Ina2008decision,theOhioSupremeCourt emphasizedthat,incasesinwhichpublicrecords,includingemails,areproperlydisposedofin accordance with a duly adopted records retention policy, there is no entitlement to those records under the Ohio Public Records Act.523 However, if the retention schedule does not addresstheparticulartypeofrecordinquestion,therecordmustbekeptuntilthescheduleis properly amended to address that category of records. Also, if a public record is retained beyond its properly approved destruction date, it keeps its public record status until it is destroyedandisthussubjecttopublicrecordsrequests.524 In crafting proposed records retention schedules, a public office must evaluate the length of timeeachtypeofrecordwarrantsretentionforadministrative,legal,orfiscalpurposesafterit has been received or created by the office.525 Consideration should also be given to the enduringhistoricalvalueofeachtypeofrecord,whichwillbeevaluatedbytheStateArchivesat theOhioHistoricalSocietywhenthatofficeconductsitsreview.Localrecordscommissionsmay consult with the State Archives at the Ohio Historical Society during this process;526 the state recordsprogramoffersconsultingservicesforstateoffices.527
b.
TransientRecords
Adoptionofaschedulefortransientrecordsthatis,recordscontaininginformationofshort termusefulnessallowsapublicofficetodisposeoftheserecordsoncetheyarenolongerof administrative value.528 Examples of transient records include voicemail messages, telephone messageslips,postitnotes,andsupersededdrafts.
R.C.149.333. R.C.149.333. R.C.149.33(B). 521 R.C.149.33. 522 R.C.149.351;R.C.121.11. 523 Stateexrel.ToledoBladeCo.v.SenecaBd.ofCommrs,120OhioSt.3d372,2008Ohio6253,23. 524 Kellerv.CityofColumbus,100OhioSt.3d192,2003Ohio5599;Stateexrel.DispatchPrintingCo.v.CityofColumbus,90OhioSt.3d39,41, 2000Ohio8(policedepartmentviolatedR.C.149.43whenrecordsweredestroyedincontraventionofCitysretentionschedule). 525 R.C.149.34. 526 R.C.149.31(A)(providingthat[t]hearchivesadministrationshallbeheadedbyatrainedarchivistdesignatedbytheOhioHistoricalSociety andshallmakeitsservicesavailabletocounty,municipal,township,schooldistrict,library,andspecialtaxingdistrictrecordscommissionsupon request.). 527 R.C.149.331(D). 528 Stateexrel.Glasgowv.Jones,119OhioSt.3d391,2008Ohio4788,24,n.1.
519 520
518
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c. RecordsDisposition
Itisimportanttodocumentthedispositionofrecordsaftertheyhavesatisfiedtheirapproved retention periods. Local governments should file a Certificate of Records Disposal (RC3) with the State Archives at the Ohio Historical Society at least fifteen business days prior to the destructioninordertoallowtheHistoricalSocietytoselectrecordsofenduringhistoricalvalue. StateagenciescandocumenttheirrecordsdisposalsontheRIMSsystemorinhouse.Evenwith recent changes to R.C. 149.38 and R.C. 149.381 concerning the RC3, it is important for a government entity to be able to show which schedule the records were disposed under, the recordseriestitle,inclusivedatesoftherecords,andthedateofdisposal.
3.
Liability for Unauthorized Destruction, Damage, or Disposal of Records
Allrecordsareconsideredtobethepropertyofthepublicoffice,andmustbedeliveredbyoutgoing officialsandemployeestotheirsuccessorsinoffice.529Improperremoval,destruction,damageor otherdispositionofarecordisaviolationofR.C.149.351(A).
a.
InjunctionandCivilForfeiture
Ohio law allows any person * * * aggrieved by530 the unauthorized removal, destruction, mutilation, transfer, or other damage to or disposition of a record, or by the threat of such action,tofileeitherorbothofthefollowingtypesoflawsuitsintheappropriatecommonpleas court: A civil action for an injunction to force the public office to comply with R.C. 149.351(A),aswellasanyreasonableattorneyfeesassociatedwiththesuit.531 Acivilactiontorecoveraforfeitureof$1,000foreachviolationofR.C.149.351(A), nottoexceedacumulativetotalof$10,000(regardlessofthenumberofviolations), as well as reasonable attorney fees associated with the suit, not to exceed the forfeitureamountrecovered.532 A person is not aggrieved by a violation of R.C. 149.351(A) if clear and convincing evidence shows that the request for a record was contrived as a pretext to create liability under the section.533Ifpretextissoproven,thecourtmayordertherequestertopayreasonableattorney feestothedefendant(s).534
b.
LimitsonFilingActionforUnauthorizedDestruction,Damage, orDisposal
Apersonhasfiveyearsfromthedateoftheallegedviolationorthreatenedviolationtofilethe above actions,535 and has the burden of providing evidence that records were destroyed in
R.C.149.351(A). Rhodesv.CityofNewPhiladelphia,129OhioSt.3d304,2011Ohio3279,851N.E.2d782;Walkerv.OhioSt.Univ.Bd.ofTr.,2010Ohio373, 2227 (10th Dist.) (determining that a person is aggrieved by a violation of R.C. 149.351(A) when (1) the person has a legal right to disclosureofarecordofapublicoffice,and(2)thedisposaloftherecord,notpermittedbylaw,allegedlyinfringestheright);seealsoStateex rel.CincinnatiEnquirerv.Allen,2005Ohio4856,15(1stDist.),appealnotallowed,108OhioSt.3d1439,2006Ohio421;Stateexrel.Senselv. Leone, 12th Dist. No. CA9705102 (Feb. 9, 1998), reversed on other grounds, 85 Ohio St.3d 152 (1999), Blacks Law Dictionary, 77 (9th ed. 2009). 531 R.C.149.351(B)(1).NOTE:ThetermaggrievedhasadifferentlegalmeaninginthiscontextthanithasunderR.C.149.43(C)whenapublic officeallegedlyfailstoproperlyrespondtoapublicrecordsrequest. 532 R.C.149.351(B)(2). 533 R.C.149.351(C);Rhodesv.CityofNewPhiladelphia,129OhioSt.3d304,2011Ohio3279,851N.E.2d782. 534 R.C.149.351(C)(2). 535 R.C.149.351(E).
530 529
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violationofR.C.149.351.536Whenanypersonhasrecoveredaforfeitureinacivilactionunder R.C.149.351(B)(2),nootherpersonmayrecoveraforfeitureforthatsamerecord,regardlessof thenumberofpersonsaggrieved,orthenumberofcivilactionscommenced.537Determining the number of violations involved is an ad hoc determination which may depend on the natureoftherecordsinvolved.538
c.
AttorneyFees
Theaggrievedpersonmayseekanawardofreasonableattorneyfeesforeithertheinjunctive action or an action for civil forfeiture.539 An award of attorney fees under R.C. 149.351 is discretionary.540
4.
AvailabilityofRecordsRetentionSchedules
Allpublicofficesmustmaintainacopyofallcurrentrecordsretentionschedulesatalocationreadily availabletothepublic.541
B.
RecordsManagementPracticalPointers 1. Fundamentals
DontbeaPackRat Everyrecord,publicornot,thatiskeptbyapublic officemustbecoveredbyarecordsretention schedule.Withoutanapplicablescheduledictatinghowlongarecordmustbekeptandwhenitcan be destroyed, a public office must keep that record forever. Apart from the inherent longterm storageproblemsandassociatedcostthiscreatesforapublicoffice,theofficeisalsoresponsiblefor continuing to maintain the record in such a way that it can be made available at any time if it is responsivetoapublicrecordsrequest.Creatingandfollowingschedulesforallofitsrecordsallows apublicofficetodisposeofrecordsoncetheyarenolongernecessaryorvaluable. ContentNotMediumDeterminesHowLongtoKeepaRecord Decidinghowlongarecordistobekeptshouldbebasedonthecontentoftherecord,notonthe medium on which it exists. Not all paper documents are records for purposes of the Public Records Act; similarly, not all documents transmitted via email are records that must be maintainedanddestroyedpursuanttoarecordsretentionschedule.Accordingly,inordertofulfill bothitsrecordsmanagementandpublicrecordsresponsibilities,apublicofficeshouldcategorizeall oftheitemsitkeepsthataredeemedtoberecordsregardlessoftheformortransmissionmethod in which they exist based on content, and store them based on those content categories, or recordsseries,foraslongastherecordshavelegal,administrative,fiscal,orhistoricvalue.(Note that storing email records unsorted on a server does not satisfy records retention requirements, becausetheserverdoesnotallowforthevaryingdisposalschedulesofdifferentrecordseries.) PracticalApplication Creatingandimplementingarecordsmanagementsystemmightsounddaunting.Formostpublic offices,though,itisamatterofsimplehousekeeping.Manyofficesalreadyhavethescaffoldingof existing records retention schedules in place, which may be augmented in the manner outlined below. 536
537 538
Snodgrassv.CityofMayfieldHeights,2008Ohio5095,15(8thDist.);Stateexrel.Doev.Register,2009Ohio2448(12thDist.). R.C.149.351(D). Kishv. CityofAkron,109OhioSt.3d162,2006Ohio1244, 2544;seealsoCwynar v.JacksonTwp. Bd.ofTrs.,178OhioApp.3d 345, 2008Ohio5011(5thDist.). 539 R.C.149.351(B)(1)(2). 540 Cwynarv.JacksonTwp.Bd.ofTrs.,178OhioApp.3d345,2008Ohio5011,56(5thDist.). 541 R.C.149.43(B)(2).
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2. ManagingRecordsinFiveEasySteps: a. ConductaRecordsInventory
The purpose of an inventory is to identify and describe the types of records an office keeps. Existing records retention schedules are a good starting point for determining the types of recordsanofficekeeps,aswellasidentifyingrecordsthatarenolongerkeptornewtypesof recordsforwhichnewschedulesneedtobecreated. For larger offices, it is helpful to designate a staff member from each functional area of the office who knows the kinds of records their department creates and why, what the records document,andhowandwheretheyarekept.
b.
CategorizeRecordsbyRecordSeries
Records should be grouped according to record series. A record series is a group of similar recordsthatarerelatedbecausetheyarecreated,receivedorusedfor,orresultfromthesame purpose or activity. Record series descriptions should be broad enough to encompass all records of a particular type (Itemized Phone Bills rather than FY07FY08 Phone Bills for instance),butnotsobroadthatitfailstobeinstructive(suchasFinanceDepartmentemails) orleavesthecontentsopentointerpretationorshoehorning.
c.
DecideHowLongtoKeepEachRecordsSeries
Retentionperiodsaredeterminedbyassessingfourvaluesforeachcategoryofrecords: Administrative Value: A record maintains its administrative value as long as it is useful and relevanttotheexecutionoftheactivitiesthatcausedtherecordtobecreated.Administrative value is determined by how long the record is needed by the office to carry out that is, to administer its duties. Every record created by government entities should have administrative value, which can vary from being transient (a notice of change in meeting location),tolongterm(apoliciesandproceduresmanual). Legal Value: A record has legal value if it documents or protects the rights or obligations of citizens or the agency that created it, provides for defense in litigation, or demonstrates compliance with laws, statutes, and regulations. Examples include contracts, real estate records,retentionschedules,andlicenses. Fiscal Value: A record has fiscal value if it pertains to the receipt, transfer, payment, adjustment,orencumbranceoffunds,orifitisrequiredforanaudit.Examplesincludepayroll recordsandtravelvouchers. HistoricalValue:Arecordhashistoricalvalueifitcontainssignificantinformationaboutpeople, places, or events. The State Archives suggests that historical documents be retained permanently.Examplesincludeboardorcommissionmeetingminutesandannualreports. Retentionperiodsshouldbesettothehighestofthesevaluesandshouldreflecthowlongthe recordneedstobekept,nothowlongitcanbekept.
d.
DisposeofRecordsonSchedule
Recordsretentionschedulesindicatehowlongparticularrecordseriesmustbekeptandwhen and how the office can dispose of them. Records kept past their retention schedule are still subjecttopublicrecordsrequests,andcanbeunwieldyandexpensivetostore.Asapractical matter, it is helpful to designate a records manager or records custodian to assist in crafting
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retention schedules, monitoring when records are due for disposal, and ensuring proper completionofdisposalforms.
e.
Review Schedules Regularly and Revise, Delete, or Create New Schedules as the Law and the Offices Operations Change
Keeptrackofnewrecordsthatarecreatedasaresultofstatutoryandpolicychanges.Ohiolaw requires all records to be scheduled within one year after the date that they are created or received.542
C.
HelpfulResourcesforLocalGovernmentOffices
OhioHistoricalSociety/StateArchivesLocalGovernmentRecordsProgram The Local Government Records Program of the State Archives provides recordsrelated advice and assistance to local governments in order to facilitate the identification and preservation of local governmentrecordswithenduringhistoricalvalue.Pleasedirectinquiriesandsendformsto: TheOhioHistoricalSociety/StateArchives LocalGovernmentRecordsProgram 800East17thAvenue Columbus,Ohio43211 (614)2972553(phone) (614)2972546(fax) localrecs@ohiohistory.org
D.
HelpfulResourcesforStateGovernmentOffices 1. OhioDepartmentofAdministrativeServicesRecordsManagement Program
TheOhioDepartmentofAdministrativeServicesStateRecordsAdministrationcanproviderecords management advice and assistance to state agencies, as well as provide training seminars on request.Informationavailableontheirwebsiteincludes: Access to the Records Information Management System (RIMS) retention schedule database; RIMSUserManual; GeneralRetentionSchedules;and
RecordsInventoryandAnalysistemplate. Formoreinformation,contactDASat6144661105orvisittheRecordsManagementpageofthe DASwebsiteat www.das.ohio.gov/divisions/generalservices/stateprintingandmailservices/recordsmanagement/ tabid/265/Default.aspx.
542
R.C.149.34(C).
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2. TheOhioHistoricalSociety,StateArchives
TheStateArchivescanassiststateagencieswiththeidentificationandpreservationofrecordswith enduringhistoricalvalue. Formoreinformationortoschedulearecordsappraisal,contactStateArchivesat6142972536.
E.
HelpfulResourcesforAllGovernmentOffices
OhioElectronicRecordsCommittee Electronicrecordspresentuniquechallengesforarchivistsandrecordsmanagers.Associetyshiftsfrom traditional methods of recordkeeping to electronic recordkeeping, the issues surrounding the managementofelectronicrecordsbecomemoresignificant.Althoughthenatureofelectronicrecords is constantly evolving, these records are being produced at an everincreasing rate. As these records multiply,theneedforleadershipandpolicybecomesmoreurgent. The goal of the Ohio Electronic Records Committee (OhioERC) is to draft guidelines for the creation, maintenance, long term preservation of, and access to electronic records created by Ohios state government.HelpfuldocumentsavailableontheOhioERCswebsiteinclude: SocialMedia:TheRecordsManagementChallenges; HybridMicrofilmGuidelines; DigitalDocumentImagingGuidelines; ElectronicRecordsManagementGuidelines; GeneralSchedulesforElectronicRecords; ElectronicRecordsPolicy; ManagingElectronicMail; TrustworthyInformationSystemsHandbook;and TopicalTipSheets.
Formoreinformationandtolearnaboutongoingprojects,visittheOhioElectronicRecordsCommittee websiteathttp://www.OhioERC.org.
F.
PublicRecordsPolicy
A public office must create and adopt a policy for responding to public records requests. The Ohio AttorneyGeneralsOfficehasdevelopedamodelpublicrecordspolicy,whichmayserveasaguide.543 The public records policy must be distributed to the records manager, records custodian, or the employeewhootherwisehascustodyoftherecordsoftheoffice,andthatemployeemustacknowledge receipt.Inaddition,aposterdescribingthepolicymustbepostedinthepublicofficeinaconspicuous location, as well as in all branch offices.544 The public records policy must be included in the offices policiesandproceduresmanual,ifoneexists,andmaybepostedontheofficeswebsite.545Compliance with these requirements will be audited by the Auditor of State in the course of a regular financial audit.546
543
544
R.C. 149.43(E)(1); Attorney Generals Model Policy available at www.OhioAttorneyGeneral.gov/Sunshine under the Publications drop downmenuontheleft. R.C.149.43(E)(2). 545 R.C.149.43(E)(2). 546 R.C.109.43(G).
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Apublicrecordspolicymay
limitthenumberofrecordsthattheofficewilltransmitbyUnitedStatesmailtoaparticularrequester to ten per month, unless the requester certifies in writing that the requested records and/or the informationthoserecordscontainwillnotbeusedorforwardedforcommercialpurposes.Forpurposes ofthisdivision,commercialshallbenarrowlyconstruedanddoesnotincludereportingorgatheringof news,reportingorgatheringofinformationtoassistcitizenoversightorunderstandingoftheoperation oractivitiesofgovernment,ornonprofiteducationalresearch.547
Apublicrecordspolicymaynot
limitthenumberofpublicrecordsmadeavailabletoasingleperson; limit the number of records the public office will make available during a fixed period of time;or establish a fixed period of time before the public office will respond to a request for inspectionorcopyingofpublicrecords(unlessthatperiodislessthaneighthours).548
G.
RequiredPublicRecordsTrainingforElectedOfficials
All local and statewide elected government officials549 or their designees550 must attend a threehour publicrecordstrainingprogramduringeachtermofelectiveoffice551duringwhichtheofficialserves.552 The training must be developed and certified by the Ohio Attorney Generals Office, and presented eitherbytheOhioAttorneyGeneralsOfficeoranapprovedentitywithwhichtheAttorneyGenerals Office contracts.553 The Attorney General shall ensure that the training programs and seminars are accredited by the Commission on Continuing Legal Education established by the Supreme Court.554 CompliancewiththetrainingprovisionwillbeauditedbytheAuditorofStateinthecourseofaregular financialaudit.555
R.C.149.43(B)(7).Inaddition,apublicofficemayadoptpoliciesandproceduresitwillfollowintransmittingcopiesbyU.S.mailorother meansofdeliveryortransmission,butadoptingthesepoliciesandproceduresisdeemedtocreateanenforceabledutyontheofficetocomply withthem. 548 R.C.149.43(E)(1). 549 R.C.109.43(A)(2)(definitionofelectedofficial);NOTE:thedefinitionexcludesjustices,judges,orclerksoftheSupreme CourtofOhio, courtsofappeals,courtsofcommonpleas,municipalcourts,andcountycourts. 550 R.C.109.43(A)(1)(providingthattrainingmaybereceivedbyanappropriatedesignee,R.C.109.43(B)(nodefinitionofappropriateinthe statute),andwhomaybethedesigneeofthesoleelectedofficialinapublicoffice,orofalltheelectedofficialsifthepublicofficeincludes morethanoneelectedofficial). 551 R.C.109.43(B)(providingthattrainingshallbethreehoursforeverytermofofficeforwhichtheelectedofficialwasappointedorelectedto thepublicofficeinvolved). 552 R.C.109.43(E)(1);R.C.109.43(B)(providingthatthistrainingisintendedtoenhanceanelectedofficialsknowledgeofhisor herdutyto provide access to public records, and to provide guidance in developing and updating his or her offices public records policies); R.C. 149.43(E)(1) (providing that another express purpose of the training is [t]o ensure that all employees of public offices are appropriately educatedaboutapublicofficesobligationsunderdivision(B)of[thePublicRecordsAct].). 553 R.C. 109.43(B)(D) (providing that the Attorney Generals Office may not charge a fee to attend the training programs it conducts, but outside contractors that provide the certified training may charge a registration fee that is based on the actual and necessary expenses associatedwiththetraining,asdeterminedbytheAttorneyGeneralsOffice). 554 R.C.109.43(B). 555 R.C.109.43(G).
547
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ChapterSix:SpecialTopics
VI. A. ChapterSix:SpecialTopics CLEIRs:ConfidentialLawEnforcementInvestigatoryRecordsException556
This exception is often mistaken as one that applies only to police investigations. In fact, the ConfidentialLawEnforcementInvestigatoryRecordsexception,commonlyknownasCLEIRs,appliesto investigationsofallegedviolationsofcriminal,quasicriminal,civil,andadministrativelaw.Itdoesnot apply to most investigations conducted for purposes of public office employment matters, such as internal disciplinary investigations,557 preemployment questionnaires and polygraph tests,558 or to publicrecordsthatlaterbecomethesubjectofalawenforcementinvestigation.559
1.
CLEIRsDefined:
UnderCLEIRs,apublicofficemaywithholdanyrecordsthatboth: (1) Pertain to a law enforcement matter of a criminal, quasicriminal, civil, or administrative nature;560 and (2) Ifreleasedwouldcreateahighprobabilityofdisclosinganyofthefollowinginformation:561 Identityofanunchargedsuspect; Identityofasourceorwitnesstowhomconfidentialitywasreasonablypromised; Specificconfidentialinvestigatorytechniquesorprocedures; Specificinvestigatoryworkproduct;or Information that would endanger the life or physical safety of law enforcement personnel,acrimevictim,awitness,oraconfidentialinformationsource.
2.
DeterminingWhethertheCLEIRsExceptionApplies
Remember that the CLEIRs exception is a strict twostep test, and a record must first qualify as pertainingtoalawenforcementmatterunderStepOnebeforeanyoftheexceptioncategoriesin StepTwowillapplytotherecord.562
StepOne:PertainstoALawEnforcementMatter
Aninvestigationisonlyconsideredalawenforcementmatterifitmeetseachprongof thefollowing3parttest:
R.C.149.43(A)(1)(h),(A)(2). Mehta v. Ohio Univ., Ct. of Cl. No. 200606752, 2009Ohio4699, 3638 (determining that a public universitys internal report of investigationofplagiarismwasnotexceptedfromdisclosureunderthePublicRecordsAct). 558 Stateexrel.Multimedia,Inc.v.Snowden,72OhioSt.3d141,142,1995Ohio248. 559 SeeStateexrel.Morganv.CityofNewLexington,112OhioSt.3d33,42,2006Ohio6365,51(recordsmadeintheroutinecourseof publicemploymentthatrelatedtobutprecededalawenforcementinvestigationarenotconfidentiallawenforcementinvestigatoryrecords); Stateexrel.Dilleryv.Icsman,92OhioSt.3d312,316,2001Ohio193. 560 R.C.149.43(A)(2). 561 R.C.149.43(A)(2)(a)(d). 562 State ex rel. Cincinnati Enquirer v. Hamilton County, 75 Ohio St.3d 374, 377, 1996Ohio214 (because 911 tapes are not part of an investigation,itdoesnotmatterthatthereleaseofthetapesmightrevealtheidentityofanunchargedsuspectorcontaininformationwhich, ifdisclosed,wouldendangerthelifeorphysicalsafetyofawitness.);Stateexrel.Jamesv.OhioStateUniv.,70OhioSt.3d168,170(1994) (respondentattemptedtoapplyCLEIRsStepTwoconfidentialinformantexceptiontoevaluatorsnotesinpersonnelrecords).
557
556
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(a)HasanInvestigationBeenInitiatedUponSpecificSuspicion ofWrongdoing?563
Investigationrecordsmustbegeneratedinresponsetospecificallegedmisconduct,not as the incidental result of routine monitoring.564 However, routine investigations of the use of deadly force by officers, even if the initial facts indicate accident or self defense,aresufficienttomeetthisrequirement.565
(b)Does the Alleged Conduct Violate Criminal,566 Quasi criminal,567Civil,orAdministrativeLaw?568
So long as the conduct is prohibited by statute or administrative rule, whether the punishmentiscriminal,quasicriminal,civil,oradministrativein natureisirrelevant.569 Law enforcement matter of a criminal, quasicriminal, civil, or administrative nature refers directly to the enforcement of the law, and not to employment or personnel mattersancillarytolawenforcementmatters.570 Disciplinaryinvestigationsofallegedviolationsofinternalofficepoliciesorprocedures arenotlawenforcementmatters,571includingdisciplinarymattersandpersonnelfilesof lawenforcementofficers.572
(c)Doesthe Public OfficeHave the Authority to Investigateor EnforcetheLawAllegedlyViolated?

If the office does not have legallymandated investigative573 or enforcement authority over the alleged violation of the law, then the records it holds are not a law enforcement matter for that office.574 For example, if an investigating law enforcement agency obtains a copy of an otherwise public record of another public
E.g.,Stateexrel.Polovischakv.Mayfield,50OhioSt.3d51,53(1990). Stateexrel.Polovischakv.Mayfield,50OhioSt.3d51,53(1990);Stateexrel.OhioPatrolmensBenevolentAssnv.CityofMentor,89Ohio St.3d440,445,2000Ohio214. 565 SeeStateexrel.NatlBroadcastingCo.v.Cleveland,57OhioSt.3d77,7980(1991);seealsoStateexrel.OrianaHousev.Montgomery, 2005Ohio3377,77(10thDist.)(redactedportionsofauditrecordsweredirectedtospecificmisconductandwerenotsimplypartofroutine monitoring). 566 Stateexrel.PoliceOfficersforEqualRightsv.Lashutka,72OhioSt.3d185,187,1995Ohio19. 567 SeeGoldbergv.Maloney,111OhioSt.3d211,2006Ohio5485,4143(providingbankruptcyasanexampleofaquasicriminalmatter); Stateexrel.OrianaHouse,Inc.v.Montgomery,2005Ohio3377,76(10thDist.)(notingthatthespecialauditbytheAuditorofStateclearly qualifiesasbothalawenforcementmatterofa[]civil,oradministrativenatureandalawenforcementmatterofacriminal[or]quasi criminalmatter);InreFisher,39OhioSt.2d71,7576(1974)(juveniledelinquencyisanexampleofaquasicriminalmatter). 568 E.g.,Stateexrel.Yantv.Conrad,74OhioSt.3d681,684,1996Ohio234;Stateexrel.Polovischakv.Mayfield,50OhioSt.3d51,53(1990) (The issue is whether records compiled by the committee pertain to a criminal, quasicriminal or administrative matter. Those categories encompass the kinds of antifraud and anticorruption investigations undertaken by the committee. The records are compiled by the committeeinordertoinvestigatematterprohibitedbystatelawandadministrativerule.);Stateexrel.McGeev.OhioSt.Bd.ofPsychology,49 Ohio St.3d 59, 60 (1990) (The reference in R.C. 149.43(A)(2) to four types of law enforcement matters criminal, quasicriminal, civil, and administrativeevidencesaclearstatutoryintentiontoincludeinvestigativeactivitiesofstatelicensingboards.);Stateexrel.OrianaHouse, Inc.v.Montgomery,2005Ohio3377,76(10thDist.)(thespecialauditbytheAuditorofStateclearlyqualifiesasbothalawenforcement matterofa[]civil,oradministrativenatureandalawenforcementmatterofacriminal[or]quasicriminalmatter). 569 Stateexrel.Polovischakv.Mayfield,50OhioSt.3d31(1990);Stateexrel.McGeev.OhioStateBd.ofPsychology,49OhioSt.3d59(1990). 570 Stateexrel.FreedomCommcn,Inc.v.ElidaCmty.FireCo.,82OhioSt.3d578,581,1998Ohio411;Stateexrel.Multimedia,Inc.v.Snowden, 72 Ohio St.3d 141, 142, 1995Ohio248 (polygraph test results, questionnaires, and all similar materials gathered in the course of a police departments hiring process, are not law enforcement matters for purposes of CLEIRs. Law enforcement matters refers directly to the enforcementofthelaw,andnottoemploymentorpersonnelmattersancillarytolawenforcementmatters.). 571 Stateexrel.Morganv.CityofNewLexington,112OhioSt.3d33,2006Ohio6365,49. 572 Stateexrel.McGowanv.CuyahogaMetro.Hous.Auth.,78OhioSt.3d518,519,1997Ohio191;Stateexrel.Multimedia,Inc.v.Snowden,72 OhioSt.3d141,142,1995Ohio248(thepersonalrecordsofpoliceofficersreflectingthedisciplineofpoliceofficersarenotconfidentiallaw enforcementinvestigatoryrecordsexceptedfromdisclosure). 573 Stateexrel.OrianaHouse,Inc.v.Montgomery,2005Ohio3377,76(10thDist.). 574 State ex rel. Strothers v. Wertheim, 80 Ohio St.3d 155, 158, 1997Ohio349 (records of alleged child abuse do not pertain to a law enforcementmatterinthehandsofcountyombudsmanofficethathasnolegallymandatedenforcementorinvestigativeauthority).
564
563
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officeaspartofaninvestigation,theoriginalrecordkeptbytheotherpublicofficeisnot coveredbytheCLEIRsexception.575
StepTwo:HighProbabilityofDisclosingCertainInformation
If an investigative record does pertain to a "law enforcement matter, the CLEIRs exception applies only to the extent that release of the record would create a high probabilityofdisclosingatleastoneofthefollowingfivetypesofinformation:576
(a)Identity of an Uncharged Suspect in Connection with the InvestigatedConduct

An uncharged suspect is a person who at some point in the investigatory agencys investigation was believed to have committed a crime or offense,577 but who has not beenarrested578orcharged579fortheoffensetowhichtheinvestigativerecordpertains. Thepurposesofthisexceptioninclude:(1)protectingtherightsofindividualstobefree fromunwarrantedadversepublicity;and(2)protectinglawenforcementinvestigations frombeingcompromised.580 Onlytheparticularinformationthathasahighprobabilityofrevealingtheidentityofan uncharged suspect can be redacted from otherwise nonexempt records prior to the recordsrelease.581Wherethecontentsofaparticularrecordinaninvestigatoryfileare soinextricablyintertwinedwiththesuspectsidentitythatredactingwillfailtoprotect the persons identity in connection with the investigated conduct, that entire record maybewithheld.582However,theapplicationofthisexceptiontosomerecordsinan investigative file does not automatically create a blanket exception covering all other recordsinaninvestigativefile,andthepublicofficemuststillreleaseanyinvestigative records that do not individually have a high probability of revealing the uncharged suspectsidentity.583Note:useofanyexceptionmustbeconformedtotherequirement
State ex rel. Morgan v. City of New Lexington, 112 Ohio St.3d 33, 2006Ohio6365, 51 (records made in the routine course of public employmentbeforeaninvestigationbeganwerenotconfidentiallawenforcementrecords);Stateexrel.Dilleryv.Icsman,92OhioSt.3d312, 316, 2001Ohio193 (a records request of citys public works superintendent for specified street repair records were unquestionably public recordsand[t]hemerefactthattheserecordsmighthavesubsequentlybecomerelevanttoDilleryscriminalcasesdidnottransformthem intorecordsexemptfromdisclosure.);Stateexrel.CincinnatiEnquirerv.HamiltonCounty,75OhioSt.3d374,378,1996Ohio214(apublic recordthatsubsequentlycameintothepossessionand/orcontrolofaprosecutor,otherlawenforcementofficials,oreventhegrandjuryhas nosignificancebecause[o]nceclothedwiththepublicrecordscloak,therecordscannotbedefrockedoftheirstatus.). 576 R.C.149.(A)(2);Stateexrel.Multimediav.Snowden,72OhioSt.3d141,1995Ohio248. 577 Stateexrel.Musialv.CityofN.Olmsted,106OhioSt.3d459,2005Ohio5521,23. 578 Stateexrel.OutletCommcnv.LancasterPoliceDept,38OhioSt.3d324,328(1998)(itisneithernecessarynorcontrollingtoengageina queryastowhetherornotapersonwhohasbeenarrestedorissuedacitationforminorcriminalviolationsandtrafficviolations[]hasbeen formallycharged.Arrestrecordsandintoxilyzerrecordswhichcontainthenamesofpersonswhohavebeenformallychargedwithanoffense, aswellasthosewhohavebeenarrestedand/orissuedcitationsbutwhohavenotbeenformallycharged,arenotconfidentiallawenforcement investigatoryrecordswiththeexceptionofR.C.149.43(A)(2)(a).)(overruledonothergrounds). 579 Stateexrel.Musialv.CityofN.Olmsted,106OhioSt.3d459,2005Ohio5521,2324(achargeisaformalaccusationofanoffenseas apreliminarysteptoprosecutionandthataformalaccusationofanoffenserequiresacharginginstrument,i.e.,anindictment,information, orcriminalcomplaint);seealsoCrim.R.7;BlacksLawDictionary249(8thed.2004);Stateexrel.Masterv.CityofCleveland,75OhioSt.3d23, 30,1996Ohio228(MasterI);Stateexrel.Morelandv.CityofDayton,67OhioSt.3d129,130(1993). 580 Stateexrel.Masterv.CityofCleveland, 76OhioSt.3d340,343, 1996Ohio300(MasterII)(citingavoidanceofsubjectingpersonsto adversepublicitywheretheymayotherwiseneverhavebeenidentifiedwiththematterunderinvestigationandalawenforcementinterestin notcompromisingsubsequenteffortstoreopenandsolveinactivecasesastwoofthepurposesoftheunchargedsuspectexception). 581 Stateexrel.Masterv.CityofCleveland,75OhioSt.3d23,30,1996Ohio228(MasterI)(whenagovernmentbodyassertsthatpublic records are excepted from disclosure and such assertion is challenged, the court must make an individualized scrutiny of the records in question and [i]f the court finds that these records contain excepted information, this information must be redacted and any remaining information must be released.) citing State ex rel. Natl Broad. Co. v. City of Cleveland, 38 Ohio St.3d 79, 85 (1998); State ex rel. White v. Watson,2006Ohio5234,4(8thDist.)([t]hegovernmenthasthedutytodisclosepublicrecords,includingthepartsofarecordwhichdonot comewithinanexemptionandtherefore,ifonlypartofarecordisexempt,thegovernmentmayredacttheexemptpartandreleasethe rest.). 582 State ex rel. Ohio Patrolmens Benevolent Assn v. City of Mentor, 89 Ohio St.3d 440, 448, 2000Ohio214 (the protected identities of unchargedsuspectswereinextricablyintertwinedwiththeinvestigatoryrecords);Stateexrel.McGeev.OhioStateBd.ofPsychology,49Ohio St.3d59,60(1990)(whereexemptinformationissointertwinedwiththepublicinformationastorevealtheexemptinformationfromthe context,therecorditself,andnotjusttheexemptinformation,maybewithheld). 583 Stateexrel.Rockerv.GuernseyCountySheriffsOffice,126OhioSt.3d224,2010Ohio3288,1115.
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that an explanation, including legal authority, must be provided in any response that deniesaccesstorecords.584 Theunchargedsuspectexceptionappliesevenif: timehaspassedsincetheinvestigationwasclosed;585 thesuspecthasbeenaccuratelyidentifiedinmediacoverage;586or theunchargedsuspectisthepersonrequestingtheinformation.587
(b)IdentityofaConfidentialSource
ForpurposesoftheCLEIRsexception,confidentialsourcesarethosewhohavebeen reasonably promised confidentiality.588 A promise of confidentiality is considered reasonable if it was made on the basis of the law enforcement investigators determination that the promise is necessary to obtain the information.589 Where possible, it is advisable though not required that the investigator document the specific reasons why promising confidentiality was necessary to further the investigation.590Promisesofconfidentialitycontainedinpolicystatementsorgivenasa matter of course during routine administrative procedures are not reasonable promisesofconfidentialityforpurposesoftheCLEIRsexception.591 This exception exists only to protect the identity of the information source, not the informationheorsheprovides.592However,wherethecontentsofaparticularrecord in an investigatory file are so inextricably intertwined with the confidential sources identity that redacting will fail to protect the persons identity in connection with the investigatedconduct,thatentirerecordmaybewithheld.593
(c)SpecificConfidentialInvestigatoryTechniquesorProcedures
Specific confidential investigatory techniques or procedures,594 including sophisticated scientific investigatory techniques or procedures such as forensic laboratory tests and their results, may be redacted pursuant to this exception.595 One purpose of the exception is to avoid compromising the effectiveness of confidential investigative techniques.596Routineinvestigativetechniquesarenotcoveredundertheexception.597 584
R.C. 149.43(B)(3); State ex rel. Doe v. Smith, 123 Ohio St.3d 44, 2009Ohio4149, 6, 9, 38, 43 (The Supreme Court found that an explanationincludinglegalauthoritymustbeprovidedevenwherethatexplanationrevealstheotherwisedeniableexistenceofsealedrecords. Theresponse,noinformationavailable,violatedR.C.149.43(B)(3).). 585 Stateexrel.Musialv.CityofN.Olmsed,106OhioSt.3d459,2005Ohio5521,2324. 586 Stateexrel.Rockerv.GuernseyCountySheriffsOffice,126OhioSt.3d224,2010Ohio3288,10;Stateexrel.OhioPatrolmensBenevolent Assnv.CityofMentor,89OhioSt.3d440,447,2000Ohio214. 587 Stateexrel.Musialv.CityofN.Olmsted,106OhioSt.3d459,2005Ohio5521,1723. 588 Stateexrel.Yantv.Conrad,74OhioSt.3d681,682,1996Ohio234. 589 Stateexrel.ToledoBladeCo.v.Telb,LucasC.P.No.900324,50OhioMisc.2d1,9(Feb.8,1990). 590 Stateexrel.ToledoBladeCo.v.Telb,LucasC.P.No.900324,50OhioMisc.2d1,9(Feb.8,1990);seealsoStateexrel.Martinv.Cityof Cleveland,67OhioSt.3d155,156157,1993Ohio192(totriggeranexception,apromiseofconfidentialityorathreattophysicalsafetyneed notbewithinthefourcornersofadocument). 591 Stateexrel.ToledoBladeCo.v.Telb,LucasC.P.No.900324,50OhioMisc.2d1,9(Feb.8,1990). 592 Stateexrel.ToledoBladeCo.v.Telb,LucasC.P.No.900324,50OhioMisc.2d1,9(Feb.8,1990). 593 Statexrel.BeaconJournalPublgCo.v.KentStateUniv.,68OhioSt.3d40,44,1993Ohio146(overruledonothergrounds);Stateexrel. Strothersv.McFaul,122OhioApp.3d327,332(8thDist.1997). 594 R.C.149.43(A)(2)(c);Stateexrel.Walkerv.Balraj,No.77967(8thDist.2000). 595 See State ex rel. Dayton Newspapers, Inc. v. Rauch, 12 Ohio St.3d 100, 100101 (1984) (an autopsy report may be exempt as a specific investigatorytechniqueorworkproduct);supercededbyR.C.313.10(finalautopsyreportsarespecificallydeclaredpublicrecords);Stateexrel. Lawhornv.White,8thApp.No.63290(Mar.7,1994);Stateexrel.Williamsv.CityofCleveland,8thApp.No.59571(Jan.24,1991);Stateexrel. Jesterv.CityofCleveland,8thDist.No.56438(Jan.17,1991);Stateexrel.Apanovitchv.CityofCleveland,8thDist.No.58867(Feb.6,1991). ThethreeprecedingcaseswereaffirmedinStateexrel.Williamsv.CityofCleveland,64OhioSt.3d544,1992Ohio115. 596 Stateexrel.Broomv.Cleveland,8thDist.No.59571(Aug.27,1992)(wheretherecordsmentionconfidentialinvestigatorytechniques,the effectivenessofwhichcouldbecompromisedbydisclosureand[t]oinsurethecontinuedeffectivenessofthesetechniques,thiscourtorders suchmaybedonewithoutcompromisingtheconfidentialtechnique.). 597 Stateexrel.BeaconJournalv.Univ.ofAkron,64OhioSt.2d392,397(1980).
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(d)InvestigativeWorkProduct
Statutory Definition: Information, including notes, working papers, memoranda, or similarmaterials,assembledbylawenforcementofficialsinconnectionwithaprobable or pending criminal proceeding is work product under R.C. 149.43(A)(2)(c).598 These materialsmaybeprotectedevenwhentheyappearinalawenforcementofficesfiles other than the investigative file.599 It is difficult to conceive of anything in a prosecutors file, in a pending criminal matter, that would not be either material compiled in anticipation of a specified criminal proceeding or the personal trial preparation of the prosecutor.600 However, there are some limits to the items in an investigativefilecoveredbythisexception.601 TimeLimitsonInvestigatoryWorkProductException:Oncealawenforcementmatter hascommenced,theinvestigativeworkproductexceptionappliesuntilthematterhas concluded.602 A law enforcement matter is concluded only when all potential actions, trials,andposttrialproceedingsinthematterhaveended.Thus,theinvestigatorywork productexceptionremainsavailableaslongasanyopportunityexistsfordirectappeal orpostconvictionrelief,603includinghabeascorpusproceedings.604Evenifnosuspect hasbeenidentified,onceitisevidentthatacrimehasoccurred,investigativematerials developed are necessarily compiled in anticipation of litigation and so fall squarely within the Steckman definition of work product.605 However, the work product exceptionisnotmerelyanongoinginvestigationexception.Theinvestigatingagency must be able to show that work product is being assembled in connection with a pending or highly probable criminal proceeding, not merely the possibility of future criminalproceedings.606 Where a criminal defendant who is the subject of the records agrees not to pursue appeal or postconviction relief, the case is considered concluded, even if the time periodforappealorpostconvictionreliefhasnotexpired.607 NotWaivedbyCriminalDiscovery:Theworkproductexceptionisnotwaivedwhena criminaldefendantisprovideddiscoverymaterialsasrequiredbylaw.608
(e)Information that Would Endanger Life or Physical Safety if Released

Information that, if released, would endanger the life or physical safety of law enforcementpersonnel,609acrimevictim,awitness,oraconfidentialinformantmaybe 598
Stateexrel.BeaconJournalPublgCo.v.Maurer,91OhioSt.3d54,5657,2011Ohio282citingStateexrel.Steckmanv.Jackson,70Ohio St.3d420(1994). 599 Stateexrel.Mahajanv.StateMedicalBd.,127OhioSt.3d497,2010Ohio5995,5152(investigativeworkproductincidentallycontained inchiefenforcementattorneysgeneralpersonnelfile). 600 State ex rel. Steckman v. Jackson, 70 Ohio St.3d 420, 431432 (1994) (expanding the previous definition of investigative work product expresslyanddramatically,whichhadpreviouslylimitedthetermtoonlythosematerialsthatwouldrevealtheinvestigatorsdeliberativeand subjectiveanalysisofacase). 601 Stateexrel.OhioPatrolmensBenevolentAssnv.CityofMentor,89OhioSt.3d440,448,2000Ohio214(certainrecords,e.g.,copiesof newspaperarticlesandstatutes,areunquestionablynonexemptanddonotbecomeexemptsimplybecausetheyareplacedinaninvestigative or prosecutorial file); State ex rel. WLWTTV5 v. Leis, 77 Ohio St.3d 357, 361, 1997Ohio273 (An examination [] reveals the following nonexempt records: The [] indictment, copies of various Revised Code Provisions, newspaper articles, a blank charitable organization registrationstatementform,theBrotherhoodsYearbookandBuyersGuide,thetranscriptofthe[]pleahearing,avideotapeoftelevision newsreports,andacampaigncommitteefinancereportfiledwiththeboardofelections.). 602 Stateexrel.Steckmanv.Jackson,70OhioSt.3d420(1994). 603 Stateexrel.WLWTTV5v.Leis,77OhioSt.3d357,1997Ohio273. 604 Perry v. Onunwor, 8th App. No. 78398 (Dec. 7, 2000) (possibilities for further proceedings and trials [include] federal habeas corpus proceedings). 605 Stateexrel.Leonardv.White,75OhioSt.3d516,518,1996Ohio204. 606 Stateexrel.OhioPatrolmensAssnv.CityofCleveland,89OhioSt.3d440,446,2000Ohio214. 607 Stateexrel.ClevelandPolicePatrolmensAssnv.CityofCleveland,84OhioSt.3d310,311312,1999Ohio352(whenadefendantsignedan affidavitagreeingnottopursueappealorpostconvictionrelief,trialpreparationandinvestigatoryworkproductexceptionswereinapplicable). 608 Stateexrel.WHIOTV7v.Lowe,77OhioSt.3d350,1997Ohio271.
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redacted before public release of a record.610 The danger must be selfevident; bare allegationsorassumedconclusionsthatapersonsphysicalsafetyisthreatenedarenot sufficient reasons to redact information.611 Alleging that disclosing the information would infringe on a persons privacy does not justify a denial of release under this exception.612 Note:NonexpiringStepTwoexceptions:Whenalawenforcementmatterhasconcluded,onlythe work product exception expires. The courts have expressly or impliedly found that investigatory records which fall under the uncharged suspect,613 confidential source or witness,614 confidential investigatory technique,615 and information threatening physical safety616 exceptions apply despite thepassageoftime. Note:LawEnforcementRecordsnotCoveredbytheCLEIRsException:Asnotedabove,personnel andotheradministrativerecordsnotpertainingtoalawenforcementmatterwouldnotbecovered bytheCLEIRsexception.Inaddition,thecourtshavespecificallyruledthatthefollowingrecordsare notcovered: OffenseandIncidentReports:Offenseandincidentreportsareformreportsinwhichthelaw enforcement officer completing the form enters information in the spaces provided.617 Police offense or incident reports initiate investigations, but are not considered part of the investigation, and are therefore not a law enforcement matter covered by the CLEIRs exception.618Therefore,noneoftheinformationexplainedinStepTwoabovecanberedacted fromaninitialincidentreport.619However,ifanoffenseorincidentreportcontainsinformation that is otherwise exempt from disclosure under state or federal law, the exempt information may be redacted.620 This could include social security numbers, information referred from a childrenservicesagency,621orotherindependentlyapplicableexemptions. 911Records:Audiorecordsof911callsarenotconsideredtopertaintoalawenforcement matter, or constitute part of an investigation, for the purposes of the CLEIRs exception.622 Further, the courts have determined that a caller has no reasonable expectation of privacy in matterscommunicatedina911call,andsincethereisnobasistofindaconstitutionalrightof privacy in such calls even Social Security Numbers may not be redacted.623 As with other publicrecords,arequesterisentitledtoaccesseithertheaudiorecord,orapapertranscript.624
Stateexrel.ClevelandPolicePatrolmensAssnv.CityofCleveland,122OhioApp.3d696(8thDist.1997)(aStrikePlanandrelatedrecords prepared in connection with the possible strike by teachers were not records because their release could endanger the lives of police personnel). 610 R.C. 149.43(A)(2)(d); see State ex rel. Martin v. City of Cleveland, 67 Ohio St.3d 155, 156, 1993Ohio192 (a document does not need to specifywithinitsfourcornersthepromiseofconfidentialityorthreattophysicalsafety). 611 Seee.g.,Stateexrel.Johnsonv.CityofCleveland,65OhioSt.3d331,333334(1992)(overruledonothergrounds). 612 Seee.g.,Stateexrel.Johnsonv.CityofCleveland,65OhioSt.3d331,333334(1992). 613 State ex rel. Polovischak v. Mayfield, 50 Ohio St.3d 51, 54 (1990) (One purpose of the exemption in R.C. 149.43(A)(2) is to protect a confidentialinformantand[t]hispurposewouldbesubvertedifarecordinwhichtheinformantsidentityisdisclosedweredeemedsubject todisclosuresimplybecauseaperiodoftimehadelapsedwithnoenforcementaction.). 614 R.C. 149.43(A)(2)(d); see State ex rel. Martin v. City of Cleveland, 67 Ohio St.3d 155, 156, 1993Ohio192 (a document does not need to specifywithinitsfourcornersthepromiseofconfidentialityorthreattophysicalsafety). 615 Stateexrel.Broomv.Cleveland,8thDist.No.59571(Aug.27,1992). 616 Stateexrel.Martinv.CityofCleveland,67OhioSt.3d155,1993Ohio192. 617 Stateexrel. Lanham v. Smith, 112 Ohio St.3d 527, 2007Ohio609, 13 (See, e.g., State ex rel. Beacon Journal Publishing Co. v. Maurer (2001),91OhioSt.3d54,2001Ohio282,741N.E.2d511(referringtoanOhioUniformIncidentForm).). 618 Stateexrel.Lanhamv.Smith,112OhioSt.3d527,2007Ohio609,13;Stateexrel.BeaconJournalPublgCo.v.CityofAkron,104Ohio St.3d339,2004Ohio6557,55;Stateexrel.BeaconJournalPublgCo.v.Maurer,91OhioSt.3d54,57,2001Ohio282(notingthatitruledthe wayitdiddespitetheriskthatthereportmaydisclosetheidentityofanunchargedsuspect). 619 Stateexrel.BeaconJournalPublgCo.v.Maurer,91OhioSt.3d54,57,2001Ohio282. 620 Stateexrel.Lanhamv.Smith,112OhioSt.3d527,2007Ohio609,13;Stateexrel.BeaconJournalPublgCo.v.CityofAkron,104Ohio St.3d 339, 2004Ohio6557, 55 (explainingthatinMaurer, we did not adopt a per serule that all police offense and incident reports are subjecttodisclosurenotwithstandingtheapplicabilityofanyexemption). 621 State ex rel. Beacon Journal Publg Co. v. Akron, 104 Ohio St.3d 399, 2004Ohio6557, 4445 (information referred from a children servicesagencyaspotentiallycriminalmayberedactedfrompolicefiles,includingtheincidentreport,pursuanttoR.C.2151.421(H)). 622 Stateexrel.DispatchPrintingCo.v.MorrowCountyProsecutorsOffice,10OhioSt.3d172,2005Ohio685. 623 State ex rel. Cincinnati Enquirer v. Hamilton County, 75 Ohio St.3d 374, 377, 1996Ohio214 (911 tapes at issue had to be released immediately). 624 Stateexrel.DispatchPrintingCo.v.MorrowCountyProsecutorsOffice,10OhioSt.3d172,2005Ohio685,5.
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However,informationconcerningtelephonenumbers,addresses,ornamesobtainedfroma911 database maintained pursuant to R.C. 4931.40 through 4931.51 may not be disclosed or used foranypurposeotherthanaspermittedbythosestatutes.625 Note:ExceptionsotherthanCLEIRsmayapplytodocumentswithinalawenforcementinvestigative file, such as Social Security Numbers, LEADS computerized criminal history documents,626 and information, data, and statistics gathered or disseminated through the Ohio Law Enforcement Gateway(OHLEG).627
B.
EmploymentRecords628
Public employee personnel records are generally regarded as public records.629 However, if any item contained within a personnel file or other employment record630 is not a record of the office, or is subjecttoanexception,itmaybewithheld.WerecommendthatHumanResourceofficerspreparea listofinformationandrecordsintheofficespersonnelfilesthataresubjecttowithholding,including theexplanationandlegalauthorityrelatedtoeachitem.Theofficecanthenusethislistforpromptand consistentresponsestopublicrecordsrequests.Asamplelistcanbefoundattheendofthischapter.
1.
NonRecords
To the extent that any item contained in a personnel file is not a record, i.e., does not serve to documenttheorganization,operations,etc.,ofthepublicoffice,itisnotapublicrecordandneed not be disclosed.631 Based on this reasoning, the Ohio Supreme Court has found that in most instancesthehomeaddressesofpublicemployeeskeptbytheiremployerssolelyforadministrative convenience are not records of the office.632 Although Ohio case law is silent on other specific nonrecordpersonnelitems,apublicofficemaywanttocarefullyevaluatehomeandpersonalcell phone numbers, emergency contact information, employee banking information, insurance beneficiary designations, personal email address, and other items if they are maintained only for administrativeconvenienceandnottodocumenttheformaldutiesandactivitiesoftheoffice.Non record items may be redacted from materials which are otherwise records, such as a civil service applicationform.
2.
NamesandDatesofBirthofPublicOfficialsandEmployees
Eachpublicofficeorpersonresponsibleforpublicrecordsshallmaintainadatabaseoralistthat includesthenameanddateofbirthofallpublicofficialsandemployeeselectedtooremployedby thatpublicoffice.Thedatabaseorlistisapublicrecordandshallbemadeavailableuponarequest madepursuanttosection149.43oftheRevisedCode.633
R.C.4931.49(F);R.C.4931.99(E)(providingthatinformationfromadatabasethatservespublicsafetyansweringpointof911systemmay notbedisclosed). 626 O.A.C.4501:21006(B). 627 R.C.149.57(D)(1)(b). 628 Thefollowingcategoriesmaynotincludeallexceptions(orinclusions)whichcouldapplytoeverypublicofficespersonnelrecords. 629 2007 Ohio Op. Atty Gen. No. 026; State ex rel. Multimedia, Inc. v. Snowden, 72 Ohio St.3d 141, 143, 1995Ohio248; State ex rel. Ohio PatrolmensBenevolentAssnv.Mentor,89OhioSt.3d440,444,2000Ohio214(addressingpolicepersonnelrecords). 630 Thetermpersonnelfilehasnosingledefinitioninpublicrecordslaw.SeeStateexrel.Morganv.CityofNewLexington,112OhioSt.3d 33,2006Ohio6365,57(inferringthatrecordsthatarethefunctionalequivalentofpersonnelfilesexistandareinthecustodyofthecity wherearespondentclaimedthatnopersonnelfilesdesignatedbytherespondentexisted);Cwynarv.JacksonTwp.Bd.ofTrs.,178OhioApp.3d 345,2008Ohio5011,31(5thDist.)(findingthat,wheretheappellantrequestedonlythecompletepersonnelfileandnottherecordsrelating to an individuals employment, that [i]t is the responsibility of the person making the public records request to identify the records with reasonableclarity.). 631 Stateexrel.McClearyv.Roberts,88OhioSt.3d365,367,2005Ohio345;Stateexrel.Fantv.Enright,66OhioSt.3d186,188(1993)([t]o theextentthatanyitemcontainedinapersonnelfileisnotarecord,i.e.,doesnotservetodocumenttheorganization,etc.,ofthepublic office,itisnotapublicrecordandneednotbedisclosed.). 632 Stateexrel.DispatchPrintingCo.v.Johnson,106 OhioSt.3d160, 2000Ohio4384, 39(an employeeshomeaddressmayconstitutea recordwhenitdocumentsanofficepolicyorpractice,aswhentheemployeesworkaddressisalsotheemployeeshomeaddress). 633 R.C.149.434.
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3. ResumesandApplicationMaterials
There is no public records exception which generally protects resumes and application materials obtained by public offices in the hiring process.634 The Ohio Supreme Court has found that the publichasanunquestionedpublicinterestinthequalificationsofpotentialapplicantsforpositions ofauthorityinpublicemployment.635Forexample,whenacityboardofeducationusedaprivate searchfirmtohelphireanewtreasurer,itwasrequiredtodisclosethenamesandresumesofthe interviewees.636 The fact that a public office has promised confidentiality to applicants is irrelevant.637Apublicofficesobligationtoturnoverapplicationmaterialsandresumesextendsto recordsinthesolepossessionofprivatesearchfirmsusedinthehiringprocess.638Aswithanyother categoryofrecords,ifanexceptionforhomeaddress,SocialSecurityNumber,orotherspecificitem applies,itmaybeusedtoredactonlytheprotectedinformation. Application Materials Not Kept By a Public Office: Application materials may not be public recordsiftheyarenotkeptby639theofficeatthetimeoftherequest.InStateexrel.Cincinnati Enquirerv.CincinnatiBoardofEducation,theschoolboardengagedaprivatesearchfirmtoassistin its search for a new superintendent. During the interview process, the school board members reviewedandthenreturnedallapplicationmaterialsandresumessubmittedbythecandidates.The Enquirer made a public records request for any resumes, documents, etc., related to the superintendentsearch.Becausenocopiesofthematerialshadbeenprovidedtotheboardatany time outside the interview setting and had never been kept, the court denied the writ of mandamus.640Keepinmindthatthiscaseislimitedtoanarrowsetoffacts,includingcompliance withrecordsretentionschedules,inreturningsuchmaterials.
4.
BackgroundInvestigations
Background investigations are not subject to any general public records exception,641 although specific statutes may except defined background investigation materials kept by specific public offices.642 However, criminal history rap sheets obtained from the federal National Crime Information Center system (NCIC) or through the state Law Enforcement Automated Data System (LEADS)aresubjecttoanumberofstatutoryexceptions.643
Stateexrel.ConsumerNewsServs.v.WorthingtonCityBd.ofEduc.,97OhioSt.3d58,2002Ohio5311,41;Stateexrel.Gannettv.Shirey, 78OhioSt.3d400,403,1997Ohio206. 635 State ex rel. Consumer News Servs. v. Worthington City Bd. of Educ., 97 Ohio St.3d 58, 2002Ohio5311, 53 (opponents argued that disclosingthesematerialswouldpreventthebestcandidatesfromapplying);butseeStateexrel.ThePlainDealerPublishingCo.v.Cleveland, 75OhioSt.3d31,36,1996Ohio379(itisnotevidentthatdisclosureofresumesofapplicantsforpublicofficeslikepolicechiefnecessarily preventsthebestqualifiedcandidatesfromapplying.). 636 Stateexrel.ConsumerNewsServs.v.WorthingtonCityBd.ofEduc.,97OhioSt.3d58,2002Ohio5311. 637 Stateexrel.ConsumerNewsServs.v.WorthingtonCityBd.ofEduc.,97OhioSt.3d58,2002Ohio5311,46;Stateexrel.GannettSatellite Info.Networkv.Shirey,78OhioSt.3d400,403,1997Ohio206. 638 Stateexrel.GannettSatelliteInfo.Networkv.Shirey,78OhioSt.3d400,403,1997Ohio206. 639 ForadiscussiononkeptbyseeChapterOne:C.2.WhatKeptByMeans. 640 Stateexrel.CincinnatiEnquirerv.CincinnatiBd.ofEduc.,99OhioSt.3d2003Ohio2260,14. 641 Stateexrel.OhioPatrolmensBenevolentAssnv.CityofMentor,89OhioSt.3d440,445,2000Ohio214,citingStateexrel.Multimedia,Inc. v. Snowden, 72 Ohio St.3d 141, 142145, 1995Ohio248 (addressing all personnel, background, and investigation reports for police recruit class);Dinkinsv.OhioDiv.ofStateHighwayPatrol,116F.R.D.270,272(N.D.Ohio1987). 642 Seee.g.,R.C.113.041(E)(providingforcriminalhistorychecksofemployeesofthestatetreasurer);R.C.109.5721(E)(informationofarrest orconvictionreceivedbyapublicofficefromBCI&Iisretainedintheapplicantfingerprintdatabase);R.C.2151.86(E)(addressingtheresultsof criminalhistorychecksofchildrensdaycareemployees);R.C.3319.39(D)(addressingtheresultsofcriminalhistorycheckofteachers).Note thatstatutesmayalsorequiredisseminationofnoticeofanemployeesorvolunteersconviction.Seee.g.,R.C.109.576(providingfornoticeof avolunteersconviction). 643 R.C.109.57(D)and(H);O.A.C.4501:21006(B);42U.S.C.3789g;28C.F.R.20.33(a)(3);IntheMatterof:C.C.,2008Ohio6776,810 (11th Dist.) (providing that there are three different analyses of the interplay between Juv. R. 37 (juvenile court records), O.A.C. 4501:210 06(B)(LEADSrecordsandBMVstatutes);PatrolmanXv.Toledo,LucasC.P.NoCI942884,132OhioApp.3d381,389(Apr.22,1996);Stateex rel.NatlBroadcastingCo.v.Cleveland,82OhioApp.3d202,206207(8thDist.1992);Ingrahamv.Ribar,80OhioApp.3d29,3334(9thDist. 1992);1994OhioOpAttyGen.No.046.
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5. EvaluationsandDisciplinaryRecords
Employeeevaluationsarenotsubjecttoanygeneralpublicrecordsexception.644Likewise,records ofdisciplinaryactionsinvolvinganemployeearenotexcepted.645Specifically,theCLEIRsexception doesnotapplytoroutineofficedisciplineorpersonnelmatters,646evenwhensuchmattersarethe subjectofaninternalinvestigationwithinalawenforcementagency.647
6.
EmployeeAssistanceProgram(EAP)Records
Records of the identity, diagnosis, prognosis, or treatment that are maintained of any person in connectionwithEAParenotpublicrecords.648Theiruseandreleaseisstrictlylimited.
7.
PhysicalFitness,Psychiatric,andPolygraphExaminations
AsusedintheOhioPublicRecordsAct,thetermmedicalrecordsislimitedtorecordsgenerated and maintained in the process of medical treatment (see Medical Records below). Accordingly, records of examinations performed for the purpose of determining fitness for hiring or for continued employment, including physical fitness,649 psychiatric,650 and psychological651 examinations,arenotexceptedfromdisclosureasmedicalrecords.Similarly,polygraph,orlie detector, examinations are not medical records, nor do they fall under the CLEIRs exception whenperformedinconnectionwithhiring.652Note,though,thataseparateexceptiondoesapplyto medicalinformationpertainingtothoseprofessionalscoveredunderR.C.149.43(A)(7)(c). Whilefitnessforemploymentrecordsdonotfitwithinthedefinitionofmedicalrecords,theymay nonetheless be excepted from disclosure under the socalled catch all provision of the Public RecordsActasrecordsthereleaseofwhichisprohibitedbystateorfederallaw.653Specifically, the federal Americans With Disabilities Act (ADA) and its implementing regulations654 permit employerstorequireemployeesandapplicantstowhomtheyhaveofferedemploymenttoundergo medical examination and/or inquiry into their ability to perform jobrelated functions.655 Information regarding medical condition or history must be collected and kept on separate forms andinseparatemedicalfiles,andmustbetreatedasconfidential,exceptasotherwiseprovidedby the ADA. As nonpublic records, the examinations may constitute confidential personal informationunderOhiosPersonalInformationSystemsAct.656
Stateexrel.MedinaCountyGazettev.CityofBrunswick,109OhioApp.3d661,664(9thDist.1996). Stateexrel.Morganv.CityofNewLexington,112OhioSt.3d33,2006Ohio6365,49. Stateexrel.FreedomCommcn,Inc.v.ElidaCmty.FireCo.,82OhioSt.3d578,581582,1998Ohio411(aninvestigationofanallegedsexual assaultconductedinternallyasapersonnelmatterisnotalawenforcementmatter). 647 State ex rel. Multimedia, Inc. v. Snowden, 72 Ohio St.3d 141, 142, 1995Ohio248 (personnel records of police officers reflecting the disciplineofpoliceofficersarenotconfidentiallawenforcementinvestigatoryrecordsexceptedfromdisclosure). 648 R.C.3701.041(B). 649 State ex rel. Ohio Patrolmens Benevolent Assn v. Lucas County Sheriffs Office, 2007Ohio101, 16 (7th Dist.) (a fitness for duty evaluationdidnotconstitutemedicalrecords). 650 State of Ohio v. Hall, 141 Ohio App.3d 561, 568, 2001Ohio4059 (4th Dist.) (psychiatric reports compiled solely to assist the court with competencytostandtrialdeterminationwerenotmedicalrecords). 651 Stateexrel.Multimedia,Inc.v.Snowden,72OhioSt.3d141,143,1995Ohio248(apolicepsychologistreportobtainedtoassistthepolice hiringprocessisnotamedicalrecord). 652 Stateexrel.Multimedia,Inc.v.Snowden,72OhioSt.3d141,143,1995Ohio248,citingStateexrel.LorainJournalv.CityofLorain,87Ohio App.3d112(9thDist.1993). 653 R.C.149.43(A)(1)(v). 654 42U.S.C.12112;29C.F.R.1630.14(b)(1),(c)(1). 655 29CFR1630.14(c);SeealsoStateexrel.Mahajanv.StateMed.Bd.ofOhio,127OhioSt.3d497,2010Ohio5995,44,47(employers questioningofcourtreporterandopposingcounselwasproperlyredactedasinquiryintowhetheremployeewasabletoperformjobrelated functions,aspertinentADAprovisiondoesnotlimittheconfidentialnatureofsuchinquiriestoquestionsdirectedtoemployeesormedical personnel). 656 R.C.1347.15(A)(1).
645 646
644
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8. MedicalRecords
Medicalrecordsarenotpublicrecords,657andapublicofficemaywithholdanymedicalrecordsin apersonnelfile.Medicalrecordsarethosegeneratedandmaintainedintheprocessofmedical treatment.658NotethatthefederalHealthInsurancePortabilityandAccountabilityAct(HIPAA),659 doesnotapplytorecordsinemployerpersonnelfiles,butthatthefederalFamilyandMedicalLeave Act (FMLA),660 or the Americans With Disabilities Act (ADA)661 may apply to medicalrelated informationinpersonnelfiles.
9.
SchoolRecords
Educationrecords,whichincludebutarenotlimitedtoschooltranscripts,attendancerecords,and discipline records, that are directly related to a student and maintained by the educational institution, as well as personally identifiable information from education records, are generally protected from disclosure by the school itself through the federal Family Educational Rights and PrivacyAct(FERPA).However,whenastudentorformerstudentdirectlyprovidessuchrecordstoa publicofficetheyarenotprotectedbyFERPA662andareconsideredpublicrecords.
10.
SocialSecurityNumbersandTaxpayerRecords
SocialSecurityNumbers(SSNs)shouldberedactedbeforethedisclosureofpublicrecords.663The Ohio Supreme Court has held that although the Federal Privacy Act (5 U.S.C. 552a) does not expresslyprohibitreleaseofonesSSN,theActdoescreateanexpectationofprivacyastotheuse anddisclosureoftheSSN.Ohiostatutesoradministrativecodemayprovideotherexceptionsfor SSNsforspecificemployees664orinparticularlocations,665and/oruponrequest.666 Information obtainedfrommunicipal taxreturnsisconfidential.667OneAttorneyGeneralOpinion foundthatW2federaltaxformspreparedandmaintainedbyatownshipasanemployerarepublic records.However,W2formsfiledaspartofamunicipalincometaxreturnareconfidential.668W4 formsareconfidentialpursuantto26 U.S.C.6103(b)(2)(A)asreturninformation,whichincludes datawithrespecttothedeterminationoftheexistenceofliability(ortheamountthereof)ofany person for any tax. The term return information is interpreted broadly to include any information gathered by the IRS with respect to a taxpayers liability under the Internal Revenue Code.669 With respect to Ohio income tax records, any information gained as the result of returns, investigations, hearings, or verifications required or authorized by R.C. Chapter 5747 is confidential.670
R.C.149.43(A)(1)(a),(A)(3). R.C.149.43(A)(3)(extendstoanydocument[]thatpertainstothemedicalhistory,diagnosis,prognosis,ormedicalconditionofapatient andthatisgeneratedandmaintainedintheprocessofmedicaltreatment);Stateexrel.Strothersv.Wertheim,80OhioSt.3d155,158,1997 Ohio349(emphasizingthatbothpartsofthisconjuctivedefinitionmustbemetinordertofallunderthemedicalrecordsexception:arecord mustpertaintoamedicaldiagnosisandbegeneratedandmaintainedintheprocessofmedicaltreatment). 659 See45C.F.R.160etseq.;45C.F.R.164etseq. 660 See29U.S.C.2601etseq.;29C.F.R.825.500(g). 661 See42U.S.C.12101etseq. 662 20U.S.C.1232g;SeeChapterThree:3.G.6.StudentRecords. 663 Stateexrel.BeaconJournalPublgCo.v.Akron,70OhioSt.3d605,612,1994Ohio6(notingthatthereisahighpotentialforfraudand victimizationcausedbytheuncheckedreleaseofcityemployeeSSNs);seealsoChapterThree:G.5.SocialSecurityNumbers. 664 See e.g., R.C. 149.43(A)(1)(p), (7)(c) (protecting residential and familial information of certain covered professionals); see also R.C. 149.45(D)(1). 665 R.C.149.45(B)(1)(providingthatnopublicofficeorpersonresponsibleforapublicofficespublicrecordsshallmakeavailabletothegeneral publicontheinternetanydocumentthatcontainsanindividualsSSNwithoutotherwiseredacting,encrypting,ortruncatingtheSSN). 666 R.C.149.45(C)(1)(providingthatanindividualmayrequestthatapublicofficeorapersonresponsibleforapublicofficespublicrecords redactpersonalinformationofthatindividualfromanyrecordmadeavailabletothegeneralpublicontheinternet). 667 R.C.718.13;seealsoRenov.CityofCenterville,2004Ohio781(2ndDist.). 668 1992OhioOp.AttyGen.No.005. 669 SeeMcQueenv.UnitedStates,264F.Supp.2d502,516(S.D.Tex.2003),affd,100F.Appx964(5thCir.2004);LaRouchev.Deptof Treasury,112F.Supp.2d48,54(D.D.C.2000)(returninformationisdefinedbroadly). 670 R.C.5747.18(C).
658 657
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11. ResidentialandFamilialInformationofListedSafetyOfficers
As detailed elsewhere in this manual, the residential and familial information671 of certain listed publicemployeesmaybewithheldfromdisclosure.672
12.
BargainingAgreementProvisions
Courts have held that collective bargaining agreements concerning the confidentiality of records cannotprevailoverthePublicRecordsAct.Forexample,aunionmaynotlegallybartheproduction ofavailablepublicrecordsthroughaprovisioninacollectivebargainingagreement.673
13.
StatutesSpecifictoaParticularAgencysEmployees
Statutes may protect particular information or records concerning specific public offices, or particularemployees674withinoneormoreagencies.675
R.C.149.43(A)(7);ChapterSix:C.ResidentialandFamilialInformationofCoveredProfessionsthatarenotPublicRecords. R.C.149.43(A)(1)(p). Stateexrel.DispatchPrintingCo.v.CityofColumbus,90OhioSt.3d39,4043,2000Ohio8(theFOPcouldnotlegallybartheproductionof available public records through a records disposition provision in a collective bargaining agreement); State ex rel. Dispatch Printing Co. v. Wells,18OhioSt.3d382,384(1995). 674 E.g.,R.C.149.43(A)(7)(CoveredProfessionalsResidentialandFamilialInformation);R.C.149.43(A)(7)(g)(photographofapeaceofficerwho worksundercoverorplainclothesassignments). 675 E.g., R.C. 2151.142 (providing for confidentiality of residential address of public children services agency or private child placing agency personnel).
672 673
671
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PersonnelFiles*
Itemsfrompersonnelfilesthataresubjecttoreleasewithappropriateredaction
PayrollrecordsTimesheetsEmploymentapplicationformsResumes TrainingcoursecertificatesPositiondescriptionsPerformanceevaluations LeaveconversionformsLettersofsupportorcomplaint Formsdocumentingreceiptofofficepolicies,directives,etc. Formsdocumentinghiring,promotions,jobclassificationchanges,separation,etc. Backgroundchecks,otherthanLEADSthroughput,NCICandCCH Disciplinaryinvestigation/actionrecords,unlessexemptfromdisclosurebylaw
Itemsfrompersonnelfilesthatmayormustbewithheld
SocialSecurityNumbers(basedonthefederalPrivacyAct:5USC552a)(Stateexrel. BeaconJournalPublgCo.v.CityofAkron,70OhioSt.3d605,612,1994Ohio6) Publicemployeehomeaddresses,generally(asnonrecord) Residentialandfamilialinformationofapeaceoffice,paroleofficer,probationofficer, bailiff,prosecutingattorney,assistantprosecutingattorney,correctionalemployee, communitybasedcorrectionalfacilityemployee,youthservicesemployee,firefighter, EMT,orBCI&Iinvestigator,otherthanresidenceaddressofprosecutor(SeeR.C. 149.43(A)(1)(p)) Charitabledeductionsandemploymentbenefitdeductionssuchashealthinsurance (asnonrecords) Beneficiaryinformation(asnonrecord) FederaltaxreturnsandreturninformationfiledunderthejurisdictionoftheIRS (26USC6103) Personalhistoryinformationofstateretirementcontributors(R.C.145.27(A); R.C.742.41(B);R.C.3307.20(B);R.C.3309.22;R.C.5505.04(C)) TaxpayerrecordsmaintainedbyOhioDept.ofTaxationandbymunicipalcorporations (R.C.5703.21;R.C.718.13) Medicalrecordsthataregeneratedandmaintainedintheprocessofmedical treatment(R.C.149.43(A)(1)(a)and(A)(3)) LEADS,NCIC,orCCHcriminalrecordinformation(42USC3789g;28CFR20.21, 20.33(a)(3);R.C.109.57(D)&(E);OAC109:05101;OAC4501:21006)
*Theselistsarenotexhaustive,butareintendedasastartingpointforeachpublicofficeincompilinglistsappropriatetoits employeerecords.
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C. ResidentialandFamilialInformationofCoveredProfessionsthatarenot PublicRecords676
Residential and Familial Information Defined:677 The residential and familial information of peace officers,678 parole officers, probation officers, bailiffs, prosecuting attorneys, assistant prosecuting attorneys,679correctionalemployees,680communitybasedcorrectionalfacilityemployee,youthservices employees,681 firefighters,682 or emergency medical technicians (EMTs),683 and investigators of the Bureau of Criminal Identification and Investigation is excepted from mandatory disclosure under the OhioPublicRecordsAct.684Residentialandfamilialinformationmeansanyinformationthatdiscloses anyofthefollowingaboutindividualsinthelistedemploymentcategories(seefollowingchart):
InformationthatisnotPublicRecord
(*PeaceOfficer,ParoleOfficer,ProbationOfficer,Bailiff,ProsecutingAttorney,AssistantProsecutingAttorney,Correctional Employee,YouthServicesEmployee,Firefighter,EMTorinvestigatoroftheBureauofCriminalIdentificationand Investigation685)
Residential
Medical
676 677
Addressofthecoveredemployeesactualpersonalresidence,exceptforstate orpoliticalsubdivision;residentialphonenumber,andemergencyphone number686 Residentialaddress,residentialphonenumber,andemergencyphone numberofthespouse,formerspouse,orchildofacoveredemployee687
Anyinformationofacoveredemployeethatiscompiledfromreferraltoor participationinanemployeeassistanceprogram688 Anymedicalinformationofacoveredemployee689
Individualsin these covered professions can also request to have certain information redacted, or prohibit its disclosure. For additional discussion,seeChapterThree:F.2.PersonalInformationListedOnline. Forpurposesofthissection,coveredprofessionsisthetermusedtodescribeallofthepersonscoveredundertheresidentialandfamilial exception(i.e.,peaceofficer,firefighter,etc.). 678 R.C.149.43(A)(7);Forpurposesofthisstatute,peaceofficerhasthesamemeaningasinR.C.109.71andalsoincludesthesuperintendent and troopers of the state highway patrol; it does not include the sheriff of a county or a supervisory employee who, in the absence of the sheriff,isauthorizedtostandinfor,exercisetheauthorityof,andperformthedutiesofthesheriff,R.C.149.43(A)(7)(g). 679 Stateexrel.Bardwellv.RockyRiverPoliceDept.,2009Ohio727,3146(8thDist.)(thehomeaddressofanelectedlawdirectorwhoat timesservesasaprosecutorisnotapublicrecord,pursuanttoR.C.149.43(A)(1)(p)inconjunctionwith(7)(a)). 680 R.C.149.43(A)(7)(g)(Asusedindivisions(A)(7)and(B)(5)ofthissection,correctionalemployeemeansanyemployeeofthedepartment ofrehabilitationandcorrectionwhointhecourseofperformingtheemployeesjobdutieshasorhashadcontactwithinmatesandpersons undersupervision.). 681 R.C.149.43(A)(7)(g)(Asusedindivisions(A)(7)and(B)(5)ofthissection,youthservicesemployeemeansanyemployeeofthedepartment ofyouthserviceswhointhecourseofperformingtheemployeesjobdutieshasorhashadcontactwithchildrencommittedtothecustodyof thedepartmentofyouthservices.). 682 R.C.149.43(A)(7)(g)(Asusedindivisions(A)(7)and(B)(9)ofthissection,firefightermeansanyregular,paidorvolunteer,memberofa lawfullyconstitutedfiredepartmentofamunicipalcorporation,township,firedistrict,orvillage.). 683 R.C. 149.43(A)(7)(g) (Asusedindivisions(A)(7)and (B)(9) ofthissection,EMT means EMTsbasic,EMTsI,andparamedic thatprovide emergencymedicalservicesforapublicemergencymedicalserviceorganization.Emergencymedicalserviceorganization,EMTbasic,EMT I,andparamedichavethesamemeaningsasinsection4765.01oftheRevisedCode.). 684 R.C.149.43(A)(1)(p),(A)(7);Fordiscussionofapplicationbypublicoffices,see2000OhioOp.AttyGen.No.21. 685 R.C.2151.142(B)and(C)(providingthat,inadditionaltothecoveredprofessionslistedabove,certainresidentialaddressesofemployees ofapublicchildrenservicesagencyorprivatechildplacingagencyandthatemployeesfamilymembersareexemptfromdisclosure). 686 R.C. 149.43(A)(7)(a), and (c). Because prosecuting attorneys are elected officials, the actual personal residential address of elected prosecutingattorneysisnotexceptedfromdisclosure(somepublishedversionsofChapter149incorrectlyincludeprosecutingattorneysinR.C. 149.43(A)(7)(a)). 687 R.C.149.43(A)(7)(f). 688 R.C.149.43(A)(7)(b). 689 R.C.149.43(A)(7)(c).
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Employment Personal Thenameofanybeneficiaryofemploymentbenefitsofacoveredemployee, including,butnotlimitedto,lifeinsurancebenefits690 Theidentityandamountofanycharitableoremploymentbenefitdeduction ofacoveredemployee691 Aphotographofapeaceofficerwhoholdsapositionthatmayinclude undercoverorplainclothespositionsorassignments692
Theinformationbelow,whichisnotapublicrecord,appliestobothacovered employeeandspouse,formerspouse,orchildren SocialSecurityNumber693 Accountnumbersofbankaccountsanddebit,charge,andcreditcards694 Theinformationbelow,whichisnotapublicrecord,appliestoonlyacovered employeesspouse,formerspouse,orchildren Name,residentialaddress,nameofemployer,addressofemployer695
D.
CourtRecords
AlthoughrecordskeptbythecourtsofOhiomeetthedefinitionofpublicrecordsundertheOhioPublic RecordsAct,mostcourtrecordsaresubjecttoadditionalrulesconcerningaccess.
1.
696
CourtsSupervisoryPowerovertheirOwnRecords
Ohiocourts aresubjecttotheRulesofSuperintendencefortheCourtsofOhio,697adoptedbythe SupremeCourtofOhio.TheRulesofSuperintendenceestablishrightsanddutiesregardingcourt case documents and administrative documents, starting with the statement that [c]ourt records arepresumedopentopublicaccess.698Sup.R.45(A).WhilesimilartotheOhioPublicRecordsAct, theRulesofSuperintendencecontainsomeadditionalordifferentprovisions,includinglanguage: Allowing courts to adopt a policy limiting the number of records they will release per monthunlesstherequestercertifiesthatthereisnointendedcommercialuse.Sup.R. 45(B)(3). ForInternetrecords,allowingcourtstoannouncethatalargeattachmentorexhibitwas notscannedbutisavailablebydirectaccess.Sup.R.45(C)(1). Establishingdefinitionsofcourtrecord,casedocument,administrativedocument, casefile,andotherterms.Sup.R.44(A)through(M).
R.C.149.43(A)(7)(d). R.C.149.43(A)(7)(e). R.C.149.43(A)(7)(g). 693 R.C.149.43(A)(7)(f). 694 R.C.149.43(A)(7)(f). 695 R.C.149.43(A)(7)(f). 696 Sup.R.1(B)(definingcountycourts,municipalcourts,courtsofcommonpleas,andcourtsofappeals). 697 RulesofSuperintendencefortheCourtsofOhioarecitedasSup.R.n. 698 Stateexrel.VindicatorPrintingCo.v.Wolff,132OhioSt.3d481,2012Ohio3328,2427(RulesofSuperintendencedonotrequirethata documentbeusedbycourtinadecisiontobeentitledtopresumptionofpublicaccessspecifiedinSup.R.45(A).Thedocumentmustmerelyby submittedtoacourtorfiledwithaclerkofcourtinajudicialactionorproceedingandnotbesubjecttoexclusionsspecifiedinRule.).
691 692
690
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Aprocessforthesealingofpartorallofanycasedocument,includingaprocessforany person to request access to a case document or information that has been granted limitedpublicaccess.Sup.R.45(F). Requiring that documents filed with the court omit or redact personal identifiers that mightcontributetoidentitytheft.Thepersonalidentifierswouldinsteadbesubmitted on a separate standard form submitted only to the court, clerk of courts, and parties. Sup.R.45(D).699 (ThisisapartiallistseeSup.Rules4447forallprovisions.) The provisions of Rules 44 through 47 of the Rules of Superintendence apply to all court administrative documents, but only apply to court case documents in actions commenced on or after the effective date of the rule.700 The Rules of Superintendence for the Courts of Ohio are currentlyavailableonlineat: http://www.sconet.state.oh.us/LegalResources/Rules/superintendence/Superintendence.pdf.
2.
RulesofCourtProcedure
RulesofProcedure,whicharealsoadoptedthroughtheOhioSupremeCourt,cancreateexceptions topublicrecorddisclosure.701Examplesincludecertainrecordsrelatedtograndjuryproceedings,702 andmostjuvenilecourtrecords.703
3.
SealingStatutes
Where court records have been properly expunged or sealed, they are not available for public disclosure.704 However, when a responsive record is sealed, the public office must provide the explanation for withholding, including the legal authority under which the record was sealed.705 Even absent statutory authority, trial courts have the inherent authority to seal court records in unusualandexceptionalcircumstances.706Whenexercisingthisauthority,however,courtsshould balancetheindividualsprivacyinterestagainstthegovernmentslegitimateneedtoprovidepublic accesstorecordsofcriminalproceedings.707
4.
NonRecords
Aswithanypublicoffice,courtsarenotobligatedtoprovidedocumentsthatarenotrecordsof the court. Examples include a judges handwritten notes,708 completed juror questionnaires,709 SocialSecurityNumbersincertaincourtrecords,710andunsolicitedletterssenttoajudge.711
EffectiveSeptember1,2011,theOhioSupremeCourtadoptedanewprobateformtocomplywithSup.R.45(D). Sup.R.47(A);Sup.R.99;Stateexrel.Strikerv.Smith,129OhioSt.3d168,2011Ohio2878,fn.2. Stateexrel.BeaconJournalv.Waters,67OhioSt.3d321,323,1993Ohio77. 702 OhioR.Crim.Pro.6(E);Stateexrel.BeaconJournalv.Waters,67OhioSt.3d321,323325,1993Ohio77. 703 OhioR.Juv.Pro.37(B). 704 R.C.2953.41,etseq.(convictionoffirsttimeoffenders);R.C.2953.51,etseq.(findingsofnotguilty,ordismissal);Stateexrel.Cincinnati Enquirerv.Winkler,101OhioSt.3d382,2004Ohio1581,1213(WinklerIII)(affirmingthetrialcourtssealingorderperR.C.2953.52); DreamFields,LLCv.Bogart,175OhioApp.3d165,2008Ohio152,3(1stDist.)(Unlessacourtrecordcontainsinformationthatisexcluded frombeingapublicrecordunderR.C.149.43,itshallnotbesealedandshallbeavailableforpublicinspection.Andthepartywishingtoseal therecordhasthedutytoshowthatastatutoryexclusionapplies[][j]ustbecausethepartieshaveagreedthattheywanttherecordssealed isnotenoughtojustifythesealing.). 705 Stateexrel.Doev.Smith,123OhioSt.3d44,2009Ohio4149,6,9,28,43(response,Thereisnoinformationavailable,wasaviolation ofR.C.149.43(B)(3)requirementtoprovideasufficientexplanation,withlegalauthority,forthedenial). 706 PepperPikev.Doe,66OhioSt.2d374(1981);butseeStateexrel.Highlanderv.Rudduck,103OhioSt.3d370,2004Ohio4952,1(divorce recordsarenotproperlysealedwhentheorderresultsfromunwrittenandinformalcourtpolicy). 707 PepperPikev.Doe,66OhioSt.2d374(1981),paragraphtwoofthesyllabus. 708 Stateexrel.Steffenv.Kraft,67OhioSt.3d439,439441,1993Ohio32(Atrialjudgespersonalhandwrittennotesmadeduringthecourse ofatrialarenotpublicrecords.). 709 Stateexrel.BeaconJournalPublgCo.v.Bond,98OhioSt.3d146,2002Ohio7117,25(thepersonalinformationofjurorsusedonlyto verifyidentification,nottodeterminecompetencytoserveonthejury,suchasSSNs,telephonenumbers,anddriverslicensenumbersmaybe redacted). 710 Stateexrel.MontgomeryCountyPub.Defenderv.Siroki,108OhioSt.3d207,2006Ohio662,18(SSNsincourtrecordsdonotshedlight onanygovernmentactivity).
700 701 699
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5. GeneralCourtRecordsRetention
SeeSup.R.26governingCourtRecordsManagementandRetention,andthefollowingRulessetting recordsretentionschedulesforeachtypeofcourt:Sup.R.26.01throughSup.R.26.05. OtherCaseLawPriortoRulesofSuperintendence ConstitutionalRightofAccess:Basedonconstitutionalprinciples,andseparatefromthepublic records statute, Ohio common law grants the public a presumptive right to inspect and copy courtrecords.712BoththeUnitedStatesandtheOhioConstitutionscreateaqualifiedright713of publicaccesstocourtproceedingsthathavehistoricallybeenopentothepublicandinwhich thepublicsaccessplaysasignificantlypositiverole.714Thisqualifiedrightincludesaccesstothe liveproceedings,aswellastotherecordsoftheproceedings.715 Even where proceedings are not historically public, the Ohio Supreme Court has determined thatanyrestrictionshieldingcourtrecordsfrompublicscrutinyshouldbenarrowlytailoredto serve the competing interests of protecting the individuals privacy without unduly burdening thepublicsrightofaccess.716Thishighstandardexistsbecausethepurposeofthiscommon law right is to promote understanding of the legal system and to assure public confidence in the courts.717 But, the constitutional right of public access is not absolute, and courts have traditionallyexercisedsupervisorypowerovertheirownrecordsandfiles.718 Unless otherwise superseded, the Public Records Act applies to court records.719 Once an otherwisenonpublicdocumentisfiledwiththecourt(suchaspretrialdiscoverymaterial),that documentbecomesapublicrecordwhenitbecomespartofthecourtrecord.720 However,incircumstanceswherethereleaseofthecourtrecordswouldprejudicetherightsof the parties in an ongoing criminal or civil proceeding, a narrow exception to public access exists.721 Under such circumstances, the court may impose a protective order prohibiting releaseoftherecords.722 Constitutional Access and Statutory Access Compared: The Ohio Supreme Court has distinguished between public records access and constitutional access to jurors names, home addresses,andotherpersonalinformationintheirresponsestowrittenjurorquestionnaires.723 711
Stateexrel.BeaconJournalPublgCo.v.Whitmore,83OhioSt.3d61,6264,1998Ohio180(whereajudgereadunsolicitedlettersbutdid notrelyontheminsentencing,thelettersdidnotservetodocumentanyactivityofthepublicofficeandwerenotrecords). 712 Stateexrel.BeaconJournalPublgCo.v.Bond,98OhioSt.3d146,2002Ohio7117;Stateexrel.CincinnatiEnquirerv.Winkler,101Ohio St.3d382,2004Ohio1581,27(WinklerIII)(citationsomitted);Stateexrel.ScrippsHowardBroadcastingCo.v.CuyahogaCountyCt.of CommonPleas,73OhioSt.3d19,22(1995). 713 Stateexrel.CincinnatiEnquirerv.Winkler,101OhioSt.3d382,2004Ohio1581,9(WinklerIII)(Theright,however,isnotabsolute.). 714 Stateexrel.ScrippsHowardBroadcastingCo.v.CuyahogaCountyCourtofCommonPleas,73OhioSt.3d19,20(1995),citingInre.T.R.,52 OhioSt.3d6(1990),atparagraphtwoofthesyllabus;PressEnterpriseCo.v.SuperiorCt.,478U.S.1(1986)(PressEnterpriseII). 715 Stateexrel.CincinnatiEnquirerv.Winkler,101OhioSt.3d382,2004Ohio1581(WinklerIII);Stateexrel.ScrippsHowardBroadcastingCo. v.CuyahogaCountyCourtofCommonPleas,73OhioSt.3d19,21(1995)(citationsomitted). 716 Stateexrel.CincinnatiEnquirerv.Winkler,149OhioApp.3d350,354,2002Ohio4803(1stDist.)(WinklerI)citingStateexrel.Scripps HowardBroadcastingCo.v.CuyahogaCountyCourtofCommonPleas,73OhioApp.3d19,21(1995). 717 Stateexrel.CincinnatiEnquirerv.Winkler,149OhioApp.3d350,354,2002Ohio4803(1stDist.)(WinklerI). 718 Stateexrel.CincinnatiEnquirerv.Winkler,149OhioApp.3d350,354355,2002Ohio4803(1stDist.)(WinklerI). 719 Stateexrel.CincinnatiEnquirerv.Winkler,101OhioSt.3d382,2004Ohio1581,5(WinklerIII)(Itisapparentthatcourtrecordsfall withinthebroaddefinitionofpublicrecord.). 720 Stateexrel.CincinnatiEnquirerv.Dinkelacker,144OhioApp.3d725,730(1stDist.2001). 721 Stateexrel.VindicatorPrintingCo.v.Wolff,132OhioSt.3d481,2012Ohio3328,34(theremustbeclearandconvincingevidenceofthe prejudicialeffectofpretrialpublicitysufficienttopreventDefendantfromreceivingafairtrialinordertoovercomethepresumptiverightof accessunderSup.R.45(A));Stateexrel.VindicatorPrintingCo.v.Watkins,66OhioSt.3d129,137139(1993)(prohibitingdisclosureofpretrial court records prejudicing rights of criminal defendant) (overruled on other grounds); also see State ex rel. Highlander v. Rudduck, 103 Ohio St.3d370,2004Ohio4952, 922(apendingappealfromacourtorderunsealingdivorcerecordsdoesnotprecludeawritofmandamus claim). 722 Stateexrel.CincinnatiEnquirerv.Dinkelacker,144OhioApp.3d725,730(1stDist.2001)(atrialjudgewasrequiredtodeterminewhether thereleaseofrecordswouldjeopardizethedefendantsrighttoafairtrial). 723 Stateexrel.BeaconJournalPublgCo.v.Bond,98OhioSt.3d146,2002Ohio7117.
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While such information is not a public record,724 it is presumed to be subject to public disclosure based on constitutional principles.725 The Court explained that the personal information of these private citizens is not public record because it does nothing to shed lightontheoperationsofthecourt.726However,thereisaconstitutionalpresumptionthatthis information will be publicly accessible in criminal proceedings.727 As a result, the jurors personalinformationwillbepubliclyaccessibleunlessthereisanoverridinginterestbasedon findingsthatclosureisessentialtopreservehighervaluesandisnarrowlytailoredtoservethat interest.728 Nevertheless, the Ohio Supreme Court also concluded, in a unanimous decision, that Social Security Numbers contained in criminal case files are appropriately redacted before public disclosure.729AccordingtotheCourt,permittingthecourtclerktoredactSSNsbeforedisclosing courtrecordsdoesnotcontravenethepurposeofthePublicRecordsAct,whichistoexpose governmentactivitytopublicscrutiny.RevealingindividualsSocialSecurityNumbersthatare containedincriminalrecordsdoesnotshedlightonanygovernmentactivity.730
E.
HIPAA&HITECH
Regulations implementing the Health Insurance Portability and Accountability Act of 1996 (HIPAA) became fully effective in April 2003. Among the regulations written to implement HIPAA was the Privacy Rule, which is a collection of federal regulations seeking to maintain the confidentiality of individuallyidentifiablehealthinformation.731Forsomepublicoffices,thePrivacyRuleandHITECH732 affectthemannerinwhichtheyrespondtopublicrecordsrequests.RecentamendmentstoHIPAAand HITECHarereflectedintheFederalRegisterpublication,ModificationstotheHIPAAPrivacy,Security, Enforcement,andBreachNotificationRules,78Fed.Reg.(Jan.25,2013)(tobecodifiedat45C.F.R.pts. 160and164).
1.
HIPAADefinitions
ThePrivacyRuleprotectsallindividuallyidentifiablehealthinformation,whichiscalledprotected healthinformationorPHI.733PHIisinformationthatcouldreasonablyleadtotheidentification of an individual, either by itself or in combination with other reasonably available information.734 TheHIPAAregulationsapplytothethreecoveredentities735listedbelow: Healthcare provider: Generally, a healthcare provider is any entity providing mental or health services that electronically transmits individually identifiable health information for anyfinancialoradministrativepurposesubjecttoHIPAA. Ahealthplan:Ahealthplanisanindividualorgroupplanthatprovidesorpaysthecost ofmedicalcare,suchasanHMO.
Stateexrel.BeaconJournalPublgCo.v.Bond,98OhioSt.3d146,2002Ohio7117,1syllabus(jurornames,addresses,andquestionnaire responsesarenotpublicrecordsbecausetheinformationdoesnotshedlightonthecourtsoperations). 725 Stateexrel.BeaconJournalPublgCo.v.Bond,98OhioSt.3d146,2002Ohio7117,2syllabus(theFirstAmendmentqualifiedrightof accessextendstojurornames,addresses,andquestionnaireresponses). 726 Stateexrel.BeaconJournalPublgCo.v.Bond,98OhioSt.3d146,2002Ohio7117citingStateexrel.McClearyv.Roberts,88OhioSt.3d 365,2000Ohio345;seealsoStateexrel.MontgomeryCountyPub.Defenderv.Siroki,108OhioSt.3d207,2006Ohio662,18(SSNsincourt recordsdonotshedlightonanygovernmentalactivity). 727 Stateexrel.BeaconJournalPublgCo.v.Bond,98OhioSt.3d146,2002Ohio7117. 728 Stateexrel.Beacon JournalPublgCo.v.Bond, 98OhioSt.3d146, 2002Ohio7117, 2 syllabusquotingPressEnterpriseCo.v.Superior Court(1984),464U.S.501,510(internalcitationsomitted);seealso2004OhioOp.AttyGen.No.045(restrictingpublicaccesstoinformation inacriminalcasefilemaybeaccomplishedonlywhereconcealmentisessentialtopreservehighervaluesandisnarrowlytailoredtoservean overridinginterest). 729 Stateexrel.MontgomeryCountyPub.Defenderv.Siroki,108OhioSt.3d207,2006Ohio662. 730 Stateexrel.MontgomeryCountyPub.Defenderv.Siroki,108OhioSt.3d207,2006Ohio662. 731 45C.F.R.160etseq.;45C.F.R.164etseq. 732 HealthInformationTechnologyEconomicClinicalHealthAct,PublicLawNo.1115,DivisionA,TitleXIII,SubtitleD(2009). 733 45C.F.R.160.103. 734 45C.F.R.160.103. 735 45C.F.R.160.103.
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Healthcareclearinghouse:Ahealthcareclearinghouseisanyentitythatprocesseshealth informationfromoneformatintoanotherforparticularpurposes,suchasabillingservice. Legal counsel should be consulted if there is uncertainty about whether or not a particular public officeisacoveredentityorbusinessassociateofacoveredentityforpurposesofHIPAA.
2.
HIPAA Does Not Apply Where Ohio Public Records Act Requires Release
The Privacy Rule permits a covered entity to use and disclose protected health information as requiredbyotherlaw,includingstatelaw.736Thus,wherestatepublicrecordslawmandatesthata coveredentitydiscloseprotectedhealthinformation,thecoveredentityispermittedbythePrivacy Rule to make the disclosure, provided the disclosure complies with and is limited to the relevant requirementsofthepublicrecordslaw.737Forthispurpose,notethattheOhioPublicRecordsAct onlymandatesdisclosurewhennootherexceptionapplies. So,wherethepublicrecordslawonlypermits,anddoesnotmandate,thedisclosureofprotected healthinformationwhereexceptionsorotherqualificationsapplytoexempttheprotectedhealth informationfromthestateslawdisclosurerequirementthensuchdisclosuresarenotrequired bylawandwouldnotfallwithinthePrivacyRule.Forexample,ifstatepublicrecordslawincludes anexceptionthatgivesastateagencydiscretionnottodisclosemedical738orotherinformation,the disclosureofsuchrecordsisnotrequiredbythepublicrecordslaw,andthereforethePrivacyRule would cover those records.739 In such cases, a covered entity only would be able to make the disclosure if permitted by another provision of the Privacy Rule. The Supreme Court of Ohio has held that HIPPA did not supersede state disclosure requirements, even if requested records contained protected health information. Specifically, the Court found that [a] review of HIPAA reveals a required by law exception to the prohibition against disclosure of protected health information. With respect to this position, Section 164.512(a)(1), Title 45 C.F.R., provides, A covered entity may * * * disclose protected health information to the extent that such * * * disclosure is required by law * * *. (Emphasis added). However, the Ohio Public Records Act requires disclosure of records unless the disclosure or release is prohibited by federal law. R.C. 149.43(A)(1)(v).740 While the Court found the interaction of the federal and state law somewhat circular,theCourtresolveditinfavorofdisclosureundertheOhioPublicRecordsAct.741
AdditionalResources:
TheHITECHActof2009,effectiveonFebruary17,2010,materiallyaffectstheprivacyandsecurity of PHI. A number of resources are available on the Internet about HITECH legislation. See www.hhs.gov/ocr/privacy/hipaa/administrative/enforcementrule/hitechenforcementifr.html, www.hipaasurvivalguide.com,andModificationstotheHIPAAPrivacy,Security,Enforcement,and BreachNotificationRules,78Fed.Reg.(Jan.25,2013)(tobecodifiedat45C.F.R.pts.160and164).
F.
OhioPersonalInformationSystemsAct742
OhiosPersonalInformationSystemsAct(PISA)appliestothoseitemstowhichtheOhioPublicRecords Act does not apply; that is, records that have been determined to be nonpublic, and items and informationthatarenotrecordsasdefinedbytheOhioPublicRecordsAct.743TheGeneralAssembly
736 737 738
45C.F.R.164.512(a). 65C.F.R.82485;seehttp://www.hhs.gov/hipaafaq/permitted/require/506.html. E.g.R.C.149.43(A)(1)(a)(providingforanexceptionforstatemedicalrecords). 739 45C.F.R.164.512(a). 740 Stateexrel.CincinnatiEnquirerv.Daniels,108OhioSt.3d518,2006Ohio1215,25. 741 Stateexrel.CincinnatiEnquirerv.Daniels,108OhioSt.3d518,2006Ohio1215,26,34. 742 R.C.Chapter1347. 743 R.C.149.011(G).
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has made clear that PISA is not designed to deprive the public of otherwise public information by incorporatingthefollowingprovisionswithrespecttotheOhioPublicRecordsandOpenMeetingsActs: Theprovisionsofthischaptershallnotbeconstruedtoprohibitthereleaseofpublicrecords, or the disclosure of personal information in public records, as defined in [the Ohio Public Records Act], or to authorize a public body to hold an executive session for the discussion of personal information if the executive session is not authorized under division (G) of [the Ohio OpenMeetingsAct].744 Thedisclosuretomembersofthegeneralpublicofpersonalinformationcontainedinapublic record, as defined in section 149.43 of the Revised Code, is not an improper use of personal informationunderthischapter.745 As used in the Personal Information Systems Act, confidential personal information means personal information that is not a public record for purposes of [the Ohio Public Records Act].746 Thefollowingdefinitionsapplytothenonrecordsandnonpublicrecordsthatarecoveredby PISA: Personalinformationmeansanyinformationthat: Describesanythingaboutaperson;or Indicatesactionsdonebyortoaperson;or Indicatesthatapersonpossessescertainpersonalcharacteristics;and Contains,andcanberetrievedfromasystemby,aname,identifyingnumber,symbol, orotheridentifierassignedtoaperson.747
Confidentialpersonalinformationmeanspersonalinformationthatisnotapublicrecordfor purposesofsection149.43oftheRevisedCode.748 Apersonalinformationsystemis: Any collection or group of related records that are kept in an organized manner and maintainedbyastateorlocalagency;and
From which personal information is retrieved by the name of the person or by some identifyingnumber,symbol,orotheridentifierassignedtotheperson;including Recordsthatarestoredmanuallyandelectronically.749
ThefollowingarenotsystemsforpurposesofPISA: Collectedarchivalrecordsinthecustodyoforadministeredundertheauthorityofthe OhioHistoricalSociety; Publisheddirectories,referencematerialsornewsletter;or Routineinformationthatismaintainedforthepurposeofinternalofficeadministration, theuseofwhichwouldnotadverselyaffectaperson.750
744
R.C.1347.04(B). R.C.1347.04(B). R.C.1347.15(A)(1). 747 R.C.1347.01(E). 748 R.C.1347.15(A)(1). 749 R.C.1347.01(F).
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PISA generally requires accurate maintenance and prompt deletion of unnecessary personal information from personal information systems maintained by public offices, and protects personalinformationfromunauthorizeddissemination.751Basedonprovisionsaddedtothelaw in 2009, state agencies752 must adopt rules under Chapter 119 of the Revised Code regulating access to confidential personal information the agency keeps, whether electronically or on paper.753 No person shall knowingly access confidential personal information in violation of theserules,754andnopersonshallknowinglyuseordiscloseconfidentialpersonalinformation inamanner prohibitedbylaw.755Astateagency may notemploypersonswhohaveviolated access,use,ordisclosurelawsregardingconfidentialpersonalinformation.756Ingeneral,state andlocalagenciesmust[t]akereasonableprecautionstoprotectpersonalinformationinthe systemfromunauthorizedmodification,destruction,use,ordisclosure.757
SanctionsforViolationsofPISA
TheenforcementprovisionsofPISAcanincludeinjunctiverelief,civildamages,and/orcriminal penalties,dependingonthenatureoftheviolation(s).758 Note:BecausePISAconcernsthetreatmentofnonrecordsandnonpublicrecords,itisnotset outingreatdetailinthisSunshineLawManual.Publicofficescanfindmoredetailedguidance onimplementingtheprovisionofPISAconcerninglimitationsonaccesstoconfidentialpersonal information at http://privacy.ohio.gov/government.aspx, under the heading ORC 1347.15 Guidance.Publicofficesshouldalsoconsultwiththeirlegalcounsel.
750 751 752
R.C.1347.01(F). R.C.1347.01etseq. R.C.1347.15(A)(2);2010OhioOp.AttyGen.No.016(OhioBd.ofTaxAppealsisajudicialagencyforpurposesofR.C.1347.15). 753 R.C.1347.15(B). 754 R.C.1347.15(H)(1). 755 R.C.1347.15(H)(2). 756 R.C.1347.15(H)(3). 757 R.C.1347.15(G 758 R.C.1347.10,1347.15,and13.47.99.
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TheOhioOpenMeetingsAct
OverviewoftheOhioOpenMeetingsAct
The Open Meetings Act requires public bodies in Ohio to take official action and conduct all deliberations upon official business only in open meetings where the public may attend and observe. Publicbodiesmustprovideadvancenoticetothepublicindicatingwhenandwhereeachmeetingwill takeplaceand,inthecaseofspecialmeetings,thespecifictopicsthatthepublicbodywilldiscuss.The publicbodymusttakefullandaccurateminutesofallmeetingsandmaketheseminutesavailabletothe public,exceptinthecaseofpermissibleexecutivesessions. Executive sessions are closeddoor sessions convened by a public body, after a roll call vote, and attendedbyonlythemembersofthepublicbodyandpersonstheyinvite.Apublicbodymayholdan executive session only for a few specific purposes, detailed below in Chapter III. Further, no vote or otherdecisionmakingonthematter(s)discussedmaytakeplaceduringtheexecutivesession. IfanypersonbelievesthatapublicbodyhasviolatedtheOpenMeetingsAct,thatpersonmayfilean injunctiveactioninthecommonpleascourttocompelthepublicbodytoobeytheAct.Ifaninjunction isissued,thepublicbody must correctitsactionsandpay courtcosts,afineof$500,andreasonable attorneyfeessubjecttopossiblereductionbythecourt.Ifthecourtdoesnotissueaninjunction,and the court finds the lawsuit was frivolous, it may order the person who filedthe suit to pay the public bodyscourtcostsandreasonableattorneyfees.Anyactiontakenbyapublicbodywhilethatbodyisin violation of the Open Meetings Act is invalid. A member of a public body who violates an injunction imposedforaviolationoftheOpenMeetingsActmaybesubjecttoremovalfromoffice. LikethePublicRecordsAct,theOpenMeetingsActisintendedtobereadbroadlyinfavorofopenness. However, while they share an underlying intent, the terms and definitions in the two laws are not interchangeable:thePublicRecordsActappliestotherecordsofpublicoffices;theOpenMeetingsAct addressesmeetingsofpublicbodies.759 ANoteaboutCaseLaw WhentheOhioSupremeCourtissuesadecisioninterpretingastatute,thatdecisionmustbefollowed byalllower Ohiocourts. Ohio SupremeCourtdecisionsinvolving thePublic RecordsActare plentiful because a person may file a public records petition at any level of the judicial system, and often will choosetofileintheCourtofAppeals,ordirectlywiththeOhioSupremeCourt.Bycontrast,acomplaint to enforce the Ohio Open Meetings Act must be filed in a county court of common pleas. While the losing party often appeals a courts decision, common pleas appeals are not guaranteed to reach the OhioSupremeCourt,andrarelydo.Consequently,thebulkofcaselawontheOhioOpenMeetingsAct comesfromcourtsofappeals,whoseopinionsarebindingonlyonlowercourtswithintheirdistrict,but maybecitedforthepersuasivevalueoftheirreasoningincasesfiledinotherdistricts.
[TheOhioSupremeCourthas]neverexpresslyheldthatonceanentityqualifiesasapublicbodyforpurposesofR.C.121.22,itisalsoa publicofficeforpurposesofR.C.149.011(A)and149.43soastomakeallofitsnonexemptrecordssubjecttodisclosure.Infact,R.C.121.22 suggests otherwise because it contains separate definitions for public body, R.C. 121.22(B)(1), and public office, R.C. 121.22(B)(4), which providesthat[p]ublicofficehasthesamemeaningasinsection149.011oftheRevisedCode.HadtheGeneralAssemblyintendedthata public body for the purposes of R.C. 121.22 be considered a public office for purposes of R.C. 149.911(A) and 149.43, it would have so provided.Stateexrel.ACLUofOhiov.CuyahogaCountyBd.ofCommrs,128OhioSt.3d256,2011Ohio625,38.
759
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ChapterOne:PublicBodyandMeetingDefined
I. ChapterOne:PublicBodyandMeetingDefined
OnlyapublicbodyisrequiredtocomplywiththeOpenMeetingsActandconductitsbusinessinopen meetings.TheOpenMeetingsActdefinesameetingasanyprearrangedgatheringofapublicbody byamajorityofitsmemberstodiscusspublicbusiness.760
A.
PublicBody 1. StatutoryDefinitionR.C.121.22(B)(1)
TheOpenMeetingsActdefinesapublicbodyas: a. Any board, commission, committee, council, or similar decisionmaking body of a state agency, institution, or authority, and any legislative authority or board, commission,committee,council,agency,authority,orsimilardecisionmakingbody of any county, township, municipal corporation, school district, or other political subdivisionorlocalpublicinstitution;761 b. Anycommitteeorsubcommitteethereof;762or c. A court763 of jurisdiction of a sanitary district organized wholly for the purpose of providingawatersupplyfordomestic,municipal,andpublicusewhenmeetingfor the purpose of the appointment, removal, or reappointment of a member of the boardofdirectorsofsuchadistrictorforanyothermatterrelatedtosuchadistrict otherthanlitigationinvolvingthedistrict.764
2.
IdentifyingPublicBodies
Thetermpublicbodyappliestomanydifferentdecisionmakingbodiesatthestateandlocallevel. Where it is unclear, Ohio courts have applied several factors in determining what constitutes a publicbodyforpurposesoftheOhioOpenMeetingsAct,including: a. Themannerinwhichtheentitywascreated;765 b. Thenameorofficialtitleoftheentity;766 c. Themembershipcompositionoftheentity;767
R.C.121.22(B)(2). R.C.121.22(B)(1)(a). R.C.121.22(B)(1)(b);Stateexrel.LongvCouncilofCardington,92OhioSt.3d54,5859,2001Ohio130(providingthatR.C.121.22(B)(1)(b) includes any committee or subcommittee of a legislative authority of a political subdivision, e.g., a village council, as a public body for purposesoftheSunshineLaw,sothatthecouncilspersonnelandfinancecommitteesconstitutepublicbodiesinthatcontext.). 763 Withtheexceptionofsanitarycourts,thedefinitionofpublicbodydoesnotincludecourts.SeeWalkerv.MuskingumWatershed ConservancyDist.,2008Ohio4060,27(5thDist.). 764 R.C.121.22(B)(1)(c).NOTE:R.C.121.22(G)prohibitsexecutivesessionsforpublicbodiesdefinedinR.C.121.22(B)(1)(c). 765 Beacon Journal Publg Co. v. Akron, 3 Ohio St.2d 191 (1965) (boards and commissions created by law (e.g., ordinance or statute) are controlled by the provisions of that enactment in the conduct of their meetings; however, those created by executive order of individual officialsarenot);WheelingCorp.v.Columbus&OhioRiverR.R.Co.,147OhioApp.3d460,472,2001Ohio8751(10thDist.)(notingthatthefact thattheSelectionCommitteewasestablishedbythe committeewithoutformalactionis immaterialandthattheOpenMeetingsActisnot intended to allow a public body to informally establish committees that are not subject to the law). Compare State ex rel. ACLU of Ohio v. CuyahogaCountyBd.ofCommrs,128OhioSt.3d256,2011Ohio625(groupsformedbyprivateentitiestoprovidecommunityinput,towhich nogovernmentdutiesorauthorityhavebeendelegated,werefoundnottobepublicbodies). 766 Wheeling Corp.v.Columbus&OhioRiverR.R.Co., 147OhioApp.3d 460, 472, 2001Ohio8751 (10thDist.)(determiningthataSelection Committeewasapublicbodyandnotingthatitwasrelevantthattheentitywascalledacommittee,atermincludedinthedefinitionofa publicbodyinR.C.121.22);Stegallv.JointTwp.Dist.MemlHosp.,20OhioApp.3d100,103(3dDist.1985)(consideringitpertinentwhether anentityisoneofthoselistedinR.C.121.22(B)(1)). 767 WheelingCorp.v.Columbus&OhioRiverR.R.Co.,147OhioApp.3d460,472,2001Ohio8751(10thDist.)(findingitrelevantthatamajority oftheSelectionCommitteesmemberswerecommissionersofthecommissionitself).
761 762
760
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d. Whethertheentityengagesindecisionmaking;768and e. Whomtheentityadvisesortowhomitreports.769
3.
Closeup:ApplyingtheDefinitionofPublicBody
Usingtheabovefactors,thefollowingtypesofentitieshavebeenfoundbysomecourtsofappeals tobepublicbodies: a. A selection committee established on a temporary basis by a state agency for the purpose of evaluating responses to a request for proposals and making a recommendationtoacommission.770 b. Anurbandesignreviewboardthatprovidedadviceandrecommendationstoacity managerandcitycouncilaboutlanddevelopment.771 c. Aboardofhospitalgovernorsofajointtownshipdistricthospital.772 d. Acitizensadvisorycommitteeofacountychildrenservicesboard.773 e. Aboardofdirectorsofacountyagriculturalsociety.774 Courts have found that the Open Meetings Act does not apply to individual public officials (as opposedtopublicbodies) ortomeetingsheldbyindividualofficials.775Moreover,ifanindividual publicofficialcreatesagroupsolelypursuanttohisorherexecutiveauthorityorasadelegationof thatauthority,theOpenMeetingsActprobablydoesnotapplytothegroupsgatherings.776 768
Thomasv.White,85OhioApp.3d410,412(9thDist.1992)(determiningthattaskssuchasmakingrecommendationsandadvisinginvolve decisionmaking); Cincinnati Enquirer v. Cincinnati, 145 Ohio App.3d 335, 339 (1st Dist. 2001) (determining whether an urban design review board, a group of architectural consultants for the city, had ultimate authority to decide matters was not controlling; as the board actually madedecisionsintheprocessofformulatingitsadvice);WheelingCorp.v.Columbus&OhioRiverR.R.Co.,147OhioApp.3d460,472,2001 Ohio8751 (10th Dist.) (determining that, in its role of reviewing and evaluating proposals and making a recommendation to the Ohio Rail DevelopmentCommission,theSelectionCommitteemadedecisions). 769 CincinnatiEnquirerv.Cincinnati,145OhioApp.3d335,339(1stDist.2001)(findingthatanurbandesignreviewboardadvisednotonlythe citymanager,butalsothecitycouncil,apublicbody). 770 WheelingCorp.v.Columbus&OhioRiverR.R.Co.,147OhioApp.3d460,472,2001Ohio8751(10thDist.)(findingitrelevantthatthegroup wascalledacommittee,atermincludedinthedefinitionofapublicbodyinR.C.121.22,andthatamajorityoftheSelectionCommittees memberswerecommissionersofthecommissionitself;initsroleofreviewingandevaluatingproposalsandmakingarecommendationtothe Ohio Rail Development Commission (a public body), the Selection Committee made decisions; the fact that the Selection Committee was establishedbythecommitteewithoutformalactionisimmaterial). 771 Cincinnati Enquirer v. Cincinnati, 145 Ohio App.3d 335, 339 (1st Dist. 2001) (determining that whether an urban design review board, a group of architectural consultants for the city, had ultimate authority to decide matters was not controlling, as the board actually made decisionsintheprocessofformulatingitsadvice;theboardadvisednotonlythecitymanager,butalsothecitycouncil,apublicbody). 772 Stegallv.JointTwp.Dist.Mem.Hosp.,20OhioApp.3d100,102103(3dDist.1985)(findingthattheBoardofGovernorsofajointtownship hospital fell within the definition of public body because definition includes boards; further, the board made decisions essential to the constructionandequippingofageneralhospitalandtheboardwasofatownshiporofalocalpublicinstitutionbecauseitexistedbyvirtue ofauthoritygrantedbythelegislatureforthecreationofjointtownshiphospitalfacilities). 773 Thomas v. White, 85 Ohio App.3d 410, 412 (9th Dist. 1992) (the committee was a public body because the subject matter of the committeesoperationsisthepublicbusiness,andeachofitsdutiesinvolvesdecisionsastowhatwillbedone;moreover,thecommitteeby lawelectsachairmanwhoservesasanexofficiovotingmemberofthechildrenservicesboard,whichinvolvesdecisionmaking). 774 1992OhioOp.AttyGen.No.078(opiningthattheboardofdirectorsofacountyagriculturalsocietyisapublicbodysubjecttotheopen meetingsrequirementsofR.C.121.22);seealsoGreeneCountyAgric.Socyv.Liming,89OhioSt.3d551,2000Ohio486,atsyllabus(deeminga countyagriculturalsocietytobeapoliticalsubdivisionpursuanttoR.C.2744.01(F)). 775 Smithv.CityofCleveland,94OhioApp.3d780,784785(8thDist.1994)(findingthatacitysafetydirectorisnotapublicbody,andmay conductdisciplinaryhearingswithoutcomplyingwiththeOpenMeetingsAct). 776 BeaconJournalPublgCo.v.Akron,3OhioSt.2d191(1965)(findingthatboards,commissions,committees,etc.,createdbyexecutiveorder ofthemayorandchiefadministratorwithouttheadviceandconsentofcitycouncilwerenotsubjecttotheOpenMeetingsAct);eFundsv.Ohio Dept.ofJob&FamilyServ.,FranklinC.P.No.05CVH0910276(Mar.6,2006)(findingthatanevaluationcommitteeofgovernmentemployees under the authority of a state agency administrator is not a public body); 1994 Ohio Op. Atty Gen. No. 096 (when a committee of private citizens and various public officers or employees is established solely pursuant to the executive authority of the administrator of a general health district for the purpose of providing advice pertaining to the administration of a grant, and establishment of the committee is not requiredorauthorizedbythegrantorboardaction,suchacommitteeisnotapublicbodyforpurposesofR.C.121.22(B)(1)andisnotsubject totherequirementsoftheopenmeetingslaw).
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However, at least one court has determined that a selection committee whose members were appointed by the chair of a public body, not by formal action of the body, is nevertheless itself a publicbodyandsubjecttotheOpenMeetingsAct.777
4.
WhentheOpenMeetingsActAppliestoPrivateBodies
SomeotherwiseprivatebodiesareconsideredpublicbodiesforpurposesoftheOpenMeetings Actwhentheyareorganizedpursuanttostatestatuteandarestatutorilyauthorizedtoreceiveand expend government funds for a governmental purpose.778 For example, an Equal Opportunity PlanningAssociationwasfoundtobeapublicbodywithinthemeaningoftheActbasedon(1)its designationbytheOhioDepartmentofDevelopmentasacommunityactionorganizationpursuant tostatute;779(2)itsresponsibilityforspendingsubstantialsumsofpublicfundsintheoperationof programs for the state welfare; and (3) its obligation to comply with state statutory provisions in ordertokeepitsstatusasacommunityactionorganization.780
B.
EntitiestoWhichtheOpenMeetingsActDoesNotApply 1. Public Bodies / Officials that are NEVER Subject to the Open MeetingsAct:781
TheOhioGeneralAssembly;782 Grandjuries;783 An audit conference conducted by the State Auditor or independent certified public accountants with officials of the public office that is the subject of the audit;784 TheOrganizedCrimeInvestigationsCommission;785 Childfatalityreviewboards;786 The board of directors of JobsOhio Corp., or any committee thereof, and the board of directors of any subsidiary of JobsOhio Corp., or any committee thereof;787and AnauditconferenceconductedbytheauditstaffoftheDepartmentofJoband FamilyServiceswithofficialsofthepublicofficethatisthesubjectofthataudit underR.C5101.37.788
WheelingCorp.v.Columbus&OhioRiverR.R.Co.,147OhioApp.3d460,472,2001Ohio8741(10thDist.)(notingthattheChairmanofthe RailCommissionappointedmemberstotheSelectionCommittee). 778 Stateexrel.ToledoBladeCo.v.Econ.OpportunityPlanningAssn,61OhioMisc.2d63(C.P.Lucas1990);seealsoStegallv.JointTwp.Dist. MemlHosp.,20OhioApp.3d100(3dDist.1985). 779 R.C.122.69. 780 State ex rel. Toledo Blade Co. v. Econ. Opportunity Planning Assn, 61 Ohio Misc.2d 631, 640641 (C.P. Lucas 1990) (finding that the associationisapublicbodysubjecttotheOhioOpenMeetingsAct:Thelanguageofthestatuteanditsroleintheorganizationofpublicaffairs inOhiomakeclearthatthislanguageistobegivenabroadinterpretationtoensurethattheofficialbusinessofthestateisconductedopenly, and Consistent with that critical objective, a governmental decisionmaking body cannot assign its decisions to a nominally private body in ordertoshieldthosedecisionsfrompublicscrutiny.). 781 R.C.121.22(D). 782 While the General Assembly as a whole is not governed by the Open Meetings Act, legislative committees are required to follow the guidelines set forth in the General Assemblys own open meetings law (R.C. 101.15), which requires committee meetings to be open to the publicandthatminutesofthosemeetingsbemadeavailableforpublicinspection.LiketheOpenMeetingsAct,thelegislaturesopenmeetings law includes some exceptions. For example, the law does not apply to meetings of the Joint Legislative Ethics Committee other than those meetingsspecifiedinthelaw(R.C.101.15(F)(1)),ortomeetingsofapoliticalpartycaucus(R.C.101.15(F)(2)). 783 R.C.121.22(D)(1). 784 R.C.121.22(D)(2). 785 R.C.121.22(D)(4). 786 R.C.121.22(D)(5). 787 R.C.121.22(D)(11). 788 R.C.121.22(D)(12).
777
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2. a.
PublicBodiesthatareSOMETIMESSubjecttotheOpenMeetings Act: PublicBodiesMeetingforParticularPurposes
Some otherwise public bodies are not subject to the Open Meetings Act when they meet for particularpurposes.Thoseare: The Adult Parole Authority, when its hearings are conducted at a correctional institution for the sole purpose of interviewing inmates to determine pardon or parole;789 The State Medical Board,790 the State Board of Nursing,791 the State Board of Pharmacy,792 and the State Chiropractic Board,793 when determining whether to suspendacertificatewithoutapriorhearing;794and The Emergency Response Commissions executive committee, when meeting to determine whether to issue an enforcement order or to decide whether to litigate.795
b.
PublicBodiesHandlingParticularBusiness
The following public bodies, when meeting to consider whether to grant assistance for purposes of community or economic development, may close their meetings by unanimous vote of the members present in order to protect the interest of the applicant or the possible investmentofpublicfunds:796 TheControllingBoard; TheDevelopmentFinancingAdvisoryCouncil; TheIndustrialTechnologyandEnterpriseAdvisoryCouncil; TheTaxCreditAuthority;and TheMinorityDevelopmentFinancingAdvisoryBoard.
The meetings of these bodies may only be closed during consideration of the following informationreceived...fromtheapplicant: Marketingplans; Specificbusinessstrategy; Productiontechniquesandtradesecrets; Financialprojections;and Personal financial statements of the applicant or family, including, but not limited to,taxrecordsorothersimilarinformationnotopentopublicinspection.797
789
R.C.121.22(D)(3). R.C.4730.25(G);R.C.4731.22(G). R.C.4723.281(B). 792 R.C.4729.16(D). 793 R.C.4734.37. 794 R.C.121.22(D)(6)(9). 795 R.C.121.22(D)(10). 796 R.C.121.22(E). 797 R.C.121.22(E)(1)(5).
790 791
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Theboardofdirectorsofacommunityimprovementcorporation,whenactingasanagentofa political subdivision, may close a meeting by majority vote of members present during considerationofspecified,nonpublicrecordinformationsetoutinR.C.1724.11(A).798
C.
Meeting 1. Definition
The Open Meetings Act applies to members of a public body when they are taking official action, conducting deliberations, or discussing the publics business, which they must do in an open meeting,unlessthesubjectmatterisspecificallyexceptedbylaw.799TheActdefinesameetingas: (1)aprearrangedgatheringof(2)amajorityofthemembersofapublicbody(3)forthepurposeof discussingpublicbusiness.800
a.
Prearranged
TheOpenMeetingsActaddressesprearrangeddiscussions,801butdoesnotprohibitimpromptu encounters between members of public bodies, such as hallway discussions. One court has foundthatanunsolicitedandunexpectedemailsentfromoneboardmembertootherboard members is clearly not a prearranged meeting; nor is a spontaneous oneonone telephone conversationbetweentwomembersofafivememberboard.802
b.
MajorityofMembers
For there to be a meeting as defined under the Open Meetings Act, a majority of a public bodys members must come together.803 The term majority applies not only to the entire body,butalsotoanycommitteeorsubcommitteeofthatbody.804Forinstance,ifacouncilis comprised of seven members, four would constitute a majority in determining whether the council as a whole is a meeting. However, if the council appoints a threemember finance committee,twoofthosememberswouldconstituteamajorityofthefinancecommittee.
1)
AttendinginPerson
A member of a public body must be present in person at a meeting in order to be considered present, vote, or be counted as part of a quorum,805 unless a specific law permitsotherwise.806Intheabsenceofstatutoryauthority,publicbodiesmaynotmeet viaelectronicortelephonicconferencing.807
R.C.1724.11(B)(1)(Theboard,committee,orsubcommitteeshallconsidernootherinformationduringtheclosedsession). R.C.121.22(A),(C). R.C.121.22(B)(2). 801 Stateexrel.CincinnatiPostv.CityofCincinnati,76OhioSt.3d540,1996Ohio372(holdingthatthebacktoback,prearrangeddiscussions of city council members constitutes a majority, but clarifying that the statute does not prohibit impromptu meetings between council membersorprearrangedmembertomemberdiscussion,butconcernsitselfonlywithsituationswhereamajoritymeets). 802 Haverkosv.Nw.LocalSch.Dist.Bd.ofEduc.,2005Ohio3489,7(1stDist.). 803 Bernerv.Woods,2007Ohio6207,17(9thDist.);Tylerv.Vill.ofBatavia,2010Ohio4078,18(12thDist.)(Nomeetingoccurredwhen onlytwooffiveCommissionmembersattendedapreviouslyscheduledsession). 804 Stateexrel.Longv.CouncilofCardington,92OhioSt.3d54,5859,2001Ohio130. 805 R.C.121.22(C). 806 Forexample,theGeneralAssemblyhasspecificallyauthorizedtheOhioBoardofRegentstomeetviavideoconferencing.R.C.333.02.R.C. 3316.05(K)alsopermitsmembersofaschooldistrictFinancialPlanningandSupervisionCommissiontoattendameetingbyteleconferenceif provisionsaremadeforpublicattendanceatanylocationinvolvedinsuchteleconference. 807 SeeHaverkosv.Nw.LocalSch.Dist.Bd.ofEduc.,2005Ohio3489,9(1stDist.)(Thecourtnotedthatduringa2002revisionoftheopen meetingslaw,thelegislaturedidnotamendthestatutetoincludeelectroniccommunicationinthedefinitionofameeting.Accordingto thecourt,thisomissionindicatesthelegislaturesintentnottoincludeemailexchangesaspotentialmeetings.).
799 800
798
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2) RoundrobinorSerialMeetings
Unless two members constitutes a majority, isolated oneonone conversations betweenindividualmembersofapublicbodyregardingitsbusiness,eitherinpersonor by telephone, do not violate the Ohio Open Meetings Act.808 However, a public body maynotcircumventtherequirementsoftheActbysettingupbacktobackmeetings oflessthanamajorityofitsmembers,withthesametopicsofpublicbusinessdiscussed ateach.Suchconversationsmaybeconsideredmultiplepartsofthesame,improperly private,meeting.809
c.
DiscussingPublicBusiness
State ex rel. Cincinnati Post v. City of Cincinnati, 76 Ohio St.3d 540, 544, 1996Ohio372 ([The statute] does not prohibit memberto memberprearrangeddiscussions.);Haverkosv.Nw.LocalSch.Dist.Bd.ofEduc.,2005Ohio2489,9(1stDist.)(findingthataspontaneous telephonecallfromoneboardmembertoanothertodiscusselectionpolitics,notschoolboardbusiness,didnotviolatetheOpenMeetings Act);Masterv.CityofCanton,62OhioApp.2d174,178(5thDist.1978)(agreeingthatthelegislaturedidnotintendtoprohibitonecommittee memberfromcallinganothertodiscusspublicbusiness). 809 SeegenerallyStateexrel.CincinnatiPostv.CityofCincinnati,76OhioSt.3d540,542544,1996Ohio372(theverypurposeoftheOpen MeetingsActistopreventsuchagameofmusicalchairsinwhichelectedofficialscontrivetomeetsecretlytodeliberateonpublicissues withoutaccountabilitytothepublic);Stateexrel.ConsumerNewsServs.v.WorthingtonCityBd.ofEduc.,97OhioSt.3d58,2002Ohio5311, 1617,43(premeetingdecisionofschoolboardpresidentandsuperintendenttonarrowfieldofapplicantswasprohibitedandinvalid),citing toFloydv.RockHillLocalSchoolBd.ofEduc.,4thDist.No.1862(Feb.10,1988)**4,1316(schoolboardpresidentimproperlydiscussedand deliberateddismissalofprincipalwithotherboardmembersinmultipleoneonone conversations,andcametonextmeetingwithletterof nonrenewalreadyforsuperintendenttodelivertoprincipal,whichtheboardthen,withoutdiscussion,votedtoapprove). 810 R.C.121.22(A);R.C.121.22(B)(2). 811 Deverev.MiamiUniv.Bd.ofTrs.,12thDist.No.CA8505065(June10,1986). 812 SpringfieldLocalSch.Dist.Bd.ofEduc.v.OhioAssnofPub.Sch.Employees,106OhioApp.3d855,864(9thDist.1998). 813 Theilev.Harris,No.C860103(1stDist.1986). 814 Piekutowskiv.SouthCent.OhioEduc.Serv.Ctr.GoverningBd.,161OhioApp.3d372,379,2005Ohio2868(4thDist.). 815 Holeskiv.Lawrence,85OhioApp.3d824(11thDist.1993). 816 Holeskiv.Lawrence,85OhioApp.3d824,829(11thDist.1993)(wherethemajorityofmembersofapublicbodymeetataprearranged gathering in a ministerial, factgathering capacity, the third characteristic of a meeting is not satisfied i.e., there are no discussions or deliberationsoccurringinwhichcase,noopenmeetingisrequired);Theilev.Harris,No.C860103(1stDist.1986)(aprearrangeddiscussion betweenprosecutorandmajorityofboardwasnotviolationwhereconductedforinvestigativeandinformationseekingpurposes);Piekutowski v.S.Cent.OhioEduc.Serv.Ctr.GoverningBd.,161OhioApp.3d372,379,2005Ohio2868,1418(4thDist.)(itispermissibleforaboardto gatherinformationonproposedschooldistrictinprivate,butitcannotdeliberateprivatelyintheabsenceofspecificallyauthorizedpurposes).
Withnarrowexceptions,theOhioOpenMeetingsActrequiresthemembersofapublicbodyto discuss and deliberate on official business only in open meetings.810 Discussion is the exchange of words, comments, or ideas by the members of a public body.811 Deliberation means the act of weighing and examining reasons for and against a choice.812 One court has describeddeliberation asathoroughdiscussion ofallfactorsinvolved,acarefulweighingof positiveandnegativefactors,andacautiousconsiderationoftheramificationsoftheproposal, while gradually arriving at a decision.813 Another court described the term as involving a decisionalanalysis,i.e.,anexchangeofviewsonthefactsinanattempttoreachadecision.814 In evaluating whether particular gatherings of public officials constituted meetings, several courts of appeals have opined that the Open Meetings Act is intended to apply to situations where there has been actual formal action taken; to wit, formal deliberation concerning the publicbusiness.815Underthisanalysis,thosecourtshavedeterminedthatgatheringsstrictlyof an investigative and informationseeking nature that do not involve actual discussion or deliberation of public business are not meetings for purposes of the Open Meetings Act.816 More importantly, the Ohio Supreme Court has not ruled as to whether investigative and informationalgatheringsareorarenotmeetings.Consequently,publicbodiesshouldseek guidancefromtheirlegalcounselabouthowsuchgatheringsareviewedbythecourtofappeals intheirdistrict,beforeconveningthiskindofprivategatheringasotherthanaregularorspecial meeting. Those courts that have distinguished between discussions or deliberations that must take place in public and other exchanges between a majority of its members at a prearranged gatheringhaveopinedthatthefollowingarenotmeetingssubjecttotheOpenMeetingsAct: 808
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Questionandanswer sessions between board members and others who were not publicofficials,unlessamajorityoftheboardmembersalsoentertainadiscussion ofpublicbusinesswithoneanother;817 Conversationsbetweenemployeesofapublicbody;818 Apresentationtoapublicbodybyitslegalcounselwhenthepublicbodyreceives legaladvice;819or Apressconference.820
2.
Closeup:ApplyingtheDefinitionofMeeting
Ifagatheringmeetsallthreeelementsofthisdefinition,acourtwillconsideritameetingforthe purposesoftheOpenMeetingsAct,regardlessofwhetherthepublicbodyinitiatedthegathering itself,orwhetheritwasinitiatedbyanotherentity.Further,ifmajoritiesofmultiplepublicbodies attend one large meeting, a court may construe the gathering of each public bodys majority of memberstobeseparatemeetingsofeachpublicbody.821
a.
WorkSessions
A meeting by any other name is still a meeting. Work retreats or workshops are meetingswhenapublicbodydiscussespublicbusinessamongamajorityofthemembersofa publicbodyataprearrangedtime.822Justaswithanyothermeeting,thepublicbodymustopen theseworksessionstothepublic,properlynotifythepublic,andmaintainmeetingminutes.823
b.
QuasijudicialProceedings
Public bodies whose responsibilities include adjudicative duties, such as boards of tax appeals and state professional licensing boards, are considered quasijudicial. The Ohio Supreme Court has determined that public bodies conducting quasijudicial hearings, like all judicial bodies, [require] privacy to deliberate, i.e., to evaluate and resolve the disputes.824 Quasi judicial proceedings and the deliberations of public bodies when acting in their quasijudicial capacities are not meetings, and are not subject to the Open Meetings Act.825 Accordingly, whenapublicbodyisactinginitsquasijudicialcapacity,thepublicbodydoesnothavetovote publiclytoadjournfordeliberationsortotakeactionfollowingthosedeliberations.826
CincinnatiEnquirerv.CincinnatiBd.ofEduc.,192OhioApp.3d566,2011Ohio703(1stDist.)(intheabsenceofdeliberationsordiscussions byboardmembersduringanonpublicinformationgatheringandinvestigativesessionwithlegalcounsel,thesessionwasnotameetingas definedbytheOpenMeetingsAct,andthuswasnotrequiredtobeheldinpublic);Holeskiv.Lawrence,85OhioApp.3d824,830(11thDist. 1993) (The Sunshine Law is instead intended to prohibit the majority of a board from meeting and discussing public business with one another.). 818 Kandellv.CityCouncilofKent,11thDist.No.90P2255(Aug.2,1991);Stateexrel.Bd.ofEduc.forFairfiewParkSch.Dist.v.Bd.ofEduc.for Rocky River Sch. Dist., 40 Ohio St.3d 136, 140 (1988) (determining that an employees discussions with a superintendent did not amount to secretdeliberationswithinthemeaningofR.C.121.22(H)). 819 CincinnatiEnquirerv.CincinnatiBd.ofEduc.,192OhioApp.3d566,2011Ohio703(1stDist.);Theilev.Harris,No.C860103(1stDist.1986). 820 Holeskiv.Lawrence,85OhioApp.3d824(11thDist.1993). 821 Stateexrel.FairfieldLeaderv.Ricketts,56OhioSt.3d97(1990). 822 Stateexrel.Singhv.Schoenfeld,Nos.92AP188,92AP193(10thDist.1993). 823 Stateexrel.FairfieldLeaderv.Ricketts,56OhioSt.3d97(1990). 824 TBCWestlakev.HamiltonCountyBd.ofRevision,81OhioSt.3d58,62,1998Ohio445. 825 TBCWestlakev.HamiltonCountyBd.ofRevision,81OhioSt.3d58,62,1998Ohio445([T]heSunshineLawdoesnotapplytoadjudications ofdisputesinquasijudicialproceedings,suchasthe[BoardofTaxAppeals].);Stateexrel.Rossv.CrawfordCountyBd.ofElections,125Ohio St.3d438,445,2010Ohio2167;SeealsoWalkerv.MuskingumWatershedConservancyDist.,2008Ohio4060(5thDist.);Angermanv.State Med.Bd.ofOhio,70OhioApp.3d346,352(10thDist.1990). 826 Stateexrel.Rossv.CrawfordCountyBd.ofElections,125OhioSt.3d438,445,2010Ohio2167(findingthatbecauseR.C.121.22didnot applytotheelectionsboardsquasijudicialproceeding,theboardneitherabuseditsdiscretionnorclearlydisregardedtheOpenMeetingsAct byfailingtopubliclyvoteonwhethertoadjournthepublichearingtodeliberateandbyfailingtopubliclyvoteonthemattersatissuefollowing deliberations).
817
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c. CountyPoliticalPartyCentralCommittees
The convening of a county political party central committee for the purpose of conducting purely internal party affairs, unrelated to the committees duties of making appointments to vacatedpublicoffices,isnotameetingasdefinedbyR.C.121.22(B)(2).Thus,R.C.121.22does notapplytosuchagathering.827
d.
CollectiveBargaining
Collective bargaining meetings between public employers and employee organizations are private,andarenotsubjecttotheOpenMeetingsAct.828
1980OhioOp.AttyGen.No.083. R.C.4117.21;seealsoSpringfieldLocalSch.Dist.Bd.ofEduc.v.OhioAssnofPub.Sch.Employees,106OhioApp.3d855,869(9thDist.1995) (R.C.4117.21manifestsalegislativeinterestinprotectingtheprivacyofthecollectivebargainingprocess);Backv.MadisonLocalSch.Dist.Bd. of Educ., 2007Ohio4218, 610 (12th Dist.) (school boards consideration of a proposed collective bargaining agreement with the school districts teachers was properly held in a closed session because the meeting was not an executive session but was a collective bargaining meeting,which,underRC.4117.21,wasexemptfromtheopenmeetingrequirementsofR.C.121.22).
828
827
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ChapterTwo:DutiesofaPublicBody
II. ChapterTwo:DutiesofaPublicBody
TheOpenMeetingsActrequirespublicbodiestoprovide:(A)openness;(B)notice;and(C)minutes.
A.
Openness
TheOpenMeetingsActdeclaresallmeetingsofapublicbodytobepublicmeetingsopentothepublic atalltimes.829TheGeneralAssemblymandatesthattheActbeliberallyconstruedtorequirethatpublic officialstakeofficialactionandconductalldeliberationsuponofficialbusinessonlyinopenmeetings unlessthesubjectmatterisspecificallyexceptedbylaw.830
1.
WhereMeetingsMaybeHeld
Apublicbodymustconductitsmeetingsinavenuethatisopentothepublic.831AlthoughtheOpen MeetingsActdoesnotspecificallyaddresswhereapublicbodymustholdmeetings,someauthority suggests that a public body must hold meetings in a public meeting place832 that is within the geographical jurisdiction of the public body.833 Clearly, a meeting is not open where the public bodyhaslockedthedoorstothemeetingfacility.834 Where space in the facility is too limited to accommodate all interested members of the public, closed circuit television may be an acceptable alternative.835 Federal law requires that a meeting placebeaccessibletoindividualswithdisabilities;836however,violationofthisrequirementhasno ramificationsundertheOpenMeetingsAct.
2.
MethodofVoting
Unless a particular statute requires a specified method of voting, the public cannot insist on a particular form of voting. The body may use its own discretion in determining the method it will use,suchasvoicevote,showofhands,orrollcall.837TheOpenMeetingsActonlydefinesamethod ofvotingwhenapublicbodyisadjourningintoexecutivesession(votemustbebyrollcall).838The Actdoesnotspecificallyaddresstheuseofsecretballots;however,theOhioAttorneyGeneralhas opined that a public body may not vote in an open meeting by secret ballot.839 Voting by secret ballot contradicts the openness requirement of the Open Meetings Act by hiding the decision makingprocessfrompublicview.
3.
RighttoHear,butNottobeHeardortoDisrupt
Openness requires that the public be permitted to attend and observe all meetings of any public body.840 A court found that members of a public body who whispered audibly and passed
R.C.121.22(C). R.C.121.22(A). R.C.121.22(C).Stateexrel.Randlesv.Hill,66OhioSt.3d32,35(1993)(lockingthedoorstothemeetinghall,whetherornotintentional,is notanexcuseforfailingtocomplywiththerequirementthatmeetingsbeheldopentothepublic). 832 Cristv.True,39OhioApp.2d11(12thDist.1972);1992OhioOp.AttyGen.No.032. 833 1944OhioOp.AttyGen.No.7038;1992OhioOp.AttyGen.No.032. 834 Spechtv.Finnegan,149OhioApp.3d201,2002Ohio4660(6thDist.). 835 Wyse v. Rupp, No. F9419 (6th Dist. 1995) (finding that the Ohio Turnpike Commission dealt with the large crowd in a reasonable and impartialmanner). 836 42U.S.C.12101(AmericanswithDisabilitiesActof1990,P.L.201202). 837 ButseeStateexrel.Robertsv.Snyder,149OhioSt.333,335(1948)(findingthatcouncilwaswithoutauthoritytoadoptaconflictingrule whereenablinglawlimitedcouncilpresidentsvotetosolelyintheeventofatie). 838 R.C.121.22(G). 839 2011OhioOp.AttyGen.No.038(opiningthatsecretballotvotingbyapublicbodyisantagonistictotheabilityofthecitizenrytoobserve theworkingsoftheirgovernmentandtoholdtheirgovernmentrepresentativesaccountable). 840 R.C.121.22(C);Wysev.Rupp,6thDist.No.F9419(1995);Cmty.ConcernedCitizensv.UnionTwp.Bd.ofZoningAppeals,12Dist.No.CA91 01009 (1991), affd 66 Ohio St.3d 452 (1993); Black v. Mecca Twp. Bd. of Trs., 91 Ohio App.3d 351, 356 (11th Dist. 1993) (finding that R.C. 121.22doesnot requirethatapublicbodyprovidethepublicwithanopportunitytocommentatitsmeetings,butifpublicparticipationis permitted, it is subject to the protections of the First and Fourteenth Amendments); Forman v. Blaser, 3rd Dist. No. 128712 (1988) (R.C.
830 831 829
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documents among themselves constructively closed their meeting by intentionally preventing the audiencefromhearingorknowingthebusinessthebodydiscussed.841However,theOpenMeetings Actdoesnotprovide(orprohibit)attendeestherighttobeheardatmeetings.Further,adisruptive personwaiveshisorherrighttoattend,andthebodymayremovethatpersonfromthemeeting.842
4.
AudioandVideoRecording
Apublicbodycannotprohibitthepublicfromaudioorvideorecordingapublicmeeting.843Apublic bodymay,however,establishreasonablerulesregulatingtheuseofrecordingequipment,suchas requiringequipmenttobesilent,unobtrusive,selfcontained,andselfpoweredtolimitinterference withtheabilityofotherstohear,see,andparticipateinthemeeting.844
5.
ExecutiveSessions
Executivesessions(discussedbelowinChapterIII),areanexceptiontotheopennessrequirement; however,publicbodiesmaynotvoteortakeofficialactioninanexecutivesession.845
B.
Notice
Everypublicbodymustestablish,byrule,areasonablemethodfornotifyingthepublicinadvanceofits meetings.846 The requirements for proper notice vary depending upon the type of meeting a public bodyisconducting,asdetailedbelow.
1. a.
TypesofMeetingsandNoticeRequirements RegularMeetings
Regular meetings are those held at prescheduled intervals,847 such as monthly or annual meetings.Apublicbodymustestablish,byrule,areasonablemethodthatallowsthepublicto determinethetimeandplaceofregularmeetings.848
b.
SpecialMeetings
A special meeting is any meeting other than a regular meeting.849 A public body must establish,byrule,areasonablemethodthatallowsthepublictodeterminethetime,place,and purposeofspecialmeetings.850
121.22guaranteestherighttoobserveameeting,butnotnecessarilytherighttobeheard);1992OhioOp.AttyGen.No.032;seealso2007 OhioOp.AttyGen.No.019. 841 Manoggv.Stickle,No.98CA00102(5thDist.1998). 842 Formanv.Blaser,No.138712(3dDist.1988)(Whenanaudiencebecomessouncontrollablethatthepublicbodycannotdeliberate,it would seem that the audience waives its right to, or is estopped from claiming a right under the Sunshine Law to continue to observe the proceedings.); see also Jones v. Heyman, 888 F.2d 1328, 1333 (11th Cir. 1989) (finding no violation of 1st and 14th Amendments where disruptivepersonwasremovedfromapublicmeeting). 843 McVeyv.CarthageTwp.Trs.,2005Ohio2869,1415(4thDist.)(trusteesviolatedR.C.121.22bybanningvideotaping). 844 Klinev.Davis,2001Ohio2625(4thDist.)(blanketprohibitiononrecordingapublicmeetingnotjustified);1988OhioOp.AttyGen.No.087 (opiningthattrusteeshaveauthoritytoadoptreasonablerulesforuseofrecordingequipmentattheirmeetings).SeealsoMahajanv.State Med. Bd. of Ohio, 2011Ohio6728 (10th Dist.) (where rule allowed board to designate reasonable location for placement of recording equipment,requiringappellantscourtreportertomovetothebackoftheroomwasreasonable,giventheneedtotransactboardbusiness). 845 R.C.121.22(A);MansfieldCityCouncilv.RichlandCityCouncilAFLCIO,No.03CA55(5thDist.2003)(reachingaconsensustotakenoaction onapendingmatter,asreflectedbymemberscomments,isimpermissibleduringanexecutivesession). 846 R.C.121.22(F). 847 Stateexrel.FairfieldLeaderv.Ricketts,56OhioSt.3d97(1990);1988OhioOp.AttyGen.No.029. 848 R.C. 121.22(F). See also Wyse v. Rupp, No. F9419 (6th Dist. 1995) (a public body must specifically identify the time at which a public meetingwillcommence). 849 Stateexrel.FairfieldLeaderv.Ricketts,56OhioSt.3d97,100(1990)(Thecouncileithermeetsinaregularsessionoritdoesnot,andany sessionthatisnotregularisspecial.);1988OhioOp.AttyGen.No.029(opiningthat[w]hilethetermspecialmeetingisnotdefinedinR.C. 121.22,itsuseincontextindicatesthatreferencestoallmeetingsotherthanregularmeetingswasintended). 850 R.C.121.22(F).SeealsoDoranv.NorthmontBd.ofEduc.,147OhioApp.3d268,272273,2002Ohio386(2ndDist.)(DoranI)(aboard violatedR.C.121.22(F)byfailingtoestablish,byrule,methodtoprovidereasonablenoticetothepublicoftime,place,andpurposeofspecial meetings); Stiller v. Columbiana Exempt Vill. Sch. Dist. Bd. of Educ., 74 Ohio St.3d 113, 119120 (1995) (policy adopted pursuant to R.C.
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Public bodies must provide at least 24 hours advance notification of special meetingstoallmediaoutletsthathaverequestedsuchnotification,851exceptinthe event of an emergency requiring immediate official action (see Emergency Meetings,below). When a public body holds a special meeting to discuss particular issues, the statementofthemeetingspurposemustspecificallyindicatethoseissues,andthe public body may only discuss those specified issues at that meeting.852 When a special meeting is simply a rescheduled regular meeting occurring at a different time, the statement of the meetings purpose may be for general purposes.853 Discussing matters at a special meeting that were not disclosed in its notice of purpose, either in open session or executive session, is a violation of the Open MeetingsAct.854
EmergencyMeetings Anemergencymeetingisatypeofspecialmeetingthatapublicbodyconveneswhenasituation requiresimmediateofficialaction.855Ratherthanthe24hoursadvancenoticeusuallyrequired, apublicbodyschedulinganemergencymeetingmustimmediatelynotifyallmediaoutletsthat have specifically requested such notice of the time, place, and purpose of the emergency meeting.856Thepurposestatementmustcomportwiththespecificityrequirementsdiscussed above.
2.
RulesRequirement
TheOpenMeetingsActrequireseverypublicbodytoadoptrulesestablishingreasonablemethods for the public to determine the time and place of all regularly scheduled meetings, and the time, place,andpurposeofallspecialmeetings.857Thoserulesmustincludeaprovisionforanyperson, upon request and payment of a reasonable fee, to obtain reasonable advance notification of all meetings at which any specific type of public business is to be discussed.858 The statute suggests that provisions for advance notification may include mailing the agenda of meetings to all subscribersonamailinglistormailingnoticesinselfaddressed,stampedenvelopesprovidedbythe personrequestingnotice.859
3.
NoticebyPublication
Many public bodies routinely notify their local media of all regular, special, and emergency meetings,whetherbyruleorsimplybypractice.Ifthemediamisprintsthemeetinginformation,a courtwillnotlikelyholdthepublicbodyresponsibleforviolatingthenoticerequirementsolongas
121.22(F) that required notice of specific or general purposes of special meeting was not violated when general notice was given that nonrenewalofcontractwouldbediscussed,eventhoughancillarymatterswerealsodiscussed). 851 R.C.121.22(F);1988OhioOp.AttyGen.No.029. 852 Jonesv.BrookfieldTwp.Trs.,No.92T4692(11thDist.1995). 853 Jonesv.BrookfieldTwp.Trs.,No.92T4692(11thDist.1995);seealsoSatterfieldv.AdamsCountyOhioValleySch.Dist.,No.95CA611(4th Dist.1996)(althoughspecificagendaitemsmaybelisted,useofagendatermpersonnelissufficientfornoticeofspecialmeeting). 854 Hoopsv.JerusalemTwp.Bd.ofTrs.,No.L971240(6thDist.1998)(businesstransactedatspecialmeetingsexceededscopeofpublished purposeandthusviolatedR.C.121.22(F)). 855 CompareNeuvirthv.Bds.ofTrs.ofBainbridgeTwp.,No.919(11thDist.1981)(businesstransactedatspecialmeetingsexceededscopeof publishedpurposeandthusviolatedR.C.121.22(F)). 856 R.C.121.22(F). 857 R.C.121.22(F). 858 R.C.121.22(F). 859 Theserequirementsnotwithstanding,manycourtshavefoundthatactionstakenbyapublicbodyarenotinvalidsimplybecausethebody failedtoadoptnoticerules.Thesecourtsreasonthatthepurposeofthelawsinvalidationsection(R.C.121.22(H))istoinvalidateactionstaken whereinsufficientnoticeofthemeetingwasprovided.SeeDoranv.NorthmontBd.ofEduc.,147OhioApp.3d268,271,2002Ohio386(2nd Dist.) (Doran I); Hoops v. Jerusalem Twp. Bd. of Trs., No. L971240 (6th Dist. 1998); Barber v. Twinsburg Twp., 73 Ohio App.3d 587 (9th Dist.1992).
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it transmitted accurate information to the media as required by its rule.860 Notice must be consistentandactuallyreachthepublictosatisfythestatute.861
C.
Minutes 1. ContentofMinutes
A public body must keep full and accurate minutes of its meetings.862 Those minutes are not required to be a verbatim transcript of the proceedings, but must include enough facts and information to permit the public to understand and appreciate the rationale behind the public bodys decisions.863 Because executive sessions are not open to the public, the meeting minutes needtoreflectonlythegeneralsubjectmatteroftheexecutivesessionviathemotiontoconvene the session for a permissible purpose or purposes (see Executive Session, discussed below in ChapterThree).864Includingdetailsofmembersprevotediscussionfollowinganexecutivesession may prove helpful, though. At least one court has found that the lack of prevote comments reflectedbytheminutessupportedthetrialcourtsconclusionthatthebodysdiscussionofthepros andconsofthematteratissuemusthaveimproperlyoccurredduringexecutivesession.865
2.
MakingMinutesAvailable
Apublicbodymustpromptlyprepare,file,andmakeavailableitsminutesforpublicinspection.866 Thefinalversionoftheofficialminutesapprovedbymembersofthepublicbodyisapublicrecord. Notethatadraftversionofthemeetingminutesthatthepublicbodycirculatesforapprovalisalso apublicrecordunderthePublicRecordsAct.867
3.
MediumonWhichMinutesareKept
BecauseneithertheOpenMeetingsActnorthePublicRecordsActaddressesthemediumonwhich apublicbodymustkeeptheofficialmeetingminutes,apublicbodymaymakethisdetermination for itself. Some public bodies document that choice by adopting a formal rule or by passing a resolutionormotionatameeting.868Manypublicbodiesmakeacontemporaneousaudiorecording ofthemeetingtouseasabackupinpreparingwrittenofficialminutes.TheOhioAttorneyGeneral has opined that such a recording constitutes a public record that the public body must make availableforinspectionuponrequest.869
Blackv.MeccaTwp.Bd.ofTrs.,91OhioApp.3d351(11thDist.1993). Doranv.NorthmontBd.ofEduc.,147OhioApp.3d268,272,2002Ohio386(2ndDist.)(DoranI)(wherepublicationofthenoticeisatthe newspapersdiscretion,suchnoticeisnotreasonablenoticetothepublic). 862 Whitev.ClintonCountyBd.ofCommrs,76OhioSt.3d416,420(1996)([k]eepingfullminutesallowsmembersofthepublicwhoareunable to attend the meetings in person to obtain complete and accurate information about the decisionmaking process of their government []. Accurateminutes canreflectthedifficultdecisionmakingprocessinvolved,andhopefullybringthepublictoabetterunderstandingofwhy unpopulardecisionsaresometimesnecessary). 863 SeegenerallyStateexrel.CitizensforOpen,Responsive&AccountableGovtv.Register,116OhioSt.3d88,2007Ohio5542(construingR.C. 121.22,149.43,and507.04together,atownshipfiscalofficerhasadutytomaintainfullandaccurateminutesandrecordsoftheproceedings aswellastheaccountsandtransactionsoftheboardoftownshiptrustees);Whitev.ClintonCountyBd.ofCommrs,76OhioSt.3d416(1996) (theminutesofboardofcountycommissionersmeetingsarerequiredtoincludemorethanarecordofrollcallvotes);Stateexrel.Longv. CouncilofCardington,92OhioSt.3d54,2001Ohio130. 864 R.C.121.22(C). 865 Piekotowskiv.SouthCent.OhioEduc.Serv.Ctr.GoverningBd.,161OhioApp.3d372,380,2005Ohio2868(4thDist.). 866 R.C.121.22(C);seealsoWhitev.ClintonCountyBd.ofCommrs,76OhioSt.3d416(1996);Stateexrel.FairfieldLeaderv.Ricketts,56Ohio St.3d97(1990)(becausethemembersofapublicbodyhadmetasamajoritygroup,R.C.121.22applied,andminutesofthemeetingwere thereforenecessary);Stateexrel.Longv.CouncilofCardington,92OhioSt.3d54,57,2001Ohio130(findingthataudiotapesthatarelater eraseddonotmeetrequirementtomaintain). 867 Stateexrel.Doev.Register,2009Ohio2448,28(12thDist.). 868 InStateexrel.Longv.CouncilofCardington,92OhioSt.3d54,57,2001Ohio130,theOhioSupremeCourtfoundcouncilscontentionthat audiotapes complied with Open Meetings Act requirements to be meritless because they were not treated as official minutes, e.g., council approvedwrittenminutes,didnottapeallmeetings,andvotedtoerasetapesafterwrittenminuteshadbeenapproved. 869 2008 Ohio Op. Atty Gen. No. 019 (opining that an audio tape recording of a meeting that is created for the purpose of taking notes to createanaccuraterecordofthemeetingisapublicrecordforpurposesofR.C.149.43;theaudiotaperecordingmustbemadeavailablefor publicinspectionandcopying,andretainedinaccordancewiththetermsoftherecordsretentionscheduleforsucharecord).
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D. ModifiedDutiesofPublicBodiesUnderSpecialCircumstances 1. DeclaredEmergency
During a declared emergency, R.C. 5502.24(B) provides a limited exception to fulfilling the requirementsoftheopenmeetingslaw.If,duetoadeclaredemergency,itbecomesimprudent, inexpedient,orimpossibletoconducttheaffairsoflocalgovernmentattheregularorusualplace, thegoverningbodymaymeetatanalternatesitepreviouslydesignated(byordinance,resolution, or other manner) as the emergency location of government.870 Further, the public body may exerciseitspowersandfunctionsinthelightoftheexigenciesoftheemergencywithoutregardto orcompliancewithtimeconsumingproceduresandformalitiesoftheOpenMeetingsAct.Evenin an emergency, however, there is no exception to the in person meeting requirement of R.C. 121.22(C),andtheprovisiondoesnotpermitthepublicbodytomeetbyteleconference.871
2.
MunicipalCharters
The Open Meetings Act applies to public bodies at both the state and local government level. However,becausetheOhioConstitutionpermitshomerule(selfgovernment),municipalitiesmay adoptacharterunderwhichtheirlocalgovernmentsoperate.872Achartermunicipalityhastheright todeterminebycharterthemannerinwhichitsmeetingswillbeheld.873Charterprovisionstake precedenceovertheOpenMeetingsActwherethetwoconflict.874Ifamunicipalcharterincludes specific guidelines regarding the conduct of meetings, the municipality must abide by those guidelines.875Inaddition,ifacharterexpresslyrequiresthatallmeetingsofthepublicbodiesmust beopen,themunicipalitymaynotadoptordinancesthatpermitexecutivesession.876
R.C.5502.24(B). 2009Op.AttyGen.No.034;R.C.5502.24(B). OhioConst.,Art.SVIII,3,7;seealsoStateexrel.Inskeepv.Staten,74OhioSt.3d676,1996Ohio236;Stateexrel.Fenleyv.Kyger,72 OhioSt.3d164(1995);Stateexrel.Lightfieldv.Vill.ofIndianHill,69OhioSt.3d441(1994);Stateexrel.FairfieldLeaderv.Ricketts,56Ohio St.3d97(1990);Stateexrel.Craftv.Schisler,40OhioSt.3d149(1988);Foxv.CityofLakewood,39OhioSt.3d19(1988). 873 Stateexrel.PlainDealerPublgCo.v.Barnes,38OhioSt.3d165,168(1988)(findingitunnecessarytodecidetheapplicabilityoftheOhio OpenMeetingsActbecausethecharterlanguageexpresslyprovidedforopenmeetingsandencompassedthemeetingatissue);Hills&Dales, Inc. v. Wooster, 4 Ohio App.3d 240, 242243 (9th Dist. 1982) (a charter municipality, in the exercise of its sovereign powers of local self governmentasestablishedbytheOhioConstitutionneednotadheretothestricturesofR.C.121.22.WefindnothingintheWoosterCharter whichmandatesthatallmeetingsofthecitycounciland/orthecityplanningcommissionmustbeopentothepublic.). 874 Stateexrel.Lightfieldv.IndianHill,69OhioSt.3d441,442(1994)([i]nmattersoflocalselfgovernment,ifaportionofamunicipalcharter expresslyconflictswithparallelstatelaw,thecharterprovisionswillprevail). 875 Stateexrel.Bondv.Montgomery,63OhioApp.3d728(1stDist.1989);Johnsonv.Kindig,No.00CA0095(9thDist.2001)(wherecharter explicitlystatesallcouncilmeetingsshallbepublicandthecouncilmustalsoexplicitlystateexceptionforexecutivesession). 876 Stateexrel.Inskeepv.Staten,74OhioSt.3d676,1996Ohio236;Stateexrel.PlainDealerPublgCo.v.Barnes,38OhioSt.3d165(1998); Stateexrel.GannettSatelliteInfo.Networkv.CincinnatiCityCouncil,137OhioApp.3d589,592(1stDist.2001)(whenacitychartermandates allmeetingsbeopen,rulesofcouncilcannotsupersedethismandate).
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ChapterThree:ExecutiveSession
III. A. ChapterThree:ExecutiveSession GeneralPrinciples
An executive session is a conference between members of a public body from which the public is excluded.877Thepublicbody,however,mayinviteanyoneitchoosestoattendanexecutivesession.878 TheOpenMeetingsActstrictlylimitstheuseofexecutivesessions.First,theOpenMeetingsActlimits the matters that a public body may discuss in executive session.879 Second, the Open Meetings Act requiresthatapublicbodyfollowaspecificproceduretoadjournintoanexecutivesession.880Finally,a public body may not take any formal action in an executive session any formal action taken in an executivesessionisinvalid.881 ApublicbodymayonlydiscussmattersspecificallyidentifiedinR.C.121.22(G)inexecutivesession,and mayonlyholdexecutivesessionsatregularandspecialmeetings.882Onecourthasheldthatapublic bodymaydiscussother,relatedissuesiftheyhaveadirectbearingonthepermittedmatter(s).883Ifa public body is challenged in court over the nature of discussions or deliberations held in executive session,theburdenofprooflieswiththepublicbodytoestablishthatoneofthestatutoryexceptions permittedtheexecutivesession.884 The Open Meetings Act does not prohibit the public body or one of its members from disclosing the information discussed in executive session.885 However, other provisions of law may prohibit such disclosure.886 Note:TheprivacyaffordedbytheOhioOpenMeetingsActtoexecutivesessiondiscussionsdoesnot impart confidentiality on any documents that a public body may discuss in executive session. If a documentisapublicrecordandisnototherwiseexemptunderoneoftheexceptionstothePublic RecordsAct,therecordwillstillbesubjecttopublicdisclosurenotwithstandingtheappropriatenessof confidentialdiscussionsaboutitinexecutivesession.Forinstance,ifapublicbodyproperlydiscusses pendinglitigationinexecutivesession,asettlementagreementnegotiatedduringthatexecutivesession andreducedtowritingmaybesubjecttopublicdisclosure.887 877
Weiselv.PalmyraTwp.Bd.ofZoningAppeals,No.90P2193 (11thDist.1991);Davidsonv.SheffieldSheffieldLakeBd.ofEduc.,No.89 CA004624(9thDist.1990). 878 Chudnerv.ClevelandCitySch.Dist.,No.68572(8thDist.1995)(invitingselectindividualstoattendanexecutivesessionisnotaviolationas longasnoformalactionofthepublicbodywilloccur);Weiselv.PalmyraTwp.Bd.ofZoningAppeals,No.90P2193(11thDist.1991);Davidson v.SheffieldSheffieldLakeBd.ofEduc.,No.89CA004624(9thDist.1990). 879 R.C.121.22(G)(1)(7),(J). 880 R.C.121.22(G)(1),(7)(requiringrollcallvoteandspecificityinmotion);seealsoStateexrel.Longv.CouncilofCardington,92OhioSt.3d54, 59,2001Ohio130(respondentsviolatedR.C.121.22(G)(1)byusinggeneraltermslikepersonnelandpersonnelandfinancesinsteadofone ormoreofthespecifiedstatutorypurposeslistedindivision(G)(1));WheelingCorp.v.Columbus&OhioRiverR.R.Co.,147OhioApp.3d460, 473, 2001Ohio8751 (10th Dist.) (a majority of a quorum of the public body must determine, by roll call vote, to hold executive session); Wrightv.Mt.VernonCityCouncil,No.97CA7(5thDist.1997)(apublicbodymuststrictlycomplywithboththesubstantiveandprocedural limitations of R.C. 121.22(G)); Jones v. Brookfield Twp. Trs., No. 92T4692 (11th Dist. 1995) (Police personnel matters does not constitute substantial compliance because it does not refer to any of the specified purposes listed in R.C. 149.43(G)(1)); Vermillion Teachers Assn v. VermillionLocalSch.Dist.Bd.ofEduc.,98OhioApp.3d524,531532(6thDist.1994)(aboardviolated121.22(G)whenitwentintoexecutive sessiontodiscussastatedpermissibletopicbutproceededtodiscussanother,nonpermissibletopic);1988OhioOp.AttyGen.No.029. 881 R.C.121.22(H);Mathewsv.E.LocalSch.Dist.,2001Ohio2372(4thDist.)(aboardwaspermittedtodiscussemployeegrievanceinexecutive session,butwasrequiredtotakeformalactionbyvotinginanopenmeeting);Stateexrel.Kinsleyv.BereaBd.ofEduc.,64OhioApp.3d659, 664(8thDist.1990)(onceaconclusionisreachedregardingpendingorimminentlitigation,theconclusionistobemadepublic,eventhough thedeliberationsleadingtotheconclusionwereprivate). 882 R.C.121.22(G). 883 Chudnerv.ClevelandCitySch.Dist.,No.68572(8thDist.1995)(issuesdiscussedinexecutivesessioneachhadadirectbearingontopicthat waspermissiblesubjectofexecutivesessiondiscussion). 884 Stateexrel.Bondv.CityofMontgomery,63OhioApp.3d728(1stDist.1989). 885 But compare R.C. 121.22(G)(2) (providing that nomember of a public body shall use [executive session under property exception] as a subterfugeforprovidingcovertinformationtoprospectivebuyersorsellers). 886 Seee.g.,R.C.102.03(B)(providingthatapublicofficialmustnotdiscloseoruseanyinformationacquiredincourseofofficialdutiesthatis confidentialbecauseofstatutoryprovisions,orthathasbeenclearlydesignatedasconfidential). 887 Stateexrel.FindlayPublgCo.v.HancockCountyBd.ofCommrs,80OhioSt.3d134,138(1997)(quotingStateexrel.Kinsleyv.BereaBd.of Educ., 64 Ohio App.3d 659, 664 (8th Dist. 1990) (Since a settlement agreement contains the result of the bargaining process rather than revealing the details of the negotiations which led to the result, R.C. 121.22(G)(3), which exempts from public view only the conferences themselves,wouldnotexemptasettlementagreementfromdisclosure.)).
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B. PermissibleDiscussionTopicsinExecutiveSession 1. CertainPersonnelMatters888
Thereareverylimitedtopicsthatthemembersofapublicbodymayconsiderinexecutivesession: Apublicbodymayadjournintoexecutivesession: Toconsidertheappointment,employment,dismissal,discipline,promotion,demotion, orcompensationofapublicemployeeorofficial;and To consider the investigation of charges or complaints against a public employee, official, licensee, or regulated individual,889 unless the employee, official, licensee, or regulatedindividualrequestsapublichearing;890 but Apublicbodymaynotholdanexecutivesessiontoconsiderthedisciplineofanelected officialforconductrelatedtotheperformanceoftheofficialsdutiesortoconsiderthat personsremovalfromoffice.
Amotiontoadjournintoexecutivesessionmustspecifywhichoftheparticularpersonnelmatter(s) listedinthestatutethemovantproposestodiscuss.Amotiontodiscusspersonnelmattersisnot sufficientlyspecificanddoesnotcomplywiththestatute.891Themotionneednotincludethename ofthepersoninvolvedinthespecifiedpersonnelmatter.892 Appellate courts disagree on whether a public body must limit its discussion of personnel in an executive session to aspecific individual, or may include broader discussion of employee matters. At least two appellate courts have held that the language of the Open Meetings Act clearly limits discussion in executive session to consideration of a specific employees employment, dismissal, etc.893ThesedecisionsarebasedonthepremisethattheplainlanguageintheActrequiresthatall meetings of any public body are declared to be open to the public at all times,894 thus, any exceptionstoopennessaretobedrawnnarrowly.Adifferentappellatecourt,however,lookedtoa differentprovisionintheActthatpermitsthepublicbodytoexcludethenameofanypersontobe consideredduringtheexecutivesessionasallowinggeneralpersonneldiscussions.895
R.C.121.22(G)(1). R.C.121.22(B)(3)(definingregulatedindividualas(a)astudentinastateorlocalpubliceducationalinstitutionor(b)apersonwhois, voluntarily or involuntarily, an inmate, patient, or resident of a state or local institution because of criminal behavior, mental illness or retardation,disease,disability,age,orotherconditionrequiringcustodialcare). 890 See Brownfield v. Bd. of Educ., No. 89 CA 26 (4th Dist. 1990) (upon request, a teacher was entitled to have deliberations regarding his dismissalinopenmeetings).NOTE:Thisexceptiondoesnotgrantasubstantiverighttoapublichearing.Sucharightmustexistelsewherein Ohioorfederallawbeforeapersonmaydemandapublichearingunderthisexception.SeeDavidsonv.SheffieldSheffieldLakeBd.ofEduc., No.89CA004624(9thDist.1990)(citingMathenyv.Bd.ofEduc.,62OhioSt.2d362,368(1980)(thetermpublichearinginsubdivision(G)(1) ofthisstatuterefersonlytothehearingselsewhereprovidedbylaw);Stateexrel.Harrisv.Indus.CommnofOhio,No.95APE07891(10th Dist.1995). 891 R.C.121.22(G)(1),(7)(requiringrollcallvoteandspecificityinmotion);Stateexrel.Longv.CouncilofCardington, 92Ohio St.3d54,59, 2001Ohio130(respondentsviolatedR.C.121.22(G)(1)byusinggeneraltermslikepersonnelandpersonnelandfinancesinsteadofoneor moreofthespecifiedstatutorypurposeslistedindivision(G)(1));Jonesv.BrookfieldTwp.Trs.,No.92T4692(11thDist.1995)(statingthat [p]olicepersonnelmattersdoesnotconstitutesubstantialcompliancebecauseitdoesnotrefertoanyofthespecificpurposeslistedinR.C. 149.43(G)(1)),1988OhioAtty.Gen.Ops.No.88029,2120to2121,fn.1. 892 R.C.121.22(G)(1). 893 GannettSatelliteInfo.Networkv.ChillicotheCitySch.Dist.,41OhioApp.3d218(4thDist.1988);Davidsonv.SheffieldSheffieldLakeBd.of Educ.,No.89CA004624(9thDist.1990)(rejectingtheargumentthatanexecutivesessionwasillegallyheldforadual,unauthorizedpurpose whenitwasheldtodiscussterminationofaspecificemployeesemploymentduetobudgetaryconsiderations). 894 R.C.121.22(C). 895 Wrightv.Mt.VernonCityCouncil,No.97CA7(5thDist.1997)(findingitpermissibleforapublicbodytodiscussmeritraisesforexemptcity employeesinexecutivesessionwithoutreferringtoindividualsinparticularpositions).
889
888
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2. PurchaseorSaleofProperty
Apublicbodymayadjournintoexecutivesessiontoconsiderthepurchaseofpropertyofanysort real,personal,tangible,orintangible.896Apublicbodymayalsoadjournintoexecutivesessionto consider the sale of real or personal property by competitive bid if disclosure of the information wouldresultinacompetitiveadvantagetothepersonwhosepersonal,privateinterestisadverseto thegeneralpublicinterest.897Nomemberofapublicbodymayusethisexceptionassubterfugeto providecovertinformationtoprospectivebuyersorsellers.898
3.
PendingorImminentCourtAction
A public body may adjourn into executive session with the public bodys attorney to discuss a pending or imminent court action.899 Court action is pending if a lawsuit has been commenced andisimminentifitisonthebrinkofcommencing.900Apublicbodymaynotusethisexceptionto adjourn into executive session for discussions with a board member who also happens to be an attorney.Theattorneyshouldbethedulyappointedcounselforthepublicbody.901Norisageneral discussionoflegalmattersasufficientbasisforinvokingthisprovision.902
4.
CollectiveBargainingMatters
A public body may adjourn into executive session to prepare for, conduct, or review a collective bargainingstrategy.903
5.
MattersRequiredtobeKeptConfidential
Apublicbodymayadjournintoexecutivesessiontodiscussmattersthatfederallaw,federalrules, orstatestatutesrequirethepublicbodytokeepconfidential.904
6.
SecurityMatters
896 897 898
A public body may adjourn into executive session to discuss details of security arrangements and emergency response protocols for a public body or public office, if disclosure of the matters discussed could reasonably be expected to jeopardize the security of the public body or public office.905
R.C.121.22(G)(2);seealso1988OhioOp.AttyGen.No.003. R.C.121.22(G)(2);seealso1988OhioOp.AttyGen.No.003. R.C.121.22(G)(2). 899 R.C.121.22(G)(3). 900 Stateexrel.CincinnatiEnquirerv.HamiltonCountyCommrs,2002Ohio2038(1stDist.)(determiningthatimminentissatisfiedwhena public body has moved beyond mere investigation and assumed an aggressive litigative posture manifested by the decision to commit government resources to the prospective litigation); State ex rel. Bond v. City of Montgomery, 63 Ohio App.3d 728 (1st Dist. 1989); but see Greene County Guidance Ctr., Inc. v. GreeneClinton Cmty. Mental Health Bd., 19 Ohio App.3d 1, 5 (2nd Dist. 1984) (a discussion with legal counselinexecutivesessionunder121.22(G)(3)ispermittedwherelitigationisareasonableprospect). 901 Awadalla v. Robinson Meml Hosp., No. 91P2385 (11th Dist. 1992) (a boards attorney was identified as senior vice president in meetingminutes);seealsoBd.ofTrs.oftheTobaccoUsePreventionandControlFound.v.Boyce,185OhioApp.3d707,2009Ohio6993, 6669(10thDist.),affd,127OhioSt.3d511,2010Ohio6207(fourboardmemberswhoarealsoattorneysarenottheattorneysforthepublic body). 902 Bd. of Trs. of the Tobacco Use Prevention and Control Found. v. Boyce, 185 Ohio App.3d 707, 2009Ohio6993, 6669 (10th Dist.) (Executive Director, a licensed attorney, cannot act as attorney for the public body for purposes of this provision, because R.C. 109.02 declaresAttorneyGeneraltobelegalcounselforallstateagencies). 903 R.C.121.22(G)(4);seealsoBackv.MadisonLocalSch.Dist.Bd.ofEduc.,2007Ohio4218,8(12thDist.)(aschoolboardsmeetingwitha labor organization to renegotiate teachers salaries was proper because the meeting was not an executive session but was a collective bargainingmeeting,which,underR.C.4117.21,wasexemptfromtheopenmeetingrequirementsofR.C.121.22). 904 R.C. 121.22(G)(5); see also State ex rel. Cincinnati Enquirer v. Hamilton County Cmmr, 2002Ohio2038 (1st Dist.) (R.C. 121.22(G)(5) is intendedtoallowapublicbodytoconveneanexecutivesessiontodiscussmattersthattheyarelegallyboundtokeepfromthepublic);J.C. PenneyProp.,Inc.v.Bd.ofRevisionofFranklinCounty,OhioBd.ofTaxAppealsNos.81D509,81D510(Jan.19,1982)(commonlawmaynot be available under R.C. 121.22(G)(5) given the presence of R.C. 121.22(G)(3)); but see Theile v. Harris, No. C860103 (1st Dist. 1986) (public officialshaverightanddutytoseeklegaladvicefromtheirdulyconstitutedlegaladvisor). 905 R.C.121.22(G)(6).
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7. HospitalTradeSecrets
A public body may adjourn into executive session to discuss trade secrets of a county hospital, a jointtownshiphospital,oramunicipalhospital.906
8.
VeteransServiceCommissionApplications
A Veterans Service Commission must hold an executive session when considering an applicants requestforfinancialassistance,unlesstheapplicantrequestsapublichearing.907Notethat,unlike the previous seven discussion topics, discussion of Veterans Service Commission applications in executivesessionismandatory.
C.
ProperProceduresforExecutiveSession
A public body may only hold an executive session at a regular or special meeting, and a meeting that includes an executive session must always begin and end in an open session.908 In order to begin an executive session, there must be a proper motion approved by a majority of a quorum of the public body,usingarollcallvote.909
1.
TheMotion
A motion for executive session must specifically identify which one or more of the approved matterslistedaretobeconsideredattheexecutivesession.910Thus,ifthepublicbodyintendsto discuss one of the matters included in the personnel exception in executive session, the motion mustspecifywhichofthosespecificmattersitwilldiscuss(e.g.,Imovetogointoexecutivesession toconsiderthepromotionorcompensationofapublicemployee.).911Itisnotsufficienttosimply state personnel as a reason for executive session.912 The motion does not need to specify by namethepersonwhomthepublicbodyintendstodiscuss.913Similarly,reiteratingthelaundrylist of possible matters from R.C. 121.22(G)(1) without specifying which of those purposes [will] be discussedinexecutivesessionisimproper.914
2.
TheRollCallVote
Membersofapublicbodymayadjournintoexecutivesessiononlyafteramajorityofaquorumof thepublicbodyapprovesthemotionbyarollcallvote.915Thevotemaynotbebyacclamationorby showofhands,andthepublicbodymustrecordthevoteinitsminutes.916 Although a proper motion is required before entering executive session, a motion to end the executivesessionandreturntopublicsessionisnotnecessarybecausethecloseddoordiscussionis off the record. Similarly, a public body does not take minutes during executive session. The minutes of the meeting need only document a motion to go into executive session that properly
R.C.121.22(G)(7). R.C.121.22(J). R.C.121.22(G). 909 VermillionTeachersAssnv.VermillionLocalSch.Dist.Bd.ofEduc.,98OhioApp.3d524(6thDist.1994);1988OhioOp.AttyGen.No.029 (detailingproperprocedureforexecutivesession). 910 R.C.121.22(G)(1),(7). 911 Jonesv.BrookfieldTwp.Trs.,No.92T4692(11thDist.1995);1988OhioOp.AttyGen.No.029;Stateexrel.Longv.CouncilofCardington, 92OhioSt.3d54,59,2001Ohio130. 912 Stateexrel.Longv.CouncilofCardington,92OhioSt.3d54,59,2001Ohio130(byusinggeneraltermslikepersonnelinsteadofoneor moreofthespecifiedstatutorypurposesisaviolationofR.C.121.22(G)(1));Jonesv.BrookfieldTwp.Trs.,No.92T4692(11thDist.1995)(a referencetopolicepersonnelissuesdoesnottechnicallysatisfy[theR.C.121.22(G)(1)]requirementbecauseitdoesnotspecifywhichofthe approvedpurposeswasapplicableinthisinstance);1988OhioOp.AttyGen.No.029,2120to2121,fn.1. 913 R.C.121.22(G)(1);Beiselv.MonroeCountyBd.ofEduc.,No.CA678(7thDist.1990). 914 Stateexrel.Longv.CouncilofCardington,92OhioSt.3d54,59,2001Ohio130. 915 R.C.121.22(G). 916 R.C.121.22(G);1988OhioOp.AttyGen.No.029;seeShafferv.Vill.ofW.Farmington,82OhioApp.3d579,584(11thDist.1992)(minutes maynotbeconclusiveevidenceastowhetherrollcallvotewastaken).
907 908 906
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identifiesthepermissible topicor topicsthatthe publicbody willdiscuss,aswellasthereturnto opensession(e.g.,Wearenowbackontherecord.).
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ChapterFour:Enforcement&Remedies
IV. ChapterFour:EnforcementandRemedies
In Ohio, no state or local government official has the authority to enforce the Open Meetings Act. Rather,ifanypersonbelievesapublicbodyhasviolatedorintendstoviolatetheOpenMeetingsAct, thatpersonmayfilesuitincommonpleascourttoenforcethelawsprovisions.917 CourtsreviewingallegedviolationswillstrictlyconstruetheOpenMeetingsActinfavorofopenness.918 Inpractice,thishasincludedthecourtslookingbeyondtheexpressreasonstatedbyapublicbodyfor anexecutivesessiontofindanimpliedorcircumstantialviolationoftheAct.919
A.
Enforcement 1. Injunction
Anypersonmayfileacourtactionforaninjunctiontoaddressanallegedorthreatenedviolationof the Open Meetings Act.920 This action must be brought within two years after the date of the alleged violation or threatened violation.921 If granted by a court, an injunction compels the members of the public body to comply with the law by either refraining from the prohibited behaviororbylawfullyconductingtheirmeetingswheretheypreviouslyfailedtodoso.
a.
WhoMayFile
Any person has standing to file for an injunction to enforce the Open Meetings Act.922 The personneednotdemonstrateapersonalstakeintheoutcomeofthelawsuit.923
b.
WheretoFile
Unlike the Public Records Act, which permits an aggrieved person to initiate a legal action in eitheracommonpleascourt,adistrictcourtofappeals,ortheOhioSupremeCourt,theOpen MeetingsActrequiresthatanactionforinjunctionbefiledonlyinthecourtofcommonpleasin thecountywheretheallegedActviolationtookplace.924
c.
FindingaViolation
R.C.12122(I)(1). GannettSatelliteInfo.Networkv.ChillicotheCitySch.Dist.,41OhioApp.3d218(4thDist.1988). Sea Lakes, Inc. v. Lipstreu, No. 90P2254 (11th Dist. 1991) (finding a violation where board was to discuss administrative appeal merits privately,appellantsattorneyobjected,boardimmediatelyheldexecutivesessiontodiscusspendinglitigation,thenemergedtoannounce decisiononappeal);IntheMatterofRemovalofSmith,No.CA9011(5thDist.1991)(findingaviolationwherecountycommissionemerged fromexecutivesessionheldtodiscusslegalmattersandannounceddecisiontoremoveSmithfromBoardofMentalHealth,wheretherewas nocountyattorneypresentinexecutivesessionandarequestforpublichearingonremovaldecisionwaspending). 920 R.C.121.22(I)(1).SeeFahlv.Athens,2007Ohio4925(4thDist.)andStainfiedv.JeffersonEmergencyRescueDist.,2010Ohio2282,40 (11thDist.)(appellatecourtsdeclinedtoconsiderargumentsallegingOpenMeetingsActviolationsaspartofadministrativeappealsbecause appellantsfailedtobringoriginalactionsandrequestappropriatereliefincourtsofcommonpleas). 921 R.C.121.22(I)(1);seealsoMollettev.PortsmouthCityCouncil,179OhioApp.3d455,2008Ohio6342(4thDist.). 922 R.C.121.22(I)(1);McVeyv.CarthageTwp.Trs.,2005Ohio2869(4thDist.). 923 Doran v. Northmont Bd. of Educ., 153 Ohio App.3d 499, 2003Ohio4084, 20 (2nd Dist.) (Doran II); State ex rel. Mason v. State EmploymentRelationsBd.,No.98AP780(10thDist.1999);Thompsonv.JointTwp.,No.2828(3rdDist.1983);Foremanv.Blaser,No.128712 (3rdDist.1988);butseeKorchnakv.CivilServ.CommnofCanton,No.CA8133(5thDist.1991)(apartyhadnostandingtochallengenoticeof aviolationwithoutaformalrequestandpaymentofafeeestablishedbyapublicbody). 924 R.C.121.22(I)(1). 925 R.C.121.22(I)(3);Reamv.CivilServ.CommnofCanton,No.CA8033(5thDist.1990). 926 R.C. 121.22(I)(1); see also Doran v. Northmont Bd. of Educ., 153 Ohio App.3d 499, 2003Ohio4084, 21 (2nd Dist.) (Doran II) (an injunctionismandatoryuponfindingviolationofstatute);FayetteVolunteerFireDept.No.2,Inc.v.FayetteTwp.Bd.ofTrs.,87OhioApp.3d51, 54(4thDist.1993).
918 919
Upon proof of a violation or threatened violation of the Open Meetings Act, the court will conclusivelyandirrebuttablypresumeharmandprejudicetothepersonwhobroughtthesuit925 andwillissueaninjunction.926 917
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d. CuringaViolation
Onceaviolationisproven,thecourtmustgranttheinjunction,regardlessofthepublicbodys interveningorsubsequentattemptstocuretheviolation.927Indeed,Ohiocourtshavediffering views as to whether a public body can ever cure an invalid action with new, compliant discussionsfollowedbyofficialactiontakeninanopensession.928
2.
Mandamus
Whereapersonseeksaccesstothepublicbodysminutes,thatpersonmayalsofileamandamus action under the Public Records Act to compel the creation of or access to meeting minutes.929 Mandamus is also an appropriate action to order a public body to give notice of meetings to the personfilingtheaction.930
3.
QuoWarranto
Once a court issues an injunction finding a violation of the Open Meetings Act, members of the publicbodywholatercommitaknowingviolationoftheinjunctionmayberemovedfromoffice through a quo warranto action, that may only be brought by the county prosecutor or the Ohio AttorneyGeneral.931
B.
Remedies 1. Invalidity
Aresolution,rule,orformalactionofanykindisinvalidunlessadoptedinanopenmeetingofthe public body.932 However, courts have refused to allow public bodies to benefit from their own violations of the Open Meetings Act.933 For instance, a public body may not attempt to avoid a contractual obligation by arguing that approval of the contract is invalid due to a violation of the Act.934
a.
FormalAction
Evenwithouttakingavoteorapoll,membersofapublicbodymayinadvertentlytakeformal action in an executive session when they indicate how they intend to vote about a matter pendingbeforethem.935Forinstance,whilecouncilmembersproperlydeliberatedinexecutive
McVeyv.CarthageTwp.Trs.,2005Ohio2869,9(4thDist.)(Becausethestatuteclearlyprovidesthataninjunctionistobeissuedupon findingaviolationoftheSunshineLaw,itisirrelevantthattheTrusteesnullifiedtheirprior[offending]action.);Doranv.NorthmontBd.of Educ.,153OhioApp.3d499,2003Ohio4084(2ndDist.)(DoranII);Beiselv.MonroeCountyBd.ofEduc.,No.CA678(7thDist.1990). 928 Courtsfindingthatviolationscannotbecured:DanisMontcoLandfillCo.v.JeffersonTwp.ZoningCommn,85OhioApp.3d494(2ndDist. 1993); M.F. Mon. Waste Ventures, Inc. v. Bd. of Amanda Twp. Trs., No. 18746 (3rd Dist. 1988); Gannett Satellite Info. Network, Inc. v. Chillicothe City Sch. Dist. Bd. of Educ., 41 Ohio App.3d 218, 221 (4th Dist. 1988) (A violation of the Sunshine Law cannot be cured by subsequent open meetings if the public body initially discussed matters in executive session that should have been discussed before the public.).Courtsfindingviolationscanbecured:Stateexrel.CincinnatiEnquirerv.HamiltonCountyCmmr,2002Ohio2038(1stDist.);Theile v.Harris,No.C860103(1stDist.1986);Kuhlmanv.Vill.ofLeipsic,No.12949(3rdDist.1995);Carpenterv.Bd.ofCommr,No.18133(3rd Dist.1982);Foxv.CityofLakewood,39OhioSt.3d19(1988);Beiselv.MonroeCountyBd.ofEduc.,No.CA678(7thDist.1990)(discussinga permittedmatterinexecutivesession,withoutapropermotion,wascuredbyrescindingtheresultingaction,andthenconductingtheactionin compliancewiththeOMA);Brownfieldv.Bd.ofEduc.,No.89CA_26(4thDist.1990). 929 Stateexrel.Longv.CouncilofCardington,92OhioSt.3d54,2001Ohio130;Stateexrel.FairfieldLeaderv.Ricketts,56OhioSt.3d97(1990). 930 Stateexrel.VindicatorPrintingCo.v.Kirila,No.91T4550(11thDist.1991)(overruledonothergrounds). 931 R.C. 121.22(I)(4); State ex rel. Newell v. City of Jackson, 118 Ohio St.3d 138, 2008Ohio1965, 814 (to be entitled to a writ of quo warrantotooustagoodfaithappointee,arelatormusteitherfileaquowarrantoactionoraninjunctionchallengingtheappointmentbefore theappointeecompletestheprobationaryperiodandbecomesapermanentemployee;further,thisdutyappliestoallegedviolationsofthe openmeetingprovisionsofR.C.121.22);Randlesv.Hill,66OhioSt.3d32(1993);McClarrenv.CityofAlliance,No.CA7201(5thDist.1987). 932 R.C.121.22(H);Bd.ofTrs.oftheTobaccoUsePrevention&ControlFoundationv.Boyce,127OhioSt.3d511,2010Ohio6207,2829; Stateexrel.Hollidayv.MarionTwp.Bd.ofTrs.,2000Ohio1877(3rdDist.). 933 Jonesv.BrookfieldTwp.Trs.,No.92T4692(11thDist.1995);Robertov.BrownCountyGen.Hosp.,No.CA8706009(12thDist.1988). 934 Robertov.BrownCountyGen.Hosp,No.CA8706009(12thDist.1988). 935 MansfieldCityCouncilv.RichlandCountyCouncilAFLCIO,No.03CA55(5thDist.2003);seealsoPiekutowskiv.S.Cent.OhioEduc.Serv.Ctr. GoverningBd., 161Ohio App.3d 372, 2005Ohio2868,19 (4thDist.)(inanexecutivesession,board membersgavepersonalopinionsand
927
Page99
session about whether to take action on a union request, they improperly took formal action during the executive session when they decided not to take action on the request and to announceasmuchviaapressrelease.Thosedecisionsweredeemedinvalidandofnoeffect.936 In addition, even a formal action taken in an open meeting may be invalid if it results from deliberationsthatimproperlyoccurredoutsideofanopenmeeting,e.g.,ataninformal,private meetingorinanexecutivesessionthatwasheldforotherthananauthorizedpurpose.937
b.
ImproperNotice
Aformalactiontakenbyapublicbodyinameetingforwhichitdidnotproperlygivenoticeis invalid.938
c.
Minutes
Atleastonecourthasfoundthatminutesaremerelytherecordofactions;theyarenotactions inandofthemselves.Thus,failuretoproperlyapproveminutesdoesnotinvalidatetheactions takenduringthemeeting.939
2.
MandatoryCivilForfeiture
Ifthecourtissuesaninjunction,thecourtwillorderthepublicbodytopayacivilforfeitureof$500 tothepersonwhofiled theaction.940Courtsthatfindthata publicbodyhasviolatedthelawon repeatedoccasionshaveawardeda$500civilforfeitureforeachviolation.941
3.
CourtCostsandAttorneyFees
If the court issues an injunction, it will order the public body to pay all court costs942 and the reasonableattorneyfeesofthepersonwhofiledtheaction.943Courtshavediscretiontoreduceor completely eliminate attorney fees, however, if they find that, (1) based on the state of the law whentheviolationoccurred,awellinformedpublicbodycouldhavereasonablybelieveditwasnot violatingthelaw;and(2)itwasreasonableforthepublicbodytobelieveitsactionsservedpublic policy.944 Ifthecourtdoesnotissueaninjunctionanddeemsthelawsuittohavebeenfrivolous,thecourtwill order the person who filed the suit to pay all of the public bodys court costs and reasonable attorneyfeesasdeterminedbythecourt.945
indicatedhowtheywouldvoteonaproposaltocreatenewschooldistrict;resolutiontoadoptproposalwasdeemedinvalid,thoughitwasalso lateradoptedinopensession). 936 MansfieldCityCouncilv.RichlandCountyCouncilAFLCIO,No.03CA55(5thDist.2003). 937 R.C.121.22(H);MansfieldCityCouncilv.RichlandCountyCouncilAFLCIO,No.03CA55(5thDist.2003)(councilreacheditsconclusionbased oncommentsinexecutivesessionandactedaccordingtothatconclusion);Stateexrel.Hollidayv.MarionTwp.Bd.ofTrs.,2000Ohio1877 (3rdDist.);seealsoStateexrel.Delphv.Barr,44OhioSt.3d77(1989). 938 R.C.121.22(H);seealsoStateexrel.Stillerv.ColumbianaExemptedVill.Sch.Dist.Bd.ofEduc.,74OhioSt.3d113,118(1995);butseeHoops v.JerusalemTwp.Bd.ofTrs.,No.L971240(6thDist.1998)(illustratingthatactionsarenotinvalidmerelybecauseareasonablemethodof noticehadnotbeenenactedbyrule);Barberv.TwinsburgTwp.,73OhioApp.3d587(9thDist.1992). 939 Davidsonv.HangingRock,97OhioApp.3d723,733(4thDist.1994). 940 R.C.121.22(I)(2)(a). 941 Spechtv.Finnegan,2002Ohio4660(6thDist.);Manoggv.Stickle,No.98CA00102(5thDist.1998),distinguishedbyDoranv.NorthmontBd. ofEduc.,2003Ohio7097,18(2ndDist.)(DoranIII)(determiningthatthefailuretoadoptruleisoneviolationwithone$500finefinenot assessedforeachmeetingconductedinabsenceofrulewheremeetingswere,infact,properlynoticedandheldinanopenforum);Weisbarth v.Geauga,2007Ohio6728,30(11thDist.)(theonlyviolationallegedwasBoardsfailuretostateaprecisestatutoryreasonforgoinginto executivesession;thistechnicalviolationentitledappellanttoonlyonestatutoryinjunctionandonecivilforfeiture). 942 R.C.121.22(I)(2)(a). 943 R.C.121.22(I)(2)(a);Stateexrel.Longv.CouncilofCardington,92OhioSt.3d54,60,2001Ohio130and93OhioSt.3d1230,2001Ohio1888 (awardingacitizenover$17,000inattorneysfees);CincinnatiEnquirerv.Cincinnati,145OhioApp.3d335,339(1stDist.2001). 944 R.C.121.22(I)(2)(a)(i),(ii);MansfieldCityCouncilv.RichlandCountyCouncilAFLCIO,No.03CA55(5thDist.2003);butseeMathewsv.E. LocalSch.Dist.,2001Ohio2372(4thDist.)(wheretwoboardmembersknewnottotakeformalactionduringexecutivesession,theboardwas notentitledtoreduction). 945 R.C.121.22(I)(2)(b);McIntyrev.WestervilleCitySch.Dist.Bd.ofEduc.,Nos.90AP1024,90AP1063(10thDist.1991)(aplaintiffengagedin frivolousconductbecauseheractionssubjectedtheboardtoabaselesssuitandtheincurringofneedlessexpense).
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APPENDIXA
Statutes:PublicRecords,OpenMeetings& PersonalInformationSystemsActs1
RecordsStatutes 9.01 Methodsformakingrecords,copies,andreproductions............................................[A3] 109.43 Trainingforelectedofficialsorappropriatedesigneesregarding publicrecordslawandsunshinelaws..........................................................................[A4] 121.211 Retentionperiodsforrecords ......................................................................................[A5] . 149.011 Definitions.....................................................................................................................[A5] 149.31 Archivesadministration................................................................................................[A6] 149.33 Staterecordsprogram..................................................................................................[A7] 149.331 Functionsofstaterecordsprogram.............................................................................[A7] 149.332 Recordsmanagementprogramsinthelegislativeandjudicialbranches....................[A8] 149.333 Applicationsforrecordsdisposalortransfer;schedulesofretention anddestruction.............................................................................................................[A9] 149.34 Recordsmanagementproceduresforallstateagencies.............................................[A9] 149.35 Lawsprohibitingthedestructionofrecords...............................................................[A10] 149.351 Prohibitionagainstdestructionordamageofrecords...............................................[A10] 149.352 Replevinofpublicrecordsunlawfullyremoved.........................................................[A11] 149.36 Authoritynotrestricted..............................................................................................[A11] 149.38 Countyrecordscommission.......................................................................................[A11] 149.39 Municipalrecordscommission...................................................................................[A13] 149.40 Onlynecessaryrecordstobemade............................................................................[A13] 149.41 Schooldistrictandeducationalservicecenterrecordscommissions........................[A13] 149.411 Libraryrecordscommissionineachpubliclibrary.....................................................[A14] 149.412 Specialtaxingdistrictrecordscommission.................................................................[A14] 149.42 Townshiprecordscommission...................................................................................[A15] 149.43 Availabilityofpublicrecords ......................................................................................[A15] . 149.431 Financialrecordsofnonprofitorganizationsreceivinggovernmental funds;confidentialityofpatientandclientrecords...................................................[A27] 149.432 Releaseoflibraryrecordorpatroninformation........................................................[A28] 149.433 Exemptionofsecurityandinfrastructurerecords......................................................[A29] 149.434 Databaseorlistofnamesandbirthdatesofpersonselectedto oremployedbythatpublicoffice...............................................................................[A30] 149.44 Availabilityofrecordsincentersandarchivalinstitutions.........................................[A31] MeetingStatutes 121.22 Meetingsofpublicbodiestobepublic;exceptions...................................................[A31]
EditorsNote:ThesesectionsoftheOhioRevisedCodearecurrentasofJanuary1,2013. PageA1
APPENDIXA
PersonalInformationStatutes 149.45 Redacting,encrypting,ortruncatingpersonalinformation; requestbyprotectedindividual .................................................................................[A37] . 319.28 Generaltaxlistandgeneralduplicateofrealandpublicutilityproperty; numberingsystem;requestbyprotectedindividualforuseofinitials......................[A39] 1347.01 PersonalInformationSystemsAct:Definitions..........................................................[A41] 1347.04 Exemptions.................................................................................................................[A42] 1347.05 Dutiesofstateandlocalagencies..............................................................................[A43] 1347.06 Rules............................................................................................................................[A44] 1347.07 Useofpersonalinformation.......................................................................................[A44] 1347.071 Interconnectedorcombinedsystems........................................................................[A44] 1347.08 Rightsofsubjectofpersonalinformation..................................................................[A45] 1347.09 Disputedinformation;dutiesofagency.....................................................................[A47] 1347.10 Liabilityforwrongfuldisclosure;limitationofaction.................................................[A48] 1347.12 Disclosureornotificationbystateorlocalagencyofbreachofsecurity ofpersonalinformationsystem .................................................................................[A48] . 1347.15 Stateagenciestoadoptrulesregulatingsuccesstoconfidentialpersonal information;privacyimpactassessmentform;civilactionforharm resultingfromviolation..............................................................................................[A53] 1347.99 Penalties .....................................................................................................................[A55] .
PageA2
APPENDIXA
OhioRevisedCode9.01Methodsformakingrecords, copies,andreproductions
Whenanyofficer,office,court,commission,board,institution,department,agent,oremployeeofthe state, of a county, or of any other political subdivision who is charged with the duty or authorized or requiredbylawtorecord,preserve,keep,maintain,orfileanyrecord,document,plat,courtfile,paper, orinstrumentinwriting,ortomakeorfurnishcopiesofanyofthem,deemsitnecessaryoradvisable, whenrecordingormakingacopyorreproductionofanyofthemorofanysuchrecord,forthepurpose of recording or copying, preserving, and protecting them, reducing space required for storage, or any similar purpose, to do so by means of any photostatic, photographic, miniature photographic, film, microfilm, or microphotographic process, or perforated tape, magenetic tape, other magnetic means, electronicdataprocessing,machinereadablemeans,orgraphicorvideodisplay,oranycombinationof those process, means, or displays, which correctly and accurately copies, records, or reproduces, or providesamediumofcopying,recording,orreproducing,theoriginalrecord,document,plat,courtfile, paper, or instrument in writing, such use of any of those processes, means, or displays for any such purpose is hereby authorized. Any such records, copies, or reproductions may be made in duplicate, and the duplicates shall be stored in different buildings. The film or paper used for a process shall comply with the minimum standards of quality approved for permanent photographic records by the national bureau of standards. All such records, copies, or reproductions shall carry a certificate of authenticity and completeness, on a form specified by the director of administrative services through thestaterecordsprogram. Any such officer, office, court, commission, board, institution, department, agent, or employee of the state,ofacounty,orofanyotherpoliticalsubdivisionmaypurchaseorrentrequiredequipmentforany suchphotographicprocessandmayenterintocontractswithprivateconcernsorothergovernmental agencies for the development of film and the making of reproductions of film as a part of any such photographicprocess.Whensorecorded,orcopiesorreproducedtoreducespacerequiredforstorage or filing of such records, such photographs, microphotographs, microfilms, perforated tape, magnetic tape, other magnetic means, electronic data processing, machine readable means, graphic or video display,orcombinationoftheseprocesses,means,ordisplays,orfilms,orprintsmadetherefrom,when properly identified by the officer by whom or under whose supervision they were made, or who has theircustody,havethesameeffectatlawastheoriginalrecordorofarecordmadebyanyotherlegally authorized means, and may be offered in like manner and shall be received in evidence in any court where the original record, or record made by other legally authorized means, could have been so introduced and received. Certified or authenticated copies or prints of such photographs, microphotographs,films,microfilms,perforatedtape,magnetictape,othermagneticmeans,electronic dataprocessing,machinereadablemeans,graphicorvideodisplay,orcombinationoftheseprocesses, means,ordisplays,shallbeadmittedinevidenceequallywiththeoriginal. Such photographs, microphotographs, microfilms, or films shall be placed and kept in conveniently accessible, fireproof, and insulated files, cabinets, or containers, and provisions shall be made for preserving, safekeeping, using, examining, exhibiting, projecting, and enlarging them whenever requested,duringofficehours. All persons utilizing methods described in this section for keeping records and information shall keep and make readily available to the public the machines and equipment necessary to reproduce the recordsandinformationinareadableform. MostRecentEffectiveDate:09262003
PageA3
APPENDIXA
OhioRevisedCode109.43Trainingforelectedofficialsor appropriatedesigneesregardingpublicrecordslawand sunshinelaws

(A)Asusedinthissection: (1) Designeemeansadesigneeoftheelectedofficialinthepublicofficeifthatelectedofficialis theonlyelectedofficialinthepublicofficeinvolvedoradesigneeofalloftheelectedofficialsin thepublicoffifthepublicofficeinvolvedincludesmorethanoneelectedofficial. (2) Electedofficialmeansanofficialelectedtoalocalorstatewideoffice.Electedofficialdoes not include the chief justice or a justice of the supreme court, a judge of a court of appeals, courtofcommonpleas,municipalcourt,orcountycourt,oraclerkofanyofthosecourts. (3) Publicofficehasthesamemeaningasinsection149.011[149.01.1]oftheRevisedCode. (4) Publicrecordhasthesamemeaningasinsection149.43oftheRevisedCode. (B) The attorney general shall develop, provide, and certify training programs and seminars for all electedofficialsortheirappropriatedesigneesinordertoenhancetheofficialsknowledgeoftheduty toprovideaccesstopublicrecordsasrequiredbysection149.43oftheRevisedCode.Thetrainingshall be three hours for every term of office for which the elected official was appointed or elected to the public office involved. The training shall provide elected officials or their appropriate designees with guidance in developing and updating their offices policies as required under section 149.43 of the Revised Code. The successful completion by an elected official or by an elected officials appropriate designeeofthetrainingrequirementsestablishedbytheattorneygeneralunderthissectionshallsatisfy theeducationrequirementsimposedonelectedofficialsortheirappropriatedesigneesunderdivision (E)ofsection149.43oftheRevisedCode.Priortoprovidingthetrainingprogramsandseminarsunder this section to satisfy the education requirements imposed on elected officials or their appropriate designees under division (E) of section 149.43 of the Revised Code, the attorney general shall ensure that the training programs and seminars are accredited by the commission on continuing legal educationestablishedbythesupremecourt. (C)Theattorneygeneralshallnotchargeanyelectedofficialortheappropriatedesigneeofanyelected official any fee for attending the training programs and seminars that the attorney general conducts underthissection.Theattorneygeneralmayallowtheattendanceofanyotherinterestedpersonsat anyofthetrainingprogramsorseminarsthattheattorneygeneralconductsunderthissectionandshall notchargethepersonanyfeeforattendingthetrainingprogramorseminar. (D) In addition to developing, providing, and certifying training programs and seminars as required under division (B) of this section, the attorney general may contract with one or more other state agencies,politicalsubdivisions,orotherpublicorprivateentitiestoconductthetrainingprogramsand seminars for elected officials or their appropriate designees under this section. The contract may providefortheattendanceofanyotherinterestedpersonsatanyofthetrainingprogramsorseminars conductedbythecontractingstateagency,politicalsubdivision,orotherpublicorprivateentity.The
OhioAttorneyGeneralMikeDeWineOhioSunshineLaws2013:AnOpenGovernmentResourceManual PageA4
APPENDIXA
contracting state agency, political subdivision, or other public or private entity may charge an elected official, an elected officials appropriate designee, or an interested person a registration fee for attendingthetrainingprogramorseminarconductedbythatcontractingagency,politicalsubdivision, orentitypursuanttoacontractenteredintounderthisdivision.Theattorneygeneralshalldeterminea reasonableamountfortheregistrationfeebasedontheactualandnecessaryexpensesassociatedwith thetrainingprogramsandseminars.Ifthecontractingstateagency,politicalsubdivision,orotherpublic or private entity charges an elected official or an elected officials appropriate designee a registration feeforattendingthetrainingprogramorseminarconductedpursuanttoacontractenteredintounder this division by that contracting agency, political subdivision, or entity, the public office for which the electedofficialwasappointedorelectedtorepresentmayusethepublicofficesownfundstopayfor thecostoftheregistrationfee. (E)Theattorneygeneralshalldevelopandprovidetoallpublicofficesamodelpublicrecordspolicyfor respondingtopublicrecordsrequestsincompliancewithsection149.43oftheRevisedCodeinorderto provideguidancetopublicofficesindevelopingtheirownpublicrecordpoliciesforrespondingtopublic recordsrequestsincompliancewiththatsection. (F) The attorney general may provide any other appropriate training or education programs about OhiosSunshineLaws,sections121.22,149.38,149.381,and149.43oftheRevisedCode,asmaybe developedandofferedbytheattorneygeneralorbytheattorneygeneralincollaborationwithoneor moreotherstateagencies,politicalsubdivisions,orotherpublicorprivateentities. (G) The auditor of state, in the course of an annual or biennial audit of a public office pursuant to Chapter 117. Of the Revised Code, shall audit the public office for compliance with this section and division(E)ofsection149.43oftheRevisedCode. MostRecentEffectiveDate:09292011
OhioRevisedCode121.211Retentionperiodsforrecords
Records in the custody of each agency shall be retained for time periods in accordance with law establishing specific retention periods, and in accordance with retention periods or disposition instructionsestablishedbythestaterecordsadministration. MostRecentEffectiveDate:07011985
OhioRevisedCode149.011Definitions
Asusedinthischapter,exceptasotherwiseprovided: (A)Publicofficeincludesanystateagency,publicinstitution,politicalsubdivision,orotherorganized body, office, agency, institution, or entity established by the laws of this state for the exercise of any function of government. Public office does not include the nonprofit corporation formed under section187.01oftheRevisedCode.
APPENDIXA
(B) State agency includes every department, bureau, board, commission, office, or other organized body established by the constitution and laws of this state for the exercise of any function of state government, including any statesupported institution of higher education, the general assembly, any legislative agency, any court or judicial agency, or any political subdivision or agency of a political subdivision.Stateagencydoesnotincludethenonprofitcorporationformedundersection187.01of theRevisedCode. (C) Public money includes all money received or collected by or due a public official, whether in accordancewithorunderauthorityofanylaw,ordinance,resolution,ororder,undercolorofoffice,or otherwise. It also includes any money collected by any individual on behalf of a public office or as a purportedrepresentativeoragentofthepublicoffice. (D) Public official includes all officers, employees, or duly authorized representatives or agents of a publicoffice. (E) Color of office includes any act purported or alleged to be done under any law, ordinance, resolution,order,orotherpretensiontoofficialright,power,orauthority. (F) Archive includes any public record that is transferred to the state archives or other designated archivalinstitutionsbecauseofthehistoricalinformationcontainedonit. (G) Records includes any document, device, or item, regardless of physical form or characteristic, includinganelectronicrecordasdefinedinsection1306.01oftheRevisedCode,createdorreceivedby orcomingunderthejurisdictionofanypublicofficeofthestateoritspoliticalsubdivisions,whichserves todocumenttheorganization,functions,policies,decisions,procedures,operations,orotheractivities oftheoffice. MostRecentEffectiveDate:02182011
OhioRevisedCode149.31Archivesadministration
(A) The Ohio historical society, in addition to its other functions, shall function as the state archives administrationforthestateanditspoliticalsubdivisions. It shall be the function of the state archives administration to preserve government archives, documents, and records of historical value that may come into its possession from public or private sources. Thearchivesadministrationshallevaluate,preserve,arrange,servicerepair,ormakeotherdisposition of,includingtransfertopubliclibraries,countyhistoricalsocieties,stateuniversities,orotherpublicor quasipublic institutions, agencies, or corporations, those public records of the state and its political subdivisions that may come into its possession under this section. Those public records shall be transferred by written agreement only, and only to public or quasipublic institutions, agencies, or corporationscapableofmeetingacceptedarchivalstandardsforhousinganduse.
APPENDIXA
The archives administration shall be headed by a trained archivist designated by the Ohio historical societyandshallmakeitsservicesavailabletocounty,municipal,township,schooldistrict,library,and specialtaxingdistrictrecordscommissionsuponrequest.Thearchivistshallbedesignatedasthestate archivist. (B)Thearchivesadministrationmaypurchaseorprocureforitself,orauthorizetheboardoftrusteesof anarchivalinstitutiontopurchaseorprocure,fromaninsurancecompanylicensedtodobusinessinthis statepoliciesofinsuranceinsuringtheadministrationorthemembersoftheboardandtheirofficers, employees,andagentsagainstliabilityonaccountofdamageorinjurytopersonsandpropertyresulting from any act or omission of the board members, officers, employees, and agents in their official capacity. (C)NotwithstandinganyotherprovisionoftheRevisedCodetothecontrary,thearchivesadministration mayestablishafeeschedule,whichmayincludethecostoflabor,forresearching,retrieving,copying, andmailingcopiesofpublicrecords. MostRecentEffectiveDate:09292007
OhioRevisedCode149.33Staterecordsprogram
(A) The department of administrative services shall have responsibility for establishing and administeringastaterecordsprogramforallstateagencies,exceptforstatesupportedinstitutionsof higher education. The department shall apply efficient and economical management methods to the creation,utilization,maintenance,retention,preservation,anddispositionofstaterecords. Thereisherebyestablishedwithinthedepartmentofadministrativeservicesastaterecordsprogram, which shall be under the control and supervision of the director of administrative services or the directorsappointeddeputy. (B) The boards of trustees of statesupported institutions of higher education shall have full responsibilityforestablishingandadministeringarecordsprogramfortheirrespectiveinstitutions.The boards shall apply efficient and economical management methods to the creation, utilization, maintenance,retention,preservation,anddispositionoftherecordsoftheirrespectiveinstitutions. MostRecentEffectiveDate:09262003
OhioRevisedCode149.331Functionsofstaterecords program
Thestaterecordsprogramofthedepartmentofadministrativeservicesshalldoallofthefollowing: (A) Establish and promulgate in consultation with the state archivist standards, procedures, and techniquesfortheeffectivemanagementofstaterecords;
APPENDIXA
(B) Review applications for onetime records disposal and schedules of records retention and destruction submitted by state agencies in accordance with section 149.333 [149.33.3] of the Revised Code; (C)Establishgeneralschedulesproposingthedisposal,afterthelapseofspecifiedperiodsoftime,of recordsofspecifiedformorcharactercommontoseveralorallagenciesthateitherhaveaccumulated ormayaccumulateinsuchagenciesandthatapparentlywillnot,afterthelapseoftheperiodsspecified, have sufficient administrative, legal, fiscal, or othervalue to warrant their further preservation by the state; (D) Establish and maintain a records management training program, and provide a basic consulting service,forpersonnelinvolvedinrecordmakingandrecordkeepingfunctionsofdepartments,offices, andinstitutions; (E) Provide for the disposition of any remaining records of any state agency, board, or commission, whether in the executive, judicial, or legislative branch of government, that has terminated its operations.AftertheclosingoftheOhioveteranschildrenshome,theresidentrecordsofthehome and the resident records of the home when it was known as the soldiers and sailors orphans home requiredtobemaintainedbyapprovedrecordsretentionschedulesshallbeadministeredbythestate departmentofeducationpursuanttothischapter,theadministrativerecordsofthehomerequiredto be maintained by approved records retention schedules shall be administered by the department of administrativeservicespursuanttothischapter,andhistoricalrecordsofthehomeshallbetransferred toanappropriatearchivalinstitutioninthisstateprescribedbythestaterecordsprogram. (F)Establishacentralizedprogramcoordinatingmicrographicsstandards,training,andservicesforthe benefitofallstateagencies; (G)Establishandpublishinaccordancewiththeapplicablelawnecessaryproceduresandrulesforthe retentionanddisposalofstaterecords. This section does not apply to the records of statesupported institutions of higher education, which shallkeeptheirownrecords. MostRecentEffectiveDate:09262003
OhioRevisedCode149.332Recordsmanagement programsinthelegislativeandjudicialbranches
Uponrequestthedirectorofadministrativeservicesandthestatearchivistshallassistandadviseinthe establishment of records management programs in the legislative and judicial branches of state governmentandshall,asrequiredbythem,provideprogramservicessimilartothoseavailabletothe executive branch under section 149.33 of the Revised Code. Prior to the disposal of any records, the statearchivistshallbeallowedsixtydaystoselectforpreservationinthestatearchivesthoserecords thestatearchivistdeterminestohavecontinuinghistoricalvalue.
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MostRecentEffectiveDate:09262003
OhioRevisedCode149.333Applicationsforrecords disposalortransfer;schedulesofretentionanddestruction
Nostateagencyshallretain,destroy,orotherwisetransferitsstaterecordsinviolationofthissection. Thissectiondoesnotapplytostatesupportedinstitutionsofhighereducation. Each state agency shall submit to the state records program under the director of administrative servicesallapplicationsforrecordsdisposalortransferandallschedulesandprovidewrittenapproval, rejection,ormodificationofanapplicationorschedule.Thestaterecordsprogramshallthenforward the application for records disposal or transfer or the schedule for retention or destruction, with the programsrecommendationattached,totheauditorofstateforreviewandapproval.Thedecisionof theauditorofstatedisapprovestheactionbythestateagency,theauditorofstateshallsoinformthe state agency through the state records program within sixty days, and the records shall not be destroyed. At the same time, the state records program shall forward the application for records disposal or transferorthescheduleforretentionordestructiontothestatearchivistforreviewandapproval.The state archivist shall have sixty days to select for custody the state records that the state archivist determinestobeofcontinuinghistoricalvalue.Recordsnotselectedshallbedisposedofinaccordance withthissection. MostRecentEffectiveDate:09262003
OhioRevisedCode149.34Recordsmanagement proceduresforallstateagencies
Theheadofeachstateagency,office,institution,board,orcommissionshalldothefollowing: (A) Establish, maintain, and direct an active continuing program for the effective management of the recordsofthestateagency; (B) Submit to the state records program, in accordance with applicable standards and procedures, schedulesproposingthelengthoftimeeachrecordserieswarrantsretentionforadministrative,legal, orfiscalpurposesafterithasbeenreceivedorcreatedbytheagency.Theheadalsoshallsubmittothe staterecordsprogramapplicationsfordisposalofrecordsintheheadscustodythatarenotneededin thetransactionofcurrentbusinessandarenototherwisescheduledforretentionordestruction. (C) Within one year after their date of creation or receipt, schedule all records for disposition or retentioninthemannerprescribedbyapplicablelawandprocedures. Thissectiondoesnotapplytostatesupportedinstitutionsofhighereducation.
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OhioRevisedCode149.35Lawsprohibitingthedestruction ofrecords
If any law prohibits the destruction of records, the director of administrative services, the directors designee,or the boardsoftrusteesof statesupportedinstitutionsofhighereducationshallnotorder their destruction or other disposition. If any law provides that records shall be kept for a specified periodoftime,thedirectorofadministrativeservices,thedirectorsdesignee,ortheboardsshallnot ordertheirdestructionorotherdispositionpriortotheexpirationofthatperiod. MostRecentEffectiveDate:09262003
OhioRevisedCode149.351Prohibitionagainstdestruction ordamageofrecords
(A) All records are the property of the public office concerned and shall not be removed, destroyed, mutilated,transferred,orotherwisedamagedordisposedof,inwholeorinpart,exceptasprovidedby law or under the rules adopted by the records commissions provided for under sections 149.38 to 149.42 of the Revised Code or under the records programs established by the boards of trustees of statesupported institutions of higher education under section 149.33 of the Revised Code. Such records shall be delivered by outgoing officials and employees to their successors and shall not be otherwiseremoved,destroyed,mutilated,ortransferredunlawfully. (B) Any person who is aggrieved by the removal, destruction, mutilation, or transfer of, or by other damage to or disposition of a record in violation of division (A) of this section, or by threat of such removal, destruction, mutilation, transfer, or other damage to or disposition of such a record, may commenceeitherorbothofthefollowinginthecourtofcommonpleasofthecountyinwhichdivision (A)ofthissectionallegedlywasviolatedoristhreatenedtobeviolated: (1) Acivilactionforinjunctiverelieftocompelcompliancewithdivision(A)ofthissection,andto obtainanawardofthereasonableattorneysfeesincurredbythepersoninthecivilaction; (2) Acivilactiontorecoveraforfeitureintheamount ofonethousanddollarsforeachviolation, butnottoexceedacumulativetotaloftenthousanddollars,regardlessofthenumberofviolations, andtoobtainanawardofthereasonableattorneysfeesincurredbythepersoninthecivilaction nottoexceedtheforfeitureamountrecovered. (C) (1) A person is not aggrieved by a violation of division (A) of this section if clear and convincing evidenceshowsthattherequestforarecordwascontrivedasapretexttocreatepotentialliability underthissection.Thecommencementofacivilactionunderdivision(B)ofthissectionwaivesany rightunderthischaptertodeclinetodivulgethepurposeforrequestingtherecord,butonlytothe
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extent needed to evaluate whether the request was contrived as a pretext to create potential liabilityunderthissection. (2)Inacivilactionunderdivision(B)ofthissection,ifclearandconvincingevidenceshowsthatthe request for a record was a pretext to create potential liability under this section, the court may awardreasonableattorneysfeestoanydefendantordefendantsintheaction. (D)Onceapersonrecoversaforfeitureinacivilactioncommencedunderdivision(B)(2)ofthissection, nootherpersonmayrecoveraforfeitureunderthatdivisionforaviolationofdivision(A)ofthissection involvingthesamerecord,regardlessofthenumberofpersonsaggrievedbyaviolationofdivision(A)of thissectionorthenumberofcivilactionscommencedunderthissection. (E) A civil action for injunctive relief under division (B)(1) of this section or a civil action to recover a forfeiture under division (B)(2) of this section shall be commenced within five years after the day in whichdivision(A)ofthissectionwasallegedlyviolatedorwasthreatenedtobeviolated. MostRecentEffectiveDate:09292011
OhioRevisedCode149.352Replevinofpublicrecords unlawfullyremoved
Upon request of the department of administrative services, the attorney general may replevin any public records which have been unlawfully transferred or removed in violation of sections 149.31 to 149.44 of the Revised Code or otherwise transferred or removed unlawfully. Such records shall be returned to the office of origin and safeguards shall be established to prevent further recurrence of unlawfultransferorremoval. MostRecentEffectiveDate:07011985
OhioRevisedCode149.36Authoritynotrestricted
Theprovisionsofsections149.31to149.42,inclusive,oftheRevisedCodeshallnotimpairorrestrictthe authority given by other statutes over the creation of records, forms, procedures, or the control over purchasesofequipmentbypublicoffices. MostRecentEffectiveDate:10191959
OhioRevisedCode149.38Countyrecordscommission
(A)Exceptasotherwiseprovidedinsection307.847oftheRevisedCode,thereisherebycreatedineach countyacountyrecordscommission,composedofamemberoftheboardofcountycommissionersas chairperson,theprosecutingattorney,theauditor,therecorder,andtheclerkofthecourtofcommon pleas.Thecommissionshallappointasecretary,whomayormaynotbeamemberofthecommission
APPENDIXA
and who shall serve at the pleasure of the commission. The commission may employ an archivist or recordsmanagertoserveunderitsdirection.Thecommissionshallmeetatleastonceeverysixmonths anduponcallofthechairperson. (B)Thefunctionsofthecountyrecordscommissionshallbetoproviderulesforretentionanddisposal of records of the county and to review applications for onetime disposal of obsolete records and schedules of records retention and disposition submitted by county offices. The commission may disposeofrecordspursuanttotheprocedureoutlinedinthissection.Thecommission,atanytime,may reviewanyscheduleithaspreviouslyapprovedand,forgoodcauseshown,mayrevisethatschedule, subjecttodivision(D)ofthissection. (C) (1)Whenthecountyrecordscommissionhasapprovedanycountyapplicationforonetimedisposal ofobsoleterecordsoranyscheduleofrecordsretentionanddisposition,thecommissionshallsend thatapplicationorscheduletotheOhiohistoricalsocietyforitsreview.TheOhiohistoricalsociety shallreviewtheapplicationorschedulewithinaperiodofnotmorethansixtydaysafteritsreceipt ofit.Duringthesixtydayreviewperiod,theOhiohistoricalsocietymayselectforitscustodyfrom theapplicationforonetimedisposalofobsoleterecordsanyrecordsitconsiderstobeofcontinuing historical value, and shall denote upon any schedule of records retention and disposition any records for which the Ohio historical society will require a certificate of records disposal prior to theirdisposal. (2)Uponcompletionofitsreview,theOhiohistoricalsocietyshallforwardtheapplicationforone timedisposalofobsoleterecordsorthescheduleofrecordsretentionanddispositiontotheauditor ofstatefortheauditorsapprovalordisapproval.Theauditorofstateshallapproveordisapprove theapplicationorschedulewithinaperiodofnotmorethansixtydaysafterreceiptofit. (3) Before public records are to be disposed of pursuant to an approved schedule of records retentionanddisposition,thecountyrecordscommissionshallinformtheOhiohistoricalsocietyof thedisposalthroughthesubmissionofacertificateofrecordsdisposalforonlytherecordsrequired bythescheduletobedisposedofandshallgivethesocietytheopportunityforaperiodoffifteen businessdaystoselectforitscustodythoserecords,fromthecertificatesubmitted,thatitconsiders to be of continuing historical value. Upon the expiration of the fifteenbusinessday period, the county records commission also shall notify the public libraries, county historical society, state universities, and other public or quasipublic institutions, agencies, or corporations in the county that have provided the commission with their name and address for these notification purposes, that the commission has informed the Ohio historical society of the records disposal and that the notifiedentities,uponwrittenagreementwiththeOhiohistoricalsocietypursuanttosection149.31 oftheRevisedCode,mayselectrecordsofcontinuinghistoricalvalue,includingrecordsthatmaybe distributed toanyofthe notified entitiesundersection149.31oftheRevisedCode. Any notified entity that notifies the county records commission of its intent to review and select records of continuing historical value from certificates of records disposal is responsible for the cost of any noticegivenandforthetransportationofthoserecords. (D)Therulesofthecountyrecordscommissionshallincludearulethatrequiresanyreceipts,checks, vouchers,orothersimilarrecordspertainingtoexpendituresfromthedelinquenttaxandassessment collection fund created in section 321.261 [321.26.1] of the Revised Code, from the real estate
APPENDIXA
assessment fund created in section 325.31 of the Revised Code, or from amounts allocated for the furtheranceofjusticetothecountysheriffundersection325.071[325.07.1]oftheRevisedCodeorto theprosecutingattorneyundersection325.12oftheRevisedCodetoberetainedforatleastfouryears. (E) No person shall knowingly violate the rule adopted under division (D) of this section. Whoever violatesthatruleisguiltyofamisdemeanorofthefirstdegree. MostRecentEffectiveDate:09292011
OhioRevisedCode149.39Municipalrecordscommission
There is hereby created in each municipal corporation a records commission composed of the chief executiveorthechiefexecutivesappointedrepresentative,aschairperson,andthechieffiscalofficer, thechieflegalofficer,andacitizenappointedbythechiefexecutive.Thecommissionshallappointa secretary,whomayormaynotbeamemberofthecommissionandwhoshallserveatthepleasureof the commission. The commission may employ an archivist or records manager to serve under its direction. The commission shall meet at least once every six months and upon the call of the chairperson. Thefunctionsofthecommissionshallbetoproviderulesforretentionand disposalofrecordsofthe municipal corporation, and to review applications for onetime disposal of obsolete records and schedules of records retention and disposition submitted by municipal offices. The commission may dispose of records pursuant to the procedure outlined in section 149.381 of the Revised Code. The commission, at any time, may review any schedule it has previously approved and, for good cause shown,mayrevisethatscheduleundertheprocedureoutlinedinthatsection. MostRecentEffectiveDate:09292011
OhioRevisedCode149.40Onlynecessaryrecordstobe made
The head of each public office shall cause to be made only such records as are necessary for the adequateandproperdocumentationoftheorganization,functions,policies,decisions,procedures,and essentialtransactionsoftheagencyandfortheprotectionofthelegalandfinancialrightsofthestate andpersonsdirectlyaffectedbytheagencysactivities. MostRecentEffectiveDate:07011985
OhioRevisedCode149.41Schooldistrictandeducational servicecenterrecordscommissions
Thereisherebycreatedineachcity,local,jointvocational,andexemptedvillageschooldistrictaschool district records commission, and in each educational service center an educational service center
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recordscommission.Eachrecordscommissionshallbecomposedofthepresident,thetreasurerofthe board of education or governing board of the educational service center, and the superintendent of schools in each such district or educational service center. The commission shall meet at least once everytwelvemonths. Thefunctionofthecommissionshallbetoreviewapplicationsforonetimedisposalofobsoleterecords andschedulesofrecordsretentionanddispositionsubmittedbyanyemployeeoftheschooldistrictor educationalservicecenter.Thecommissionmaydisposeofrecordspursuanttotheprocedureoutlined insection149.381oftheRevisedCode.Thecommission,atanytime,mayreviewanyscheduleithas previouslyapprovedand,forgoodcauseshown,mayrevisethatscheduleundertheprocedureoutlined inthatsection. MostRecentEffectiveDate:09292011
OhioRevisedCode149.411Libraryrecordscommissionin eachpubliclibrary
Thereisherebycreatedineachcountyfreepubliclibrary,municipalfreepubliclibrary,townshipfree public library, school district free public library as described in section 3375.15 of the Revised Code, county library district, and regional library district a library records commission composed of the membersandthefiscalofficeroftheboardoflibrarytrusteesoftheappropriatepubliclibraryorlibrary district.Thecommissionshallmeetatleastonceeverytwelvemonths. The functions of the commission shall be to review applications for onetime disposal of obsolete records and schedules of records retention and disposition submitted by any employee of the library. Thecommissionmaydisposeofrecordspursuanttotheprocedureoutlined insection149.381ofthe RevisedCode.Thecommission,atanytime,mayreviewanyscheduleithaspreviouslyapprovedand, forgoodcauseshown,mayrevisethatscheduleundertheprocedureoutlinedinthatsection. MostRecentEffectiveDate:09292011
OhioRevisedCode149.412Specialtaxingdistrictrecords commission
Thereisherebycreatedineachspecialtaxingdistrictthatisapublicofficeasdefinedinsection149.011 oftheRevisedCodeandthatisnotspecificallydesignatedinsection149.38,149.39,149.41,149.411,or 149.42oftheRevisedCodeaspecialtaxingdistrictrecordscommissioncomposedof,ataminimum,the chairperson, a fiscal representative, and a legal representative of the governing board of the special taxingdistrict.Thecommissionshallmeetatleastonceeverytwelvemonthsanduponthecallofthe chairperson. The functions of the commission shall be to review applications for onetime disposal of obsolete records and schedules of records retention and disposition submitted by any employee of the special
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taxingdistrict.Thecommissionmaydisposeofrecordspursuanttotheprocedureoutlinedinsection 149.381oftheRevisedCode.Thecommission,atanytime,mayreviewanyscheduleithaspreviously approved and, for good cause shown, may revise that schedule under the procedure outlined in that section. MostRecentEffectiveDate:09292011
OhioRevisedCode149.42Townshiprecordscommission
Thereisherebycreatedineachtownshipatownshiprecordscommission,composedofthechairperson oftheboardoftownshiptrusteesandthefiscalofficerofthetownship.Thecommissionshallmeetat leastonceeverytwelvemonthsanduponthecallofthechairperson. Thefunctionofthecommissionshallbetoreviewapplicationsforonetimedisposalofobsoleterecords andschedulesofrecordsretentionanddispositionsubmittedbytownshipoffices.Thecommissionmay dispose of records pursuant to the procedure outlined in section 149.381 of the Revised Code. The commission, at any time, may review any schedule it has previously approved and, for good cause shown,mayrevisethatscheduleundertheprocedureoutlinedinthatsection. MostRecentEffectiveDate:09292011
OhioRevisedCode149.43Availabilityofpublicrecords
(A)Asusedinthissection: (1) Public record means records kept by any public office, including, but not limited to, state, county, city, village, township, and school district units, and records pertaining to the delivery of educationalservicesbyanalternativeschoolinthisstatekeptbythenonprofitorforprofitentity operating the alternative school pursuant to section 3313.533 [3313.53.3] of the Revised Code. Publicrecorddoesnotmeananyofthefollowing: (a)Medicalrecords; (b) Records pertaining to probation and parole proceedings or to proceedings related to the impositionofcommunitycontrolsanctionsandpostreleasecontrolsanctions; (c) Records pertaining to actions under section 2151.85 and division (C) of section 2919.121 [2919.12.1]oftheRevisedCodeandtoappealsofactionsarisingunderthosesections; (d) Records pertaining to adoption proceedings, including the contents of an adoption file maintainedbythedepartmentofhealthundersection3705.12oftheRevisedCode; (e) Information in a record contained in the putative father registry established by section 3107.062[3107.06.2]oftheRevisedCode,regardlessofwhethertheinformationisheldbythe
APPENDIXA
departmentofjobandfamilyservicesor,pursuanttosection3111.69oftheRevisedCode,the officeofchildsupportinthedepartmentorachildsupportenforcementagency; (f)Recordslistedindivision(A)ofsection3107.42oftheRevisedCodeorspecifiedindivision (A)ofsection3107.52oftheRevisedCode. (g)Trialpreparationrecords; (h)Confidentiallawenforcementinvestigatoryrecords; (i)Recordscontaininginformationthatisconfidentialundersection2710.03or4112.05ofthe RevisedCode; (j) DNA records stored in the DNA database pursuant to section 109.573 [109.57.3] of the RevisedCode; (k) Inmate records released by the department of rehabilitation and correction to the departmentofyouthservicesoracourtofrecordpursuanttodivision(E)ofsection5120.21of theRevisedCode; (l)Recordsmaintainedbythedepartmentofyouthservicespertainingtochildreninitscustody releasedbythedepartmentofyouthservicestothedepartmentofrehabilitationandcorrection pursuanttosection5139.05oftheRevisedCode; (m)Intellectualpropertyrecords; (n)Donorprofilerecords; (o) Records maintained by the department of job and family services pursuant to section 3121.894[3121.89.4]oftheRevisedCode; (p) Peace officer, parole officer, probation officer, bailiff, prosecuting attorney, assistant prosecuting attorney, correctional employee, communitybased correctional facility employee, youth services employee, firefighter, EMT, or investigator of the bureau of criminal identificationandinvestigationresidentialandfamilialinformation; (q)InthecaseofacountyhospitaloperatedpursuanttoChapter339.oftheRevisedCodeora municipal hospital operated pursuant to Chapter 749. of the Revised Code, information that constitutesatradesecret,asdefinedinsection1333.61oftheRevisedCode; (r)Informationpertainingtotherecreationalactivitiesofapersonundertheageofeighteen; (s)Recordsprovidedto,statementsmadebyreviewboardmembersduringmeetingsof,andall work products of a child fatality review board acting under sections 307.621 [307.62.1] to 307.629 [307.62.9] of the Revised Code, and child fatality review data submitted by the child fatality review board to the department of health or a national child death review database,
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other than the report prepared pursuant to division (A) of section 307.626 [307.62.6] of the RevisedCode; (t) Records provided to and statements made by the executive director of a public children servicesagencyoraprosecutingattorneyactingpursuanttosection5153.171[5153.17.1]ofthe RevisedCodeotherthantheinformationreleasedunderthatsection; (u) Test materials, examinations, or evaluation tools used in an examination for licensure as a nursing home administrator that the board of examiners of nursing home administrators administers undersection4751.04oftheRevisedCodeorcontractsunder thatsection witha privateorgovernmententitytoadminister; (v)Recordsthereleaseofwhichisprohibitedbystateorfederallaw; (w)Proprietaryinformationoforrelatingtoanypersonthatissubmittedtoorcompiledbythe Ohioventurecapitalauthoritycreatedundersection150.01oftheRevisedCode; (x)Informationreportedandevaluationsconductedpursuanttosection3701.072[3701.07.2]of theRevisedCode. (y) Financial statements and data any person submits for any purpose to the Ohio housing financeagencyorthecontrollingboardinconnectionwithapplyingfor,receiving,oraccounting for financial assistance from the agency, and information that identifies any individual who benefitsdirectlyorindirectlyfromfinancialassistantfromtheagency; (z)Recordslistedinsection5101.29oftheRevisedCode; (aa)Dischargesrecordedwithacountyrecorderundersection317.24oftheRevisedCode,as specifiedindivision(B)(2)ofthatsection; (bb) Usage information including names and addresses of specific residential and commercial customersofamunicipallyownedoroperatedpublicutility; (cc) Records described in division (C) of section 187.04 of the Revised Code that are not designatedtobemadeavailabletothepublicasprovidedinthatdivision. (2) Confidential law enforcement investigatory record means any record that pertains to a law enforcement matter of a criminal, quasicriminal, civil, or administrative nature, but only to the extent that the release of the record would create a high probability of disclosure of any of the following: (a) The identity of a suspect who has not been charged with the offense to which the record pertains, or of an information source or witness to whom confidentiality has been reasonably promised;
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(b)Informationprovidedbyaninformationsourceorwitnesstowhomconfidentialityhasbeen reasonably promised, which information would reasonably tend to disclose the sources or witnesssidentity; (c) Specific confidential investigatory techniques or procedures or specific investigatory work product; (d)Informationthatwouldendangerthelifeorphysicalsafetyoflawenforcementpersonnel,a crimevictim,awitness,oraconfidentialinformationsource. (3)Medicalrecordmeansanydocumentorcombinationofdocuments,exceptbirths,deaths,and thefactofadmissiontoordischargefromahospital,thatpertainstothemedicalhistory,diagnosis, prognosis,ormedicalconditionofapatientandthatisgeneratedandmaintainedintheprocessof medicaltreatment. (4) Trial preparation record means any record that contains information that is specifically compiled in reasonable anticipation of, or in defense of, a civil or criminal action or proceeding, includingtheindependentthoughtprocessesandpersonaltrialpreparationofanattorney. (5) Intellectual property record means a record, other than a financial or administrative record, thatisproducedorcollectedbyorforfacultyorstaffofastateinstitutionofhigherlearninginthe 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 institutionaloneorinconjunctionwithagovernmentalbodyorprivateconcern,andthathasnot beenpubliclyreleased,published,orpatented. (6)Donorprofilerecordmeansallrecordsaboutdonorsorpotentialdonorstoapublicinstitution of higher education except the names and reported addresses of the actual donors and the date, amount,andconditionsoftheactualdonation. (7) Peace officer, parole officer, probation officer, bailiff, prosecuting attorney, assistant prosecuting attorney, correctional employee, communitybased correctional facility employee, youth services employee, firefighter, EMT, or investigator of the bureau of criminal identification andinvestigationresidentialandfamilialinformationmeansanyinformationthatdisclosesanyof the following about a peace officer parole officer, probation officer, bailiff, prosecuting attorney, assistantprosecutingattorney,correctionalemployee,youthservicesemployee,firefighter,EMT,or investigatoryofthebureauofcriminalidentificationandinvestigation: (a) The address of the actual personal residence of a peace officer, parole officer, probation officer, bailiff, assistant prosecuting attorney, correctional employee, communitybased correctionalfacilityemployee,youthservicesemployee,firefighter,EMT,orinvestigatorofthe bureauofcriminalidentificationandinvestigation,exceptforthestateorpoliticalsubdivisionin whichthepeaceofficer,paroleofficer,probationofficer,bailiff,prosecutingattorney,assistant prosecuting attorney, correctional employee, communitybased correctional facility employee, youth services employee, firefighter, EMT, or investigator of the bureau of criminal identificationandinvestigationresides;
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(b)Informationcompiledfromreferraltoorparticipationinanemployeeassistanceprogram; (c)Thesocialsecuritynumber,theresidentialtelephonenumber,anybankaccount,debitcard, charge card, or credit card number, or the emergency telephone number of, or any medical information pertaining to, a peace officer, parole officer, probation officer, bailiff, prosecuting attorney,assistantprosecutingattorney,correctionalemployee,communitybasedcorrectional facility employee, youth services employee, firefighter, EMT, or investigator of the bureau of criminalidentificationandinvestigation; (d) The name of any beneficiary of employment benefits, including, but not limited to, life insurance benefits, provided to a peace officer, parole officer, probation officer, bailiff, prosecutingattorney,assistantprosecutingattorney,correctionalemployee,communitybased correctionalfacilityemployee,youthservicesemployee,firefighter,EMT,orinvestigatorofthe bureau of criminal identification and investigation by the peace officers, parole officers, probation officers, bailiffs, prosecuting attorneys, assistant prosecuting attorneys, correctional employees, communitybased correctional facility employees, youth services employees, firefighters, EMTs, or investigator of the bureau of criminal identification and investigationsemployer; (e) The identity and amount of any charitable or employment benefit deduction made by the peace officers, parole officers, probation officers, bailiffs, prosecuting attorneys, assistant prosecuting attorneys, correctional employees, communitybased correctional facility employees, youth services employees, firefighters, EMTs, or investigator of the bureau of criminal identification and investigations employer from the peace officers, parole officers, probation officers, bailiffs, prosecuting attorneys, assistant prosecuting attorneys, correctional employees, communitybased correctional facility employees, youth services employees, firefighters, EMTs, or investigator of the bureau of criminal identification and investigationscompensationunlesstheamountofthedeductionisrequiredbystateorfederal law; (f)Thename,theresidentialaddress,thenameoftheemployer,theaddressoftheemployer, the social security number, the residential telephone number, any bank account, debit card, charge card, or credit card number, or the emergency telephone number of the spouse, a former spouse, or any child of a peace officer, parole officer, probation officer, bailiff, prosecutingattorney,assistantprosecutingattorney,correctionalemployee,communitybased correctionalfacilityemployee,youthservicesemployee,firefighter,EMT,orinvestigatorofthe bureauofcriminalidentificationandinvestigation; (g)Aphotographofapeaceofficerwhoholdsapositionorhasanassignmentthatmayinclude undercover or plain clothes positions or assignments as determined by the peace officers appointingauthority. Asusedindivisions(A)(7)and(B)(9)ofthissection,peaceofficerhasthesamemeaningasin section 109.71 of the Revised Code and also includes the superintendent and troopers of the statehighwaypatrol;itdoesnotincludethesheriffofacountyorasupervisoryemployeewho,
APPENDIXA
intheabsenceofthesheriff,isauthorizedtostandinfor,exercisetheauthorityof,andperform thedutiesofthesheriff. As used in divisions (A)(7) and (B)(5) of this section, correctional employee means any employeeofthedepartmentofrehabilitationandcorrectionwhointhecourseofperforming theemployeesjobdutieshasorhashadcontactwithinmatesandpersonsundersupervision. As used in divisions (A)(7) and (B)(5) of this section, youth services employee means any employeeofthedepartmentofyouthserviceswhointhecourseofperformingtheemployees jobdutieshasorhashadcontactwithchildrencommittedtothecustodyofthedepartmentof youthservices. As used in divisions (A)(7) and (B)(9) of this section, firefighter means any regular, paid or volunteer, member of a lawfully constituted fire department of a municipal corporation, township,firedistrict,orvillage. As used in divisions (A)(7) and (B)(9) of this section, EMT means EMTsbasic, EMTsI, and paramedics that provide emergency medical services for a public emergency medical service organization. Emergency medical service organization, EMTbasic, EMTI, and paramedichavethesamemeaningsasinsection4765.01oftheRevisedCode. As used in divisions (A)(7) and (B)(9) of this section, investigator of the bureau of criminal identification and investigation has the meaning defined in section 2903.11 of the Revised Code. (8) Information pertaining to the recreational activities of a person under the age of eighteen meansinformationthatiskeptintheordinarycourseofbusinessbyapublicoffice,thatpertainsto therecreationalactivitiesofapersonundertheageofeighteenyears,andthatdisclosesanyofthe following: (a)Theaddressortelephonenumberofapersonundertheageofeighteenortheaddressor telephonenumberofthatpersonsparent,guardian,custodian,oremergencycontactperson; (b)Thesocialsecuritynumber,birthdate,orphotographicimageofapersonundertheageof eighteen; (c)Anymedicalrecord,history,orinformationpertainingtoapersonundertheageofeighteen; (d)Anyadditionalinformationsoughtorrequiredaboutapersonundertheageofeighteenfor the purpose of allowing that person to participate in any recreational activity conducted or sponsoredbyapublicofficeortouseorobtainadmissionprivilegestoanyrecreationalfacility ownedoroperatedbyapublicoffice. (9)Communitycontrolsanctionhasthesamemeaningasinsection2929.01oftheRevisedCode.
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(10) Postrelease control sanction has the same meaning as in section 2967.01 of the Revised Code. (11) Redaction means obscuring or deleting any information that is exempt from the duty to permitpublicinspectionorcopyingfromanitemthatotherwisemeetsthedefinitionofarecord insection149.011[149.01.1]oftheRevisedCode. (12)Designeeandelectedofficialhavethesamemeaningsasinsection109.43oftheRevised Code. (B) (1) Upon request and subject to division (B)(8) of this section, all public records responsive to the request shall be promptly prepared and made available for inspection to any person at all reasonable times during regular business hours. Subject to division (B)(8) of this section, upon request,apublicofficeorpersonresponsibleforpublicrecordsshallmakecopiesoftherequested publicrecordavailableatcostandwithinareasonableperiodoftime.Ifapublicrecordcontains informationthatisexemptfromthedutytopermitpublicinspectionortocopythepublicrecord, the public office or the person responsible for the public record shall make available all of the informationwithinthepublicrecordthatisnotexempt.Whenmakingthatpublicrecordavailable for inspection or copying that public record, the public office or the person responsible for the public record shall notify the requester of any redaction or make the redaction plainly visible. A redactionshallbedeemedadenialofarequesttoinspectorcopytheredactedinformation,except iffederalorstatelawauthorizesorrequiresapublicofficetomaketheredaction. (2)Tofacilitatebroaderaccesstopublicrecords,apublicofficeorthepersonresponsibleforpublic recordsshallorganizeandmaintainpublicrecordsinamannerthattheycanbemadeavailablefor inspectionorcopyinginaccordancewithdivision(B)ofthissection.Apublicofficealsoshallhave availableacopyofitscurrentrecordsretentionscheduleatalocationreadilyavailabletothepublic. Ifarequestermakesanambiguousoroverlybroadrequestorhasdifficultyinmakingarequestfor copies or inspection of public records under this section such that the public office or the person responsiblefortherequestedpublicrecordmay denytherequestbutshall providetherequester withanopportunitytorevisetherequestbyinformingtherequesterofthemannerinwhichrecords are maintained by the public office and accessed in the ordinary course of the public offices or personsduties. (3)Ifarequestisultimatelydenied,inpartorinwhole,thepublicofficeorthepersonresponsible for the requested public record shall provide the requester with an explanation, including legal authority,settingforthwhytherequestwasdenied.Iftheinitialrequestwasprovidedinwriting, the explanation also shall be provided to the requester in writing. The explanation shall not preclude the public office or the person responsible for the requested public record from relying uponadditionalreasonsorlegalauthorityindefendinganactioncommencedunderdivision(C)of thissection. (4)Unlessspecificallyrequiredorauthorizedbystateorfederallaworinaccordancewithdivision (B)ofthissection,nopublicofficeorpersonresponsibleforpublicrecordsmaylimitorcondition theavailabilityofpublicrecordsbyrequiringdisclosureoftherequestersidentityortheintended
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APPENDIXA
use of the requested public record. Any requirement that the requester disclose the requestors identityortheintendeduseoftherequestedpublicrecordconstitutesadenialoftherequest. (5)Apublicofficeorpersonresponsibleforpublicrecordsmayaskarequestertomaketherequest in writing, may ask for the requesters identity, and may inquire about the intended use of the informationrequested,butmaydosoonlyafterdisclosingtotherequesterthatawrittenrequestis notmandatoryandthattherequestermaydeclinetorevealtherequestersidentityortheintended use and when a written request or disclosure of the identity or intended use would benefit the requester by enhancing the ability of the public office or person responsible for public records to identify,locate,ordeliverthepublicrecordssoughtbytherequester. (6)Ifanypersonchoosestoobtainacopyofapublicrecordinaccordancewithdivision(B)ofthis section,thepublicofficeorpersonresponsibleforthepublicrecordmayrequirethatpersontopay inadvancethecostinvolvedinprovidingthecopyofthepublicrecordinaccordancewiththechoice madebythepersonseekingthecopyunderthisdivision.Thepublicofficeorthepersonresponsible forthepublicrecordshallpermitthatpersontochoosetohavethepublicrecordduplicatedupon paper, upon the same medium upon which the public office or person responsible for the public recordkeepsit,oruponanyothermediumuponwhichthepublicofficeorpersonresponsiblefor thepublicrecorddeterminesthatitreasonablycanbeduplicatedasanintegralpartofthenormal operations of the public office or person responsible for the public record. When the person seekingthecopymakesachoiceunderthisdivision,thepublicofficeorpersonresponsibleforthe publicrecordshallprovideacopyofitinaccordancewiththechoicemadebythepersonseeking thecopy.Nothinginthissectionrequiresapublicofficeorpersonresponsibleforthepublicrecord toallowthepersonseekingacopyofthepublicrecordtomakethecopiesofthepublicrecord. (7)Uponarequestmadeinaccordancewithdivision(B)ofthissectionandsubjecttodivision(B)(6) of this section, a public office or person responsible for public records shall transmit a copy of a publicrecordtoanypersonbyUnitedStatesmailorbyanyothermeansofdeliveryortransmission within a reasonable period of time after receiving the request for the copy. The public office or person responsible for the public record may require the person making the request to pay in advancethecostofpostageifthecopyistransmittedbyUnitedStatesmailorthecostofdeliveryif thecopyistransmittedotherthanbyUnitedStatesmail,andtopayinadvancethecostsincurred forothersuppliesusedinthemailing,delivery,ortransmission. (8)Apublicofficerorpersonresponsibleforpublicrecordsisnotrequiredtopermitapersonwhois incarcerated pursuant to a criminal conviction or a juvenile adjudication to inspect or to obtain a copy of any public record concerning a criminal investigation or prosecution or concerning what would be a criminal investigation or prosecution if the subject of the investigation or prosecution wereanadult,unlesstherequesttoinspectortoobtainacopyoftherecordisforthepurposeof acquiringinformationthatissubjecttoreleaseasapublicrecordunderthissectionandthejudge who imposed the sentence or made the adjudication with respect to the person, or the judges successor in office, finds that the information sought in the public record is necessary to support whatappearstobeajusticiableclaimoftheperson. (9) (a) Upon written request made and signed by a journalist on or after December 16, 1999, a public office, or person responsible for public records, having custody of the records of the
APPENDIXA
agencyemployingaspecifiedpeaceofficer,paroleofficer,probationofficer,bailiff,prosecuting attorney,assistantprosecutingattorney,correctionalemployee,communitybasedcorrectional facility employee, youth services employee, firefighter, EMT, or investigator of the bureau of criminalidentificationandinvestigationshalldisclosetothejournalisttheaddressoftheactual personal residence of the peace officer, parole officer, probation officer, bailiff, prosecuting attorney,assistantprosecutingattorney,correctionalemployee,communitybasedcorrectional facility employee, youth services employee, firefighter, EMT, or investigator of the bureau of criminal identification and investigation and, if the peace officers, parole officers, probation officers, bailiffs, prosecuting attorneys, assistant prosecuting attorneys, correctional employees, communitybased correctional facility employees, youth services employees, firefighters, EMTs, or investigator of the bureau of criminal identification and investigations spouse, former spouse, or child is employed by a public office, the name and address of the employer of the peace officers, parole officers, probation officers, bailiffs, prosecuting attorneys, assistant prosecuting attorneys, correctional employees, communitybased correctionalfacilityemployees,youthservicesemployees,firefighters,EMTs,orinvestigator ofthebureauofcriminalidentificationandinvestigationsspouse,formerspouse,orchild.The requestshallincludethejournalistsnameandtitleandthenameandaddressofthejournalists employer and shall state that disclosure of the information sought would be in the public interest. (b)Division(B)(9)(a)ofthissectionalsoappliestojournalistrequestsforcustomerinformation maintained by a municipally owned or operated public utility, other than social security numbersandanyprivatefinancialinformationsuchascreditreports,paymentmethods,credit cardnumbers,andbankaccountinformation. (c)Asusedindivision(B)(9)ofthissection,journalistmeansapersonengagedin,connected with, or employed by any news medium, including a newspaper, magazine, press association, newsagency,orwireservice,aradioortelevisionstation,orasimilarmedium,forthepurpose of gathering, processing, transmitting, compiling, editing, or disseminating information for the generalpublic. (C) (1) Ifapersonallegedlyisaggrieved bythefailure ofapublicofficeorthepersonresponsiblefor public records to promptly prepare a public record and to make it available to the person for inspectioninaccordancewithdivision(B)ofthissectionorbyanyotherfailureofapublicofficeor thepersonresponsibleforpublicrecordstocomplywithanobligationinaccordancewithdivision (B)ofthissection,thepersonallegedlyaggrievedmaycommenceamandamusactiontoobtaina judgment that orders the public office or the person responsible for the public record to comply with division (B) of this section, that awards court costs and reasonable attorneys fees to the person that instituted the mandamus action, and, if applicable, that includes an order fixing statutorydamagesunderdivision(C)(1)ofthissection.Themandamusactionmaybecommenced in the court of common pleas of thecounty in which division (B) of this section allegedly was not compliedwith,inthesupremecourtpursuanttoitsoriginaljurisdictionunderSection2ofArticleIV, Ohio Constitution, or in the court of appeals for the appellate district in which division (B) of this sectionallegedlywasnotcompliedwithpursuanttoitsoriginaljurisdictionunderSection3ofArticle IV,OhioConstitution.
APPENDIXA
If a requestor transmits a written request by hand delivery or certified mail to inspect or receive copies of any public record in a manner that fairly describes the public record or class of public records to the public office or person responsible for the requested public records, except as otherwise provided in this section, the requester shall be entitled to recover the amount of statutorydamagessetforthinthisdivisionifacourtdeterminesthatthepublicofficeortheperson responsibleforpublicrecordsfailedtocomplywithanobligationinaccordancewithdivision(B)of thissection. Theamountofstatutorydamagesshallbefixedatonehundreddollarsforeachbusinessdayduring whichthepublicofficeorpersonresponsiblefortherequestedpublicrecordsfailedtocomplywith an obligation in accordance with division (B) of this section, beginning with the day on which the requesterfilesamandamusactiontorecoverstatutorydamages,uptoamaximumofonethousand dollars.Theawardofstatutorydamagesshallnotbeconstruedasapenalty,butascompensation for injury arising from lost use of the requested information. The existence of this injury shall be conclusivelypresumed.Theawardofstatutorydamagesshallbeinadditiontoallotherremedies authorizedbythissection. Thecourtmayreduceanawardofstatutorydamagesornotawardstatutorydamagesifthecourt determinesbothofthefollowing: (a)That,basedontheordinaryapplicationofstatutorylawandcaselawasitexistedatthetime of the conduct or threatened conduct of the public office or person responsible for the requested public records that allegedly constitutes a failure to comply with an obligation in accordance with division (B)of thissectionand thatwasthe basisofthe mandamusaction,a wellinformed public office or person responsible for the requested public records reasonably wouldbelievethattheconductorthreatenedconductofthepublicofficeorpersonresponsible for the requested public records did not constitute a failure to comply with an obligation in accordancewithdivision(B)ofthissection; (b) That a wellinformed public office or person responsible for the public records reasonably wouldbelievethattheconductorthreatenedconductofthepublicofficeorpersonresponsible fortherequestedpublicrecordswouldservethepublicpolicythatunderliestheauthoritythat isassertedaspermittingthatconductorthreatenedconduct. (2)(a)Ifthecourtissuesawritofmandamusthatordersthepublicofficeorthepersonresponsible for the public record to comply with division (B) of this section and determines that the circumstances described in division (C)(1) of this section exist, the court shall determine and awardtotherelatorallcourtcosts. (b) If the court renders a judgment that orders the public office or the person responsible for the public record to comply with division (B) of this section, the court may award reasonable attorneysfeessubjecttoreductionasdescribedindivision(C)(2)(c)ofthissection.Thecourt shallawardreasonableattorneysfees,subjecttoreductionasdescribedindivision(C)(2)(c)of thissectionwheneitherofthefollowingapplies:
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APPENDIXA
(i) The public office or the person responsible for the public records failed to respond affirmativelyornegativelytothepublicrecordsrequestinaccordancewiththetimeallowed underdivision(B)ofthissection. (ii)Thepublicofficeorthepersonresponsibleforthepublicrecordspromisedtopermitthe relatortoinspectorreceivecopiesofthepublicrecordsrequestedwithinaspecifiedperiod oftimebutfailedtofulfillthatpromisewithinthatspecifiedperiodoftime. (c)Courtcostsandreasonableattorneysfeesawardedunderthissectionshallbeconstruedas remedialandnotpunitive.Reasonableattorneysfeesshallincludereasonablefeesincurredto produce proof of the reasonableness and amount of the fees and to otherwise litigate entitlementtothefees.Thecourtmayreduceanawardofattorneysfeestotherelatorornot awardattorneysfeestotherelatorifthecourtdeterminesbothofthefollowing: (i)That,basedontheordinaryapplicationofstatutorylawandcaselawasitexistedatthe timeoftheconductorthreatenedconductofthepublicofficeorpersonresponsibleforthe requestedpublicrecordsthatallegedlyconstitutesafailuretocomplywithanobligationin accordancewithdivision(B)ofthissectionandthatwasthebasisofthemandamusaction, a wellinformed public office or person responsible for the requested public records reasonably would believe that the conduct or threatened conduct of the public office or person responsible for the requested public records did not constitute a failure to comply withanobligationinaccordancewithdivision(B)ofthissection; (ii)Thatawellinformedpublicofficeorpersonresponsiblefortherequestedpublicrecords reasonably would believe that the conduct or threatened conduct of the public officer or person responsible for the requested public records as described in division (C)(2)(c)(i) of this section would serve the public policy that underlies the authority that is asserted as permittingthatconductorthreatenedconduct.
(D)Chapter1347.oftheRevisedCodedoesnotlimittheprovisionsofthissection. (E) (1)Toensurethatallemployeesofpublicofficesareappropriatelyeducatedaboutapublicoffices obligationsunderdivision(B)ofthissection,allelectedofficialsortheirappropriatedesigneesshall attendtrainingapprovedbytheattorneygeneralasprovidedinsection109.43oftheRevisedCode. Inaddition,allpublicofficesshalladoptapublicrecordspolicyincompliancewiththissectionfor responding to public records requests. In adopting a public records policy under this division, a publicofficemayobtainguidancefromthemodelpublicrecordspolicydevelopedandprovidedto the public office by the attorney general under section 109.43 of the Revised Code. Except as otherwiseprovidedinthissection,thepolicymay notlimit the numberofpublicrecordsthatthe publicofficewillmadeavailabletoasingleperson,maynotlimitthenumberofpublicrecordsthat it will make available during a fixed period of time, and may not establish a fixed period of time beforeitwillrespondtoarequestforinspectionorcopyingofpublicrecords,unlessthatperiodis lessthaneighthours. (2) The public office shall distribute the public records policy adopted by the public office under division (E)(1) of this section to the employee of the public office who is the records custodian or
APPENDIXA
records manager or otherwise has custody of the records of that office. The public office shall requirethatemployeetoacknowledgereceiptofthecopyofthepublicrecordspolicy.Thepublic office shall create a poster that describes its public records policy and shall post the poster in a conspicuousplaceinthepublicofficeandinalllocationswherethepublicofficehasbranchoffices. Thepublicofficemaypostitspublicrecordspolicyontheinternetwebsiteofthepublicofficeifthe public office maintains an internet web site. A public office that has established a manual or handbookofitsgeneralpoliciesandproceduresforallemployeesofthepublicofficeshallinclude thepublicrecordspolicyofthepublicofficeinthemanualorhandbook. (F) (1)ThebureauofmotorvehiclesmayadoptrulespursuanttoChapter119.oftheRevisedCodeto reasonably limit the number of bulk commercial special extraction requests made by a person for thesamerecordsorforupdatedrecordsduringacalendaryear.Therulesmayincludeprovisions forcharges tobe madeforbulk, commercialspecialextraction requestsfor theactualcostofthe bureau, plus special extraction costs, plus ten per cent. The bureau may charge for expenses redactinginformation,thereleaseofwhichisprohibitedbylaw. (2)Asusedindivision(F)(1)ofthissection: (a) Actual cost means the cost of depleted supplies, records storage media costs, actual mailing and alternative delivery costs, or other transmitting costs, and any direct equipment operatingandmaintenancecosts,includingactualcostspaidtoprivatecontractorsforcopying services. (b) Bulk commercial special extraction request means a request for copies of a record for informationinaformatotherthantheformatalreadyavailable,orinformationthatcannotbe extractedwithoutexaminationofallitemsinarecordsseries,classofrecords,ordatabasebya personwhointendstouseorforwardthecopiesforsurveys,marketing,solicitation,orresale for commercial purposes. Bulk commercial special extraction request does not include a requestbyapersonwhogivesassurancetothebureauthatthepersonmakingtherequestdoes notintendtouseorforwardtherequestedcopiesforsurveys,marketing,solicitation,orresale forcommercialpurposes. (c) Commercial means profitseeking production, buying, or selling of any good, service, or otherproduct. (d) Special extraction costs means the cost of the time spent by the lowest paid employee competenttoperformthetask,theactualamountpaidtooutsideprivatecontractorsemployed by the bureau, or the actual cost incurred to create computer programs to make the special extraction.Specialextractioncostsincludeanychargespaidtoapublicagencyforcomputer orrecordsservices. (3)Forpurposesofdivisions(F)(1)and(2)ofthissection,surveys,marketing,solicitation,orresale forcommercialpurposesshallbenarrowlyconstruedanddoesnotincludereportingorgathering news, reporting or gathering information to assist citizen oversight or understanding of the operationoractivitiesofgovernment,ornonprofiteducationalresearch.
APPENDIXA
OhioRevisedCode149.431Financialrecordsofnonprofit organizationsreceivinggovernmentalfunds;confidentialityof patientandclientrecords

(A) Any governmental entity or agency and any nonprofit corporation or association, except a corporation organized pursuant to Chapter 1719. of the Revised Code prior to January 1, 1980 or organized pursuant to Chapter 3941. of the Revised Code, that enters into a contract or other agreementwiththefederalgovernment,aunitofstategovernment,orapoliticalsubdivisionortaxing unitofthisstatefortheprovisionofservicesshallkeepaccurateandcompletefinancialrecordsofany moneys expended in relation to the performance of the services pursuant to such contract or agreementaccordingtogenerallyacceptedaccountingprinciples.Suchcontractoragreementandsuch financialrecordsshallbedeemedtobepublicrequirementsofdivision(B)ofthatsection,exceptthat: (1)Anyinformationdirectlyorindirectlyidentifyingapresentorformerindividualpatientorclient or his diagnosis, prognosis, or medical treatment, treatment for a mental or emotional disorder, treatment for mental retardation or a developmental disability, treatment for drug abuse or alcoholism,orcounselingforpersonalorsocialproblemsisnotapublicrecord; (2) If disclosure of the contract or agreement or financial records is requested at a time when confidential professional services are being provided to a patient or client whose confidentiality might be violated if disclosure were made at that time, disclosure may be deferred if reasonable timesareestablishedwhenthecontractoragreementorfinancialrecordswillbedisclosed; (3) Any nonprofit corporation or association that receives both public and private funds in fulfillment of any such contract or other agreement is not required to keep as public records the financialrecordsofanyprivatefundsexpendedinrelationtotheperformanceofservicespursuant tothecontractoragreement. (B)Anynonprofitcorporationorassociationthatreceivesmorethanfiftypercentofitsgrossreceipts excluding moneys received pursuant to Title XVIII of the Social Security Act, 49 Stat. 620 (1935), 42 U.S.C.301,asamended,inacalendaryearinfulfillmentofacontractorotheragreementforservices withagovernmentalentityshallmaintaininformationsettingforththecompensationofanyindividual serving the nonprofit corporation or association in an executive or administrative capacity. Such informationshallbedeemedtobepublicrecordsasdefinedindivision(A)(1)ofsection149.43ofthe RevisedCodeandissubjecttotherequirementsofdivision(B)ofthatsection. Nothing in this section shall be construed to otherwise limit the provisions of section 149.43 of the RevisedCode. MostRecentEffectiveDate:07011991
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APPENDIXA
OhioRevisedCode149.432Releaseoflibraryrecordor patroninformation
(A)Asusedinthissection: (1)Librarymeansalibrarythatisopentothepublic,includinganyofthefollowing: (a)Alibrarythatismaintainedandregulatedundersection715.13oftheRevisedCode; (b) A library that is created, maintained, and regulated under Chapter 3375. of the Revised Code; (c)Alibrarythatiscreatedandmaintainedbyapublicorprivateschool,college,university,or othereducationalinstitution; (d)Alibrarythatiscreatedandmaintainedbyahistoricalorcharitableorganization,institution, association,orsociety. Libraryincludesthemembersofthegoverningbodyandtheemployeesofalibrary. (2)Libraryrecordmeansarecordinanyformthatismaintainedbyalibraryandthatcontainsany ofthefollowingtypesofinformation: (a) Information that the library requires an individual to provide in order to be eligible to use libraryservicesorborrowmaterials; (b)Informationthatidentifiesanindividualashavingrequestedorobtainedspecificmaterialsor materialsonaparticularsubject; (c) Information that is provided by an individual to assist a library staff member to answer a specificquestionorprovideinformationonaparticularsubject. Libraryrecorddoesnotincludeinformationthatdoesnotidentifyanyindividualandthatisretained forthepurposeofstudyingorevaluatingtheuseofalibraryanditsmaterialsandservices. (3) Subject to division (B)(5) of this section, patron information means personally identifiable informationaboutanindividualwhohasusedanylibraryserviceorborrowedanylibrarymaterials. (B) A library shall not release any library record or disclose any patron information except in the followingsituations: (1)Ifalibraryrecordorpatroninformationpertainingtoaminorchildisrequestedfromalibraryby the minor childs parent, guardian, or custodian, the library shall make that record or information availabletotheparent,guardian,orcustodianinaccordancewithdivision(B)ofsection149.43of theRevisedCode.
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APPENDIXA
(2)Libraryrecordsorpatroninformationshallbereleasedinthefollowingsituations: (a)Inaccordancewithasubpoena,searchwarrant,orothercourtorder; (b) To a law enforcement officer who is acting in the scope of the officers law enforcement dutiesandwhoisinvestigatingamatterinvolvingpublicsafetyinexigentcircumstances. (3)Alibraryrecordorpatroninformationshallbereleasedupontherequestorwiththeconsentof theindividualwhoisthesubjectoftherecordorinformation. (4)Libraryrecordsmaybereleasedforadministrativelibrarypurposes,includingestablishmentor maintenanceofasystemtomanagethelibraryrecordsortoassistinthetransferoflibraryrecords fromonerecordsmanagementsystemtoanother,compilationofstatisticaldataonlibraryuse,and collectionoffinesandpenalties. (5) A library may release under division (B) of section 149.43 of the Revised Code records that documentimproperuseoftheinternetatthelibrarysolongasanypatroninformationisremoved fromthoserecords.Asusedindivision(B)(5)ofthissection,patroninformationdoesnotinclude informationabouttheageorgenderofanindividual. MostRecentEffectiveDate:11052004
OhioRevisedCode149.433Exemptionofsecurityand infrastructurerecords
(A)Asusedinthissection: (1)Actofterrorismhasthesamemeaningasinsection2909.21oftheRevisedCode. (2)Infrastructurerecordmeansanyrecordthatdisclosestheconfigurationofapublicofficesor chartered nonpublic schools critical systems including, but not limited to, communication, computer, electrical, mechanical, ventilation, water, and plumbing systems, security codes, or the infrastructure or structural configuration of the building in which a public office or chartered nonpublicschoolislocated.Infrastructurerecorddoesnotmeanasimplefloorplanthatdiscloses onlythespatialrelationshipofcomponentsofapublicofficeorcharterednonpublicschoolorthe buildinginwhichapublicofficeorcharterednonpublicschoolislocated. (3)Securityrecordmeansanyofthefollowing: (a)Anyrecordthatcontainsinformationdirectlyusedforprotectingormaintainingthesecurity ofapublicofficeagainstattack,interference,orsabotage;
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APPENDIXA
(b)Anyrecordassembled,prepared,ormaintainedbyapublicofficeorpublicbodytoprevent, mitigateactsofterrorism,andcommunicationcodesordeploymentplansoflawenforcement oremergencyresponsepersonnel; (i) Those portions of records containing specific and unique vulnerability assessments or specificanduniqueresponseplanseitherofwhichisintendedtopreventormitigateactsof terrorism, and communication codes or deployment plans of law enforcement or emergencyresponsepersonnel; (ii)Specificintelligenceinformationandspecificinvestigativerecordssharedbyfederaland international law enforcement agencies with state and local law enforcement and public safetyagencies; (iii) National security records classified under federal executive order and not subject to publicdisclosureunderfederallawthataresharedbyfederalagencies,andotherrecords related to national security briefings to assist state and local government with domestic preparednessforactsofterrorism. (c)Aschoolsafetyplanadoptedpursuanttosection3313.536oftheRevisedCode. (B)Arecordkeptbyapublicofficethatisasecurityrecordoraninfrastructurerecordisnotapublic recordundersection149.43oftheRevisedCodeandisnotsubjecttomandatoryreleaseordisclosure underthatsection. (C) Notwithstanding any other section of the Revised Code, disclosure by a public office, public employee,charterednonpublicschool,orcharterednonpublicschoolemployeeofasecurityrecordor infrastructurerecordthatisnecessaryforconstruction,renovation,orremodelingworkonanypublic buildingorprojectorcharterednonpublicschooldoesnotconstitutepublicdisclosureforpurposesof waiving division (B) of this section and does not result in that record becoming a public record for purposesofsection149.43oftheRevisedCode. MostRecentEffectiveDate:09282006
OhioRevisedCode149.434Databaseorlistofnamesand birthdatesofpersonselectedtooremployedbythatpublic office

(A) Each public office or person responsible for public records shall maintain a database or a list that includesthenameanddateofbirthofallpublicofficialsandemployeeselectedtooremployedbythat publicoffice.Thedatabaseorlistisapublicrecordandshallbemadeavailableuponarequestmade pursuanttosection149.43oftheRevisedCode. (B)Asusedinthissection:
APPENDIXA
(1)Employeehasthesamemeaningasinsection9.40oftheRevisedCode. (2)Publicofficialhasthesamemeaningasinsection117.01oftheRevisedCode. (3)Publicrecordhasthesamemeaningasinsection149.43oftheRevisedCode. MostRecentEffectiveDate:09012008
OhioRevisedCode149.44Availabilityofrecordsincenters andarchivalinstitutions
Anystaterecordscenterorarchivalinstitutionestablishedpursuanttosections149.31and149.331of theRevisedCodeisanextensionofthedepartments,offices,andinstitutionsofthestateandallstate andlocalrecordstransferredtorecordscentersandarchivalinstitutionsshallbeavailableforuseunder section 149.43 of the Revised Code. The state records administration, assisted by the state archivist, shallestablishrulesandproceduresfortheoperationofstaterecordscentersandarchivalinstitutions holdingpublicrecords,respectively. MostRecentEffectiveDate:07011985
OhioRevisedCode121.22Meetingsofpublicbodiestobe public;exceptions
(A) This section shall be liberally construed to require public officials to take official action and to conduct all deliberations upon official business only in open meetings unless the subject matter is specificallyexceptedbylaw. (B)Asusedinthissection: (1)Publicbodymeansanyofthefollowing: (a) Any board, commission, committee, council, or similar decisionmaking body of a state agency,institution,orauthority,andanylegislativeauthorityorboard,commission,committee, council,agency,authority,orsimilardecisionmakingbodyofanycounty,township,municipal corporation,schooldistrict,orotherpoliticalsubdivisionorlocalpublicinstitution; (b)Anycommitteeorsubcommitteeofabodydescribedindivision(B)(1)(a)ofthissection; (c)Acourtofjurisdictionofasanitarydistrictorganizedwhollyforthepurposeofprovidinga water supply for domestic, municipal, and public use when meeting for the purpose of the appointment, removal, or reappointment of a member of the board of directors of such a districtpursuanttosection6115.10oftheRevisedCode,ifapplicable,orforanyothermatter relatedtosuchadistrictotherthanlitigationinvolvingthedistrict.Asusedindivision(B)(1)(c)
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APPENDIXA
ofthissection,courtofjurisdictionhasthesamemeaningascourtinsection6115.01ofthe RevisedCode. (2) Meeting means any prearranged discussion of the public business of the public body by a majorityofitsmembers. (3)Regulatedindividualmeanseitherofthefollowing: (a)Astudentinastateorlocalpubliceducationalinstitution; (b)Apersonwhois,voluntarilyorinvoluntarily,aninmate,patient,orresidentofastateorlocal institutionbecauseofcriminalbehavior,mentalillnessorretardation,disease,disability,age,or otherconditionrequiringcustodialcare. (4)Publicofficehasthesamemeaningasinsection149.011[14.01.1]oftheRevisedCode. (C)Allmeetingsofanypublicbodyaredeclaredtobepublicmeetingsopentothepublicatalltimes.A memberofapublicbodyshallbepresentinpersonatameetingopentothepublictobeconsidered presentortovoteatthemeetingandforpurposesofdeterminingwhetheraquorumispresentatthe meeting. The minutes of a regular or special meeting of any public body shall be promptly prepared, filed, and maintainedandshallbeopentopublicinspection.Theminutesneedonlyreflectthegeneralsubject matterofdiscussionsinexecutivesessionsauthorizedunderdivision(G)or(J)ofthissection. (D)Thissectiondoesnotapplytoanyofthefollowing: (1)Agrandjury; (2) An audit conference conducted by the auditor of state or independent certified public accountantswithofficialsofthepublicofficethatisthesubjectoftheaudit; (3)Theadultparoleauthoritywhenitshearingsareconductedatacorrectionalinstitutionforthe solepurposeofinterviewinginmatestodetermineparoleorpardon; (4)Theorganizedcrimeinvestigationscommissionestablishedundersection177.01oftheRevised Code; (5) Meetings of a child fatality review board established under section 307.621 [307.62.1] of the Revised Code and meetings conducted pursuant to sections 5153.171 [51553.17.1] to 5153.173 [5153.17.3]oftheRevisedCode; (6) The state medical board when determining whether to suspend a certificate without a prior hearingpursuanttodivision(G)ofeithersection4730.25or4731.22oftheRevisedCode;
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APPENDIXA
(7) The board of nursing when determining whether to suspend a license or certificate without a priorhearingpursuanttodivision(B)ofsection4723.281[4723.28.1]oftheRevisedCode; (8) The state board of pharmacy when determining whether to suspend a license without a prior hearingpursuanttodivision(D)ofsection4729.16oftheRevisedCode; (9)Thestatechiropracticboardwhendeterminingwhethertosuspendalicensewithoutahearing pursuanttosection4734.37oftheRevisedCode; (10)Theexecutivecommitteeoftheemergencyresponsecommissionwhendeterminingwhether toissueanenforcementorderorrequestthatacivilaction,civilpenaltyaction,orcriminalactionbe broughttoenforceChapter3750.oftheRevisedCode; (11)Theboardofdirectorsofthenonprofitcorporationformedundersection187.01oftheRevised Codeoranycommitteethereof,andtheboardofdirectorsofanysubsidiaryofthatcorporationora committeethereof; (12)Anauditconferenceconductedbytheauditstaffofthedepartmentofjobandfamilyservices with officials of the public office that is the subject of that audit under section 5101.37 of the RevisedCode. (E) The controlling board, the industrial technology and enterprise advisory council, the tax credit authority, or the minority development financing advisory board, when meeting to consider granting assistancepursuanttoChapter122.or166.oftheRevisedCode,inordertoprotecttheinterestofthe applicant or the possible investment of public funds, by unanimous vote of all board, council, or authority members present, may close the meeting during consideration of the following information confidentiallyreceivedbytheauthority,council,orboardfromtheapplicant: (1)Marketingplans; (2)Specificbusinessstrategy; (3)Productiontechniquesandtradesecrets; (4)Financialprojections; (5)Personalfinancialstatementsoftheapplicantormembersoftheapplicantsimmediatefamily, including,butnotlimitedto,taxrecordsorothersimilarinformationnotopentopublicinspection. Thevotebytheauthority,council,orboardtoacceptorrejecttheapplication,aswellasallproceedings oftheauthority,council,orboardnotsubjecttothisdivision,shallbeopentothepublicandgoverned bythissection. (F)Everypublicbody,byrule,shallestablishareasonablemethodwherebyanypersonmaydetermine the time and place of all regularly scheduled meetings and the time, place, and purpose of all special meetings. A public body shall not hold a special meeting unless it gives at least twentyfour hours
APPENDIXA
advance notice to the news media that have requested notification, except in the event of an emergencyrequiringimmediateofficialaction.Intheeventofanemergency,thememberormembers calling the meeting shall notify the news media that have requested notification immediately of the time,place,andpurposeofthemeeting. The rule shall provide that any person, upon request and payment of a reasonable fee, may obtain reasonable advance notification of all meetings at which any specific type of public business is to be discussed.Provisionsforadvancenotificationmayinclude,butarenotlimitedto,mailingtheagendaof meetings to all subscribers on a mailing list or mailing notices in selfaddressed, stamped envelopes providedbytheperson. (G)Exceptasprovidedindivision(J)ofthissection,themembersofapublicbodymayholdanexecutive sessiononlyafteramajorityofaquorumofthepublicbodydetermines,byarollcallvote,toholdan executivesessionandonlyataregularorspecialmeetingforthesolepurposeoftheconsiderationof anyofthefollowingmatters. (1) To consider the appointment, employment, dismissal, discipline, promotion, demotion, or compensationofapublicemployeeorofficial,ortheinvestigationofchargesorcomplaintsagainst a public employee, official, licensee, or regulated individual, unless the public employee, official, licensee,orregulatedindividualrequestsapublichearing.Exceptasotherwiseprovidedbylaw,no publicbodyshallholdanexecutivesessionforthedisciplineofanelectedofficialforconductrelated totheperformanceoftheelectedofficialsofficialdutiesorfortheelectedofficialsremovalfrom office. If a public body holds an executive session pursuant to division (G)(1) of this section, the motion and vote to hold that executive session shall state which one or more of the approved purposeslistedindivision(G)(1)ofthissectionarethepurposesforwhichtheexecutivesessionis tobeheld,butneednotincludethenameofanypersontobeconsideredatthemeeting. (2) To consider the purchase of property for public purposes, or for the sale of property at competitive bidding, if premature disclosure of information would give an unfair competitive or bargainingadvantagetoapersonwhosepersonal,privateinterestisadversetothegeneralpublic interest. No member of a public body shall use division (G)(2) of this section as a subterfuge for providingcovertinformationtoprospectivebuyersorsellers.Apurchaseorsaleofpublicproperty isvoidifthesellerorbuyerofthepublicpropertyhasreceivedcovertinformationfromamember of a public body that has not been disclosed to the general public in sufficient time for other prospectivebuyersandsellerstoprepareandsubmitoffers. Iftheminutesofthepublicbodyshowthatallmeetingsanddeliberationsofthepublicbodyhave been conducted in compliance with this section, any instrument executed by the public body purporting to convey, lease, or otherwise dispose of any right, title, or interest in any public property shall be conclusively presume to have been executed in compliance with this section insofarastitleorotherinterestofanyboafidepurchasers,lessees,ortransfereesofthepropertyis concerned. (3)Conferenceswithanattorneyforthepublicbodyconcerningdisputesinvolvingthepublicbody thatarethesubjectofpendingorimminentcourtaction;
APPENDIXA
(4) Preparing for, conducting, or reviewing negotiations or bargaining sessions with public employeesconcerningtheircompensationorothertermsandconditionsoftheiremployment; (5)Mattersrequiredtobekeptconfidentialbyfederallaworregulationsorstatestatutes; (6) Details relative to the security arrangements and emergency response protocols for a public body or a public office, if disclosure of the matters discussed could reasonably be expected to jeopardizethesecurityofthepublicbodyorpublicoffice; (7)InthecaseofacountyhospitaloperatedpursuanttoChapter339.oftheRevisedCode,ajoint townshiphospitaloperatedpursuanttoChapter513.oftheRevisedCode,oramunicipalhospital operated pursuant to Chapter 749. of the Revised Code, to consider trade secrets, as defined in section1333.62oftheRevisedCode. Ifapublicbodyholdsanexecutivesessiontoconsideranyofthematterslistedindivisions(G)(2)to (7)ofthissection,themotionandvotetoholdthatexecutivesessionshallstatewhichoneormore oftheapprovedmatterslistedinthosedivisionsaretobeconsideredattheexecutivesession. Apublicbodyspecifiedindivision(B)(1)(c)ofthissectionshallnotholdanexecutivesessionwhen meetingforthepurposesspecifiedinthatdivision. (H)Aresolution,rule,orformalactionofanykindisinvalidunlessadoptedinanopenmeetingofthe public body. A resolution, rule, or formal action adopted in an open meeting that results from deliberationsinameetingnotopentothepublicisinvalidunlessthedeliberationswereforapurpose specificallyauthorizedindivision(G)or(J)ofthissectionandconductedatanexecutivesessionheldin compliancewiththissection.Aresolution,rule,orformalactionadoptedinanopenmeetingisinvalidif thepublicbodythatadoptedtheresolution,rule,orformalactionviolateddivision(F)ofthissection. (I) (1) Any person may bring an action to enforce this section. An action under division (I)(1) of this section shall be brought within two years after the date of the alleged violation or threatened violation.Uponproofofaviolationorthreatenedviolationofthissectioninanactionbroughby any person, the court of common pleas shall issue an injunction to compel the members of the publicbodytocomplywithitsprovisions. (2)(a)Ifthecourtofcommonpleasissuesaninjunctionpursuanttodivision(I)(1)ofthissection, the court shall order the public body that it enjoins to pay a civil forfeiture of five hundred dollarstothepartythatsoughttheinjunctionandshallawardtothatpartyallcourtcostsand, subject to reduction as described in division (I)(2) of this section, reasonable attorneys fees. Thecourt,initsdiscretion,mayreduceanawardofattorneysfeestothepartythatsoughtthe injunction or not award attorneys fees to that party if the court determines both of the following: (i)That,basedontheordinaryapplicationofstatutorylawandcaselawasitexistedatthe time of violation or threatened violation that was the basis of the injunction, a well informed public body reasonably would believe that the public body was not violating or threateningtoviolatethissection;
APPENDIXA
(ii) That a wellinformed public body reasonably would believe that the conduct or threatenedconductthatwasthebasisoftheinjunctionwouldservethepublicpolicythat underliestheauthoritythatisassertedaspermittingthatconductorthreatenedconduct. (b)Ifthecourtofcommonpleasdoesnotissueaninjunctionpursuanttodivision(I)(1)ofthis section and the court determines at that time that the bringing of the action was frivolous conduct,asdefinedindivision(A)ofsection2323.51oftheRevisedCode,thecourtshallaward tothepublicbodyallcourtcostsandreasonableattorneysfees,asdeterminedbythecourt. (3)Irreparableharmandprejudicetothepartythatsoughttheinjunctionshallbeconclusivelyand irrebuttablypresumeduponproofofaviolationorthreatenedviolationofthissection. (4)Amemberofapublicbodywhoknowinglyviolatesaninjunctionissuedpursuanttodivision(I)(1) ofthissectionmayberemovedfromofficebyanactionbroughtinthecourtofcommonpleasfor thatpurposebytheprosecutingattorneyortheattorneygeneral. (J) (1)Pursuanttodivision(C)ofsection5901.09oftheRevisedCode,aveteransservicecommission shall hold an executive session for one or more of the following purposes unless an applicant requestsapublichearing: (a) Interviewing an applicant for financial assistance under sections 5901.01 to 5901.15of the RevisedCode; (b)Discussingapplications,statements,andotherdocumentsdescribedindivision(B)ofsection 5901.09oftheRevisedCode; (c) Reviewing matters relating to an applicants request for financial assistance under sections 5901.01to5901.15oftheRevisedCode. (2)Aveteransservicecommissionshallnotexcludeanapplicantfor,recipientof,orformerrecipient offinancialassistanceundersections5901.01to5901.15oftheRevisedCode,andshallnotexclude representatives selected by the applicant, recipient, or former recipient, from a meeting that the commissionconductsasanexecutivesessionthatpertainstotheapplicants,recipients,orformer recipientsapplicationforfinancialassistance. (3) A veterans service commission shall vote on the grant or denial of financial assistance under sections5901.01to5901.15oftheRevisedCodeonlyinanopenmeetingofthecommission.The minutesofthemeetingshallindicatethename,address,andoccupationoftheapplicant,whether theassistancewasgrantedordenied,theamountoftheassistanceifassistanceisgranted,andthe votesforandagainstthegrantingofassistance. MostRecentEffectiveDate:09282012
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APPENDIXA
OhioRevisedCode149.45Redacting,encrypting,or truncatingpersonalinformation;requestbyprotected individual

(A)Asusedinthissection: (1)Personalinformationmeansanyofthefollowing: (a)Anindividualssocialsecuritynumber; (b)Anindividualsfederaltaxidentificationnumber; (c)Anindividualsdriverslicensenumberorstateidentificationnumber; (d)Anindividualscheckingaccountnumber,savingsaccountnumber,orcreditcardnumber. (2)Publicrecordandpeaceofficer,paroleofficer,probationofficer,bailiff,prosecutingattorney, assistantprosecutingattorney,correctionalemployee,youthservicesemployee,firefighter,EMT,or investigator of the bureau of criminal identification and investigation residential and familial informationhavethesamemeaningsasinsection149.43oftheRevisedCode. (3)Truncatemeanstoredactallbutthelastfourdigitsofanindividualssocialsecuritynumber. (B) (1)Nopublicofficeorpersonresponsibleforapublicofficespublicrecordsshallmakeavailableto thegeneralpublicontheinternetanydocumentthatcontainsanindividualssocialsecuritynumber withoutotherwiseredacting,encrypting,ortruncatingthesocialsecuritynumber. (2)Apublicofficeorpersonresponsibleforapublicofficespublicrecordsthatpriortotheeffective dateofthissectionmadeavailabletothegeneralpublicontheinternetanydocumentthatcontains anindividualssocialsecuritynumbershallredact,encrypt,ortruncatethesocialsecuritynumber fromthatdocument. (3) Divisions (B)(1) and (2) of this section do not apply to the documents that are only accessible throughtheinternetwithapassword. (C) (1)Anindividualmayrequestthatapublicofficeorapersonresponsibleforapublicofficespublic records redact personal information of that individual from any record made available to the general public on the internet. An individual who makes a request for redaction pursuant to this division shall make the request in writing on a form developed by the attorney general and shall specify the person information to be redacted and provide any information that identifies the locationofthatpersoninformationwithinadocumentthatcontainsthatpersoninformation. (2)Uponreceivingarequestforaredactionpursuanttodivision(C)(1)ofthissection,apublicoffice or a person responsible for a public offices public records shall act within five business days in accordance with therequest toredactthe personalinformationoftheindividualfromanyrecord
APPENDIXA
madeavailabletothegeneralpublicontheinternet,ifpracticable.Ifaredactionisnotpracticable, the public office or person responsible for the public offices public records shall verbally or in writingwithinfivebusinessdaysafterreceivingthewrittenrequestexplaintotheindividualwhythe redactionisimpracticable. (3) The attorney general shall develop a form to be used by an individual to request a redaction pursuanttodivision(C)(1)ofthissection.Theformshallincludeaplacetoprovideanyinformation thatidentifiesthelocationofthepersoninformationtoberedacted. (D) (1) A peace officer, parole officer, probation office, bailiff, prosecuting attorney, assistant prosecuting attorney, correctional employee, youth services employee, firefighter, EMT, or investigator of the bureau of criminal identification and investigation may request that a public office other than a county auditor redact the address of the person making the request from any record made available to the general public on the internet that includes peace officer, parole officer, probation officer, bailiff, prosecuting attorney, assistant prosecuting attorney, correctional employee, youth services employee, firefighter, EMT, or investigator of the bureau of criminal identification and investigation residential and familial information of the person making the request. A person who makes a request for a redaction pursuant to this division shall make the requestinwritingandonaformdevelopedbytheattorneygeneral. (2) Upon receiving a written request for a redaction pursuant to division (D)(1) of this section, a publicofficeotherthanacountyauditororapersonresponsibleforthepublicrecordsofapublic officeotherthanacountyauditorshallactwithinfivebusinessdaysinaccordancewiththerequest to redact the address of the peace officer, parole officer, probation officer, bailiff, prosecuting attorney, assistant prosecuting attorney, correctional employee, youth services employee, firefighter,EMT,orinvestigatorofthebureauofcriminalidentificationandinvestigationmakingthe request from any record made available to the general public on the internet that includes peace officer,paroleofficer,probationofficer,bailiff,prosecutingattorney,assistantprosecutingattorney, correctionalemployee,youthservicesemployee,firefighter,EMT,orinvestigatorofthebureauof criminal identification and investigation residential and familial information of the person making therequest,ifapplicable.Ifaredactionisnotpracticable,thepublicofficeorpersonresponsiblefor thepublicofficespublicrecordsshallverballyorinwritingwithinfivebusinessdaysafterreceiving thewrittenrequestexplaintothepeaceofficer,paroleofficer,probationofficer,bailiff,prosecuting attorney, assistant prosecuting attorney, correctional employee, youth services employee, firefighter, EMT, or investigator of the bureau of criminal identification and investigation why the redactionisimpracticable. (3)Exceptasprovidedinthissectionandsection319.28oftheRevisedCode,apublicofficeother thananemployerofapeaceofficer,paroleofficer,probationofficer,bailiff,prosecutingattorney, assistantprosecutingattorney,correctionalemployee,youthservicesemployee,firefighter,EMT,or investigatorofthebureauofcriminalidentificationandinvestigationorapersonresponsibleforthe publicrecordsoftheemployerisnotrequiredtoredacttheresidentialandfamilialinformationof the peace officer, parole officer, probation officer, bailiff, prosecuting attorney, assistant prosecuting attorney, correctional employee, youth services employee, firefighter, EMT, or investigatorofthebureauofcriminalidentificationandinvestigationfromotherrecordsmaintained bythepublicoffice.
APPENDIXA
(4)Theattorneygeneralshalldevelopaformtobeusedbyapeaceofficer,paroleofficer,probation officer, bailiff, prosecuting attorney, assistant prosecuting attorney, correctional employee, youth services employee, firefighter, EMT, or investigator of the bureau of criminal identification and investigation to request a redaction pursuant to division (D)(1) of this section. The form shall include a place to provide any information that identifies the location of the address of a peace officer,paroleofficer,probationofficer,bailiff,prosecutingattorney,assistantprosecutingattorney, correctionalemployee,youthservicesemployee,firefighter,EMT,orinvestigatorofthebureauof criminalidentificationandinvestigationtoberedacted. (E) (1)Ifapublicofficeorpersonresponsibleforapublicofficespublicrecordsbecomesawarethatan electronic record of that public office that is made available to the general public on the internet contains an individuals social security number that was mistakenly not redacted, encrypted, or truncatedasrequiredbydivision(B)(1)or(2)ofthissection,thepublicofficeorpersonresponsible forthepublicofficespublicrecordsshallredact,encrypt,ortruncatetheindividualssocialsecurity numberwithinareasonableperiodoftime. (2)Apublicofficeorapersonresponsibleforapublicofficespublicrecordsisnotliableindamages in a civil action for any harm an individual allegedly sustains as a result of the inclusion of that individualspersonalinformationonanyrecordmadeavailabletothegeneralpublicontheinternet oranyharmapeaceofficer,paroleofficer,probationofficer,bailiff,prosecutingattorney,assistant prosecuting attorney, correctional employee, youth services employee, firefighter, EMT, or investigator of the bureau of criminal identification and investigation sustains as a result of the inclusion of the address of the peace officer, parole officer, probation officer, bailiff, prosecuting attorney, assistant prosecuting attorney, correctional employee, youth services employee, firefighter, EMT, or investigator of the bureau of criminal identification and investigation on any record made available to the general public on the internet in violation of this section unless the public office or person responsible for the public offices public records acted with malicious purpose,inbadfaith,orinawantonorrecklessmannerordivision(A)(6)(a)or(c)ofsection2744.03 oftheRevisedCodeapplies. MostRecentEffectiveDate:10172011
OhioRevisedCode319.28Generaltaxlistandgeneral duplicateofrealandpublicutilityproperty;numbering system;requestbyprotectedindividualforuseofinitials

(A)Exceptasotherwiseprovidedindivision(B)ofthissection,onorbeforethefirstMondayofAugust, annually, the county auditor shall compile and make up a general tax list of real and public utility propertyinthecounty,eitherintabularformandalphabeticalorder,or,withtheconsentofthecounty treasurer,bylistingallparcelinapermanentparcelnumbersequencetowhichaseparatealphabetical index is keyed, containing the names of the several persons, companies, firms, partnerships, associations, and corporations in whose names real property has been listed in each township, municipal corporation, special district, or separate school district, or part of either in the auditors
APPENDIXA
county, placing separately, in appropriate columns opposite each name, the description of each tract, lot, or parcel of real estate, the value of each tract, lot, or parcel, the value of the improvements thereon, and of the names of the several public utilities whose property, subject to taxation on the generaltaxlistandduplicate,hasbeenapportionedbythedepartmentoftaxationtothecounty,and theamountsoapportionedtoeachtownship,municipalcorporation,specialdistrict,orseparateschool districtorpartofeitherintheauditorscounty,asshownbythecertificatesofapportionmentofpublic utilityproperty.Ifthenameoftheownerofanytract,lot,orparcelofrealestateisunknowntothe auditor,unknownshall beenteredinthecolumnofnamesoppositesaidtrace,lot,orparcel. Such lists shall be prepared in duplicate. On or before the first Monday of September in each year, the auditor shall correct such lists in accordance with the additions and deductions ordered by the tax commissioner and by the county board of revision, and shall certify and on the first day of October deliveronecopythereoftothecountytreasurer.Thecopiespreparedbytheauditorshallconstitute theauditorsgeneraltaxlistandtreasurersgeneralduplicateofrealandpublicutilitypropertyforthe currentyear. Once a permanent parcel numbering system has been established in any county as provided by the preceding paragraph, such system shall remain in effect until otherwise agreed upon by the county auditorandcountytreasurer. (B) (1)Apeaceofficer,paroleofficer,prosecutingattorney,assistantprosecutingattorney,correctional employee, youth services employee, firefighter, EMT, or investigator of the bureau of criminal identification and investigation may submit a written request by affidavit to the county auditor requestingthecountyauditortoremovethenameofthepeaceofficer,paroleofficer,prosecuting attorney, assistant prosecuting attorney, correctional employee, youth services employee, firefighter,EMT,orinvestigatorofthebureauofcriminalidentificationandinvestigationfromany recordmadeavailabletothegeneralpublicontheinternetorapubliclyaccessibledatabaseandthe generaltaxlistofrealandpublicutilitypropertyandthegeneralduplicateofrealandpublicutility property and insert the initial so the peace officer, parole officer, prosecuting attorney, assistant prosecuting attorney, correctional employee, youth services employee, firefighter, EMT, or investigatorofthebureauofcriminalidentificationandinvestigationonanyrecordmadeavailable tothegeneralpublicontheinternetorapubliclyaccessibledatabaseandthegeneraltaxlistofreal andpublicutilitypropertyandthegeneralduplicateofrealandpublicutilitypropertyasthename of the peace officer, parole officer, prosecuting attorney, assistant prosecuting attorney, correctionalemployee,youthservicesemployee,firefighter,EMT,orinvestigatorofthebureauof criminalidentificationandinvestigationthatappearsonthedeed. (2) Upon receiving a written request by affidavit described in division (B)(1) of this section, the county auditor shall act within five business days in accordance with the request to remove the name of the peace officer, parole officer, prosecuting attorney, assistant prosecuting attorney, correctionalemployee,youthservicesemployee,firefighter,EMT,orinvestigatorofthebureauof criminalidentificationandinvestigationfromanyrecordmadeavailabletothegeneralpubliconthe internetorapubliclyaccessibledatabaseandthegeneraltaxlistofrealandpublicutilityproperty andthegeneralduplicateofrealandpublicutilitypropertyandinsertinitialsofthepeaceofficer, parole officer, prosecuting attorney, assistant prosecuting attorney, correctional employee, youth services employee, firefighter, EMT, or investigator of the bureau of criminal identification and investigation on any record made available to the general public on the internet or a publicly
APPENDIXA
accessible database and the general tax list of real and public utility property and the general duplicateofrealandpublicproperty,ifpracticable.Iftheremovalandinsertionisnotpracticable, the county auditor shall verbally or in writing within five business days after receiving the written request explain to the peace officer, parole officer, prosecuting attorney, assistant prosecuting attorney, correctional employee, youth services employee, firefighter, EMT, or investigator of the bureauofcriminalidentificationandinvestigationwhytheremovalandinsertionisimpracticable. MostRecentEffectiveDate:10162009
OhioRevisedCode1347.01PersonalInformationSystems Act:Definitions
Asusedinthischapter,exceptasotherwiseprovided: (A) State agency means the office of any elected state officer and any agency, board, commission, department,division,oreducationalinstitutionofthestate. (B)Localagencymeansanymunicipalcorporation,schooldistrict,specialpurposedistrict,ortownship of the state or any elected officer or board, bureau, commission, department, division, institution, or instrumentalityofacounty. (C)Specialpurposedistrictmeansanygeographicorpoliticaljurisdictionthatiscreatedbystatuteto performalimitedandspecificfunction,andincludes,butisnotlimitedto,librarydistricts,conservancy districts, metropolitan housing authorities, park districts, port authorities, regional airport authorities, regional transit authorities, regional water and sewer districts, sanitary districts, soil and water conservationdistricts,andregionalplanningagencies. (D) Maintains means state or local agency ownership of, control over, responsibility for, or accountability for systems and includes, but is not limited to, state or local agency depositing or information with a data processing center for storage, processing, or dissemination. An agency maintainsallsystemsofrecordsthatarerequiredbylawtobekeptbytheagency. (E) Personal information means any information that describes anything about a person, or that indicates actions done by or to a person, or that indicates that a person possesses certain personal characteristics,andthatcontains,andcanberetrievedfromasystemby,aname,identifyingnumber, symbol,orotheridentifierassignedtoaperson. (F)Systemmeansanycollectionorgroupofrelatedrecordsthatarekeptinanorganizedmannerand thataremaintainedbyastateorlocalagency,andfromwhichpersonalinformationisretrievedbythe nameofthepersonorbysomeidentifyingnumber,symbol,orotheridentifierassignedtotheperson. System includes both records that are manually stored and records that are stored using electronic data processing equipment. System does not include archival records in the custody of or administered under the authority of the Ohio historical society, published directories, reference materials or newsletter, or routine information that is maintained for the purpose of internal office administration,theuseofwhichwouldnotadverselyaffectaperson.
APPENDIXA
(G)Interconnectionofsystemsmeansalinkingofsystemsthatbelongtomorethanoneagencyorto anagencyandotherorganizations,whichlinkingofsystemsresultsinasystemthatpermitseachagency ororganizationinvolvedinthelinkingtohaveunrestrictedaccesstothesystemsoftheotheragencies andorganizations. (H)Combinationofsystemsmeansaunificationofsystemsthatbelongtomorethanoneagency,or to an agency and another organization, into a single system in which the records that belong to each agencyororganizationmayormaynotbeobtainablebytheothers. MostRecentEffectiveDate:02172006
OhioRevisedCode1347.04Exemptions
(A) (1) Except as provided in division (A)(2) of this section or division (C)(2) of section 1347.08 of the RevisedCode,thefollowingareexemptfromtheprovisionsofthischapter: (a) Any state or local agency, or part of a state or local agency, that performs as its principal functionanyactivityrelatingtotheenforcementofthecriminallaws,includingpoliceeffortsto prevent,control,orreducecrimeortoapprehendcriminals; (b)Thecriminalcourts; (c)Prosecutors; (d)Anystateorlocalagencyorpartofanystateorlocalagencythatisacorrection,probation, pardon,orparoleauthority; (e)Personalinformationsystemsthatarecomprisedofinvestigatorymaterialcompiledforlaw enforcement purposes by agencies that are not described in divisions (A)(1)(a) and (d) of this section. (2) A part of a state or local agency that does not perform, as its principal function, an activity relatingtotheenforcementofthecriminallawsisnotexemptunderthissection. (B)Theprovisionsofthischaptershallnotbeconstruedtoprohibitthereleaseofpublicrecords,orthe disclosureofpersonalinformationinpublicrecords,asdefinedinsection149.43oftheRevisedCode,or toauthorizeapublicbodytoholdanexecutivesessionforthediscussionofpersonalinformationifthe executivesessionisnotauthorizedunderdivision(G)ofsection121.22oftheRevisedCode. Thedisclosuretomembersofthegeneralpublicofpersonalinformationcontainedinapublicrecord,as definedinsection149.43oftheRevisedCode,isnotanimproperuseofpersonalinformationunderthis chapter.
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APPENDIXA
(C) The provisions of this chapter shall not be construed to prohibit, and do not prohibit, compliance withanyorderissuedpursuanttodivision(D)(1)ofsection2151.14oftheRevisedCode,anyrequestfor recordsthatisproperlymadepursuanttodivision(D)(3)(a)ofsection2151.14ordivision(A)ofsection 2151.141 [2151.14.1] of the Revised Code, or any determination that is made by a court pursuant to division (D)(3)(b) of section 2151.14 or division (B)(1) of section 2151.141 [2151.14.1] of the Revised Code. MostRecentEffectiveDate:10251995
OhioRevisedCode1347.05Dutiesofstateandlocal agencies
Everystateorlocalagencythatmaintainsapersonalinformationsystemshall: (A)Appointoneindividualtobedirectlyresponsibleforthesystem; (B) Adopt and implement rules that provide for the operation of the system in accordance with the provisionsofthischapterthat,inthecaseofstateagencies,applytostateagenciesor,inthecaseof localagencies,applytolocalagencies; (C) Inform each of its employees who has any responsibility for the operation or maintenance of the system,orfortheuseofpersonalinformationmaintainedinthesystem,oftheapplicableprovisionsof thischapterandofallrulesadoptedinaccordancewiththissection; (D)Specifydisciplinarymeasurestobeappliedtoanyemployeewhoinitiatesorotherwisecontributes to any disciplinary or other punitive action against any individual who brings to the attention of appropriate authorities, the press, or any member of the public, evidence of unauthorized use of informationcontainedinthesystem; (E) Inform a person who is asked to supply personal information for a system whether the person is legallyrequiredto,ormayrefuseto,supplytheinformation; (F) Develop procedures for purposes of monitoring the accuracy, relevance, timeliness, and completeness of the personal information in this system, and in accordance with the procedures, maintain the personal information in the system with the accuracy, relevance, timeliness, and completenessthatisnecessarytoassurefairnessinanydeterminationmadewithrespecttoaperson onthebasisoftheinformation; (G) Take reasonable precautions to protect personal information in the system from unauthorized modification,destruction,use,ordisclosure; (H)Collect,maintain,anduseonlypersonalinformationthatisnecessaryandrelevanttothefunctions thattheagencyisrequiredorauthorizedtoperformbystatute,ordinance,code,orrule,andeliminate personalinformationfromthesystemwhenitisnolongernecessaryandrelevanttothosefunctions.
APPENDIXA
OhioRevised1347.06Rules
Thedirectorofadministrativeservicesshalladopt,amend,andrescindrulespursuanttoChapter119.of the Revised Code for the purposes of administering and enforcing the provisions of this chapter that pertaintostateagencies. Astateorlocalagencythat,oranofficeroremployeeofastateorlocalagencywho,compliesingood faithwitharuleapplicabletotheagencyisnotsubjecttocriminalprosecutionorcivilliabilityunderthis chapter. MostRecentEffectiveDate:01231981
OhioRevisedCode1347.07Useofpersonalinformation
A state or local agency shall only use the personal information in a personal information system in a mannerthatisconsistentwiththepurposesofthesystem. MostRecentEffectiveDate:01231981
OhioRevisedCode1347.071Interconnectedorcombined systems
(A)Nostateorlocalagencyshallplacepersonalinformationinaninterconnectedorcombinedsystem, orusepersonalinformationthatisplacedinaninterconnectedorcombinedsystembyanotherstateor localagencyoranotherorganization,unlesstheinterconnectedorcombinedsystemwillcontributeto theefficiencyoftheinvolvedagenciesinimplementingprogramsthatareauthorizedbylaw. (B) No state or local agency shall use personal information that is placed in an interconnected or combined system by another state or local agency or another organization, unless the personal informationisnecessaryandrelevanttotheperformanceofalawfulfunctionoftheagency. (C)Whenastateorlocalagencyrequestsapersontosupplypersonalinformationthatwillbeplacedin aninterconnectedorcombinedsystem,theagencyshallprovidethepersonwithinformationrelevant to the system, including the identity of the other agencies or organizations that have access to the informationinthesystem. MostRecentEffectiveDate:01231981
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APPENDIXA
OhioRevisedCode1347.08Rightsofsubjectofpersonal information
(A)Everystateorlocalagencythatmaintainsapersonalinformationsystem,upontherequestandthe properidentificationofanypersonwhoisthesubjectofpersonalinformationinthesystem,shall: (1) Inform the person of the existence of any personal information in the system of which the personisthesubject; (2)Exceptasprovidedindivisions(C)and(E)(2)ofthissection,permittheperson,thepersonslegal guardian, or an attorney who presents a signed written authorization made by the person, to inspectallpersonalinformationinthesystemofwhichthepersonisthesubject; (3)Informthepersonaboutthetypesofusesmadeofthepersoninformation,includingtheidentity ofanyusersusuallygrantedaccesstothesystem. (B)Anypersonwhowishestoexercisearightprovidedbythissectionmaybeaccompaniedbyanother individualofthepersonschoice. (C) (1) A state or local agency, upon request, shall disclose medical, psychiatric, or psychological information to a person who is the subject of the information or to the persons legal guardian, unlessaphysician,psychiatrist,orpsychologistdeterminesfortheagencythatthedisclosureofthe informationislikelytohaveanadverseeffectontheperson,inwhichcasetheinformationshallbe released to a physician, psychiatrist, or psychologist who is designated by the person or by the personslegalguardian. (2) Upon the signed written request of either a licensed attorney at law or a licensed physician designatedbytheinmate,togetherwiththesignedwrittenrequestofaninmateofacorrectional institution under the administration of the department of rehabilitation and correction, the departmentshalldisclosemedicalinformationtothedesignatedattorneyorphysicianasprovided indivision(C)ofsection5120.21oftheRevisedCode. (D) If an individual who is authorized to inspect personal information that is maintained in a personal information system requests the state or local agency that maintains the system to provide a copy of anypersonalinformationthattheindividualisauthorizedtoinspect,theagencyshallprovideacopyof thepersonalinformationtotheindividual.Eachstateandlocalagencymayestablishreasonablefees fortheserviceofcopying,uponrequest,personalinformationthatismaintainedbytheagency. (E) (1) This section regulates access to personal information that is maintained in a personal information system by persons who are the subject of the information, but does not limit the authorityofanyperson,includingapersonwhoisthesubjectofpersonalinformationmaintainedin apersonalinformationsystem,toinspectorhavecopied,pursuanttosection149.43oftheRevised Code,apublicrecordasdefinedinthatsection.
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APPENDIXA
(2)Thissectiondoesnotprovideapersonwhoisthesubjectofpersonalinformationmaintainedin a personal information system, the persons legal guardian, or any attorney authorized by the person, with a right to inspect or have copied, or require an agency that maintains a personal information system to permit the inspection of or to copy, a confidential law enforcement investigatory record or trial preparation record, as defined in divisions (A)(2) and (4) of section 149.43oftheRevisedCode.
(F)Thissectiondoesnotapplytoanyofthefollowing: (1)Thecontentsofanadoptionfilemaintainedbythedepartmentofhealthundersection3705.12 oftheRevisedCode; (2)Informationcontainedintheputativefatherregistryestablishedbysection3107.062[3107.06.2] of the Revised Code, regardless of whether the information is held by the department of job and familyservicesor,pursuanttosection3111.69oftheRevisedCode,theofficeofchildsupportinthe departmentorachildsupportenforcementagency; (3) Papers, records, and books that pertain to an adoption and that are subject to inspection in accordancewithsection3107.17oftheRevisedCode; (4)Recordslistedindivision(A)ofsection3107.42oftheRevisedCodeorspecifiedindivision(A)of section3107.52oftheRevisedCode; (5)Recordsthatidentifyanindividualdescribedindivision(A)(1)ofsection3721.031[3721.03.1]of theRevisedCode,orthatwouldtendtoidentifysuchanindividual; (6)Filesandrecordsthathavebeenexpungedunderdivision(D)(1)or(2)ofsection3721.23ofthe RevisedCode; (7)Recordsthatidentifyanindividualdescribedindivision(A)(1)ofsection3721.25oftheRevised Code,orthatwouldtendtoidentifysuchanindividual; (8)Recordsthatidentifyanindividualdescribedindivision(A)(1)ofsection5111.61oftheRevised Code,orthatwouldtendtoidentifysuchanindividual; (9)Testmaterials,examination,orevaluationtoolsusedinanexaminationforlicensureasanursing homeadministratorthattheboardofexaminersofnursinghomeadministratorsadministersunder section 4751.04 of the Revised Code or contracts under that section with a private government entitytoadminister; (10)Informationcontainedinadatabaseestablishedandmaintainedpursuanttosection5101.13of theRevisedCode. MostRecentEffectiveDate:10162009
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APPENDIXA
OhioRevisedCode1347.09Disputedinformation;dutiesof agency
(A) (1) If any person disputes the accuracy, relevance, timeliness, or completeness of personal information that pertains to him and that is maintained by any state or local agency in a person informationsystem,hemayrequesttheagencytoinvestigatethecurrentstatusoftheinformation. Theagencyshall,withinareasonabletimeafter,butnotlaterthanninetydaysafter,receivingthe request from the disputant, make a reasonable investigation to determine whether the disputed informationisaccurate,relevant,timely,andcomplete,andshallnotifythedisputantoftheresults of the investigation and of the action that the agency plans to take with respect to the disputed information. The agency shall delete any information that it cannot verify or that it finds to be inaccurate. (2)Ifafteranagencysdetermination,thedisputantisnotsatisfied,theagencyshalldoeitherofthe following: (a) Permit the disputant to include within the system a brief statement of his position on the disputed information. The agency may limit the statement to not more than one hundred wordsiftheagencyassiststhedisputanttowriteaclearsummaryofthedispute. (b)Permitthedisputanttoincludewithinthesystemanotationthatthedisputantproteststhat theinformationisinaccurate,irrelevant,outdated,orincomplete.Theagencyshallmaintaina copy of the disputants statement of the dispute. The agency may limit the statement to not morethanonehundredwordsiftheagencyassiststhedisputanttowriteaclearsummaryof thedispute. (3) The agency shall include the statement or notation in any subsequent transfer, report, or disseminationofthedisputedinformationand mayincludewiththestatementornotationofthe disputant a statement by the agency that is has reasonable grounds to believe that the dispute is frivolousorirrelevant,andofthereasonsforitsbelief. (B) The presence of contradictory information in the disputants file does not alone constitute reasonablegroundstobelievethatthedisputeisfrivolousorirrelevant. (C)Followinganydeletionofinformationthatisfoundtobeinaccurateortheaccuracyofwhichcanno longerbeverified,orifastatementofdisputewasfiledbythedisputant,theagencyshall,atthewritten requestofthedisputant,furnishnotificationthattheinformationhasbeendeleted,orfurnishacopyof the disputants statement of the dispute, to any person specifically designated by the person. The agency shall clearly and conspicuously disclose to the disputant that he has the right to make such a requesttotheagency. MostRecentEffectiveDate:01231981
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APPENDIXA
OhioRevisedCode1347.10Liabilityforwrongful disclosure;limitationofaction
(A)Apersonwhoisharmedbytheuseofpersoninformationthatrelatestohimandthatismaintained inapersonalinformationsystemmayrecoverdamagesincivilactionfromanypersonwhodirectlyand proximatelycausedtheharmbydoinganyofthefollowing: (1) Intentionally maintaining personal information that he knows, or has reason to know, is inaccurate,irrelevant,nolongertimely,orincompleteandmayresultinsuchharm; (2)Intentionallyusingordisclosingthepersonalinformationinamannerprohibitedbylaw; (3) Intentionally supplying personal information for storage in, or using or disclosing personal informationmaintainedin,apersonalinformationsystem,thatheknows,orhasreasontoknow,is false; (4)Intentionallydenyingtothepersontherighttoinspectanddisputethepersonalinformationata timewheninspectionorcorrectionmighthavepreventedtheharm. An action under this division shall be brought within two years after the cause of action accrued or withinsixmonthsafterthewrongdoingisdiscovered,whicheverislater;providedthatnoactionshall bebroughtlaterthansixyearsafterthecauseofactionaccrued.Thecauseofactionaccruesatthetime thatthewrongdoingoccurs. (B)Anypersonwho,oranystateorlocalagencythat,violatesorproposestoviolateanyprovisionof thischaptermaybeenjoinedbyanycourtofcompetentjurisdiction.Thecourtmayissueanorderor enterajudgmentthatisnecessarytoensurecompliancewiththeapplicableprovisionsofthischapter or to prevent the use of any practice that violates this chapter. An action for an injunction may be prosecuted by the person who is the subject of the violation, by the attorney general, or by any prosecutingattorney. MostRecentEffectiveDate:01231981
OhioRevisedCode1347.12Disclosureornotificationby stateorlocalagencyofbreachofsecurityofpersonal informationsystem

(A)Asusedinthissection: (1)Agencyofapoliticalsubdivisionmeanseachorganizedbody,office,oragencyestablishedbya politicalsubdivisionfortheexerciseofanyfunctionofthepoliticalsubdivision,exceptthatagency ofapoliticalsubdivisiondoesnotincludeanagencythatisacoveredentityasdefinedin45C.F.R. 160.103,asamended.
APPENDIXA
(2) (a) Breach of the security system means unauthorized access to an acquisition of computerized data that compromises the security or confidentiality of personal information owned or licensed by a state agency or an agency of a political subdivision and that causes, reasonably is believes to have caused, or reasonably is believed will cause a material risk of identitytheftorotherfraudtothepersonorpropertyofaresidentofthisstate. (b)Forpurposesofdivision(A)(2)(a)ofthissection: (i) Good faith acquisition of personal information by an employee or agent of the state agencyoragencyofthepoliticalsubdivisionforthepurposesoftheagencyisnotabreach of the security of the system, provided that the personal information is not used for unlawfulpurposeorsubjecttofurtherunauthorizeddisclosure. (ii) Acquisition of personal information pursuant to a search warrant, subpoena, or other courtorder,orpursuanttoasubpoena,order,ordutyofaregulatorystateagency,isnota breachofthesecurityofthesystem. (3) Consumer reporting agency that compiles and maintains files on consumers on a nationwide basismeansaconsumerreportingagencythatregularlyengagesinthepracticeofassemblingor evaluating,andmaintaining,forthepurposeoffurnishingconsumerreportstothirdpartiesbearing on a consumers creditworthiness, credit standing, or credit capacity, each of the following regardingconsumersresidingnationwide: (a)Publicrecordinformation; (b)Creditaccountinformationfrompersonswhofurnishthatinformationregularlyandinthe ordinarycourseofbusiness. (4) Encryption means the use of an algorithmic process to transform data into a form in which thereisalowprobabilityofassigningmeaningwithoutuseofaconfidentialprocessorkey. (5)Individualmeansanaturalperson. (6) (a) Personal information means, notwithstanding section 1347.01 of the Revised Code, an individuals name, consisting of the individuals first name or first initial and last name, in combinationwithandlinkedtoanyoneormoreofthefollowingdataelements,whenthedata elementsarenotencrypted,redacted,oralteredbyanymethodortechnologyinsuchamanner thatthedataelementsareunreadable: (i)Socialsecuritynumber; (ii)Driverslicensenumberorstateidentificationcardnumber; (iii)Accountnumberorcreditordebitcardnumber,incombinationwithandlinkedtoany requiredsecuritycode,accesscode,orpasswordthatwouldpermitaccesstoanindividuals financialaccount.
APPENDIXA
(b)Personalinformationdoesnotincludepubliclyavailableinformationthatislawfullymade available to the general public from federal, state, or local government records or any of the followingmediathatarewidelydistributed: (i) Any news, editorial, or advertising statement published in any bona fide newspaper, journal,ormagazine,orbroadcastoverradioortelevision; (ii) Any gathering or furnishing of information or news by any bona fide reporter, correspondent, or news bureau to news media described in division (A)(6)(b)(i) of this section; (iii)Anypublicationdesignedforanddistributedtomembersofanybonafideassociationor charitableorfraternalnonprofitcorporation; (iv)Anytypeofmediasimilarinnaturetoanyitem,entity,oractivityidentifiedindivision (A)(6)(b)(i),(ii),or(iii)ofthissection. (7)Politicalsubdivisionhasthesamemeaningasinsection2744.01oftheRevisedCode. (8) Record means any information that is stored in an electronic medium and is retrievable in perceivableform.Recorddoesnotincludeanypubliclyavailabledirectorycontaininginformation an individual voluntarily has consented to have publicly disseminated or listed, such as name, address,ortelephonenumber. (9) Redacted means altered or truncated so that no more than the last four digits of a social security number, drivers license number, state identification card number, account number, or creditordebitcardnumberisaccessibleaspartofthedata. (10)Stateagencyhasthesamemeaningasinsection1.60oftheRevisedCode,exceptthatstate agency does not include an agency that is a covered entity as defined in 45 C.F.R. 160.103, as amended. (11)Systemmeans,notwithstandingsection1347.01oftheRevisedCode,anycollectionorgroup ofrelatedrecordsthatarekeptinanorganizedmanner,thataremaintainedbyastateagencyoran agencyofapoliticalsubdivision,andfromwhichpersonalinformationisretrievedbythenameof theindividualorbysomeidentifyingnumber,symbol,orotheridentifierassignedtotheindividual. System does not include any collected archival records in the custody of or administered under the authority of the Ohio historical society, any published directory, any reference material or newsletter, or any routine information that is maintained for the purpose of internal office administrationoftheagency,iftheuseofthedirectory,material,newsletter,orinformationwould not adversely affect an individual and if there has been no unauthorized external breach of the directory,material,newsletter,orinformation. (B) (1) Any state agency or agency of a political subdivision that owns or licenses computerized data thatincludespersonalinformationshalldiscloseanybreachofthesecurityofthesystemfollowing
APPENDIXA
itsdiscoveryornotificationofthebreachofthesecurityofthesystem,toanyresidentofthisstate whosepersonalinformationwas,orreasonablyisbelievestohavebeen,accessedandacquiredby an unauthorized person if the access and acquisition by the unauthorized person causes or reasonablyisbelievedwillcauseamaterialriskofidentitytheftorotherfraudtotheresident.The disclosuredescribedinthisdivisionmaybemadepursuanttoanyprovisionofacontractentered intobythestateagencyoragencyofapoliticalsubdivisionwithanypersonoranotherstateagency or agency of a political subdivision prior to the date the breach of the security of the system occurredif thatcontract doesnotconflictwithanyprovisionofthissection. Forpurposesofthis section,aresidentofthisstateisanindividualwhoseprincipalmailingaddressasreflectedinthe recordsofthestateagencyoragencyofapoliticalsubdivisionisinthisstate. (2) The state agency or agency of a political subdivision shall make the disclosure described in division(B)(1)ofthissectioninthemostexpedienttimepossiblebutnotlaterthanfortyfivedays following its discovery or notification of the breach in the security of the system, subject to the legitimateneedsoflawenforcementactivitiesdescribedindivision(D)ofthissectionandconsistent with any measures necessary to determine the scope of the breach, including which residents personalinformationwasaccessedandacquired,andtorestorethereasonableintegrityofthedata system. (C)Anystateagencyoragencyofapoliticalsubdivisionthat,onbehalfoforatthedirectionofanother state agency or agency of a political subdivision, is the custodian of or stores computerized data that includespersonalinformationshallnotifythatotherstateagencyoragencyofapoliticalsubdivisionof anybreachofthesecurityofthesysteminanexpeditiousmanner,ifthepersonalinformationwas,or reasonablyisbelievedtohavebeen,accessedandacquiredbyanunauthorizedpersonandiftheaccess andacquisitionbytheunauthorizedpersoncausesorreasonablyisbelievedwillcauseamaterialriskof identitytheftorotherfraudtoaresidentofthisstate. (D)Thestateagencyoragencyofapoliticalsubdivisionmaydelaythedisclosureornotificationrequired bydivision(B),(C),or(F)ofthissectionifalawenforcementagencydeterminesthatthedisclosureor notification will impede a criminal investigation or jeopardize homeland or national security, in which case,thestateagencyoragencyofapoliticalsubdivisionshallmakethedisclosureornotificationafter the law enforcement agency determines that disclosure or notification will not compromise the investigationorjeopardizehomelandornationalsecurity. (E)Forpurposesofthissection,astateagencyoragencyofapoliticalsubdivisionmaydiscloseormake anotificationbyanyofthefollowingmethods: (1)Writtennotice; (2) Electronic notice, if the state agencys or agency of a political subdivisions primary method of communicationwiththeresidenttowhomthedisclosuremustbemadeisbyelectronicmeans; (3)Telephonenotice; (4) Substitute notice in accordance with this division, if the state agency or agency of a political subdivisiontodisclosedemonstratesthattheagencydoesnothavesufficientcontactinformationto
APPENDIXA
providenoticeinamannerdescribedindivision(E)(1),(2),or(3)ofthissection,orthatthecostof providing disclosure or notice to residents to whom disclosure or notification is required would exceedtwohundredfiftythousanddollars,orthattheaffectedclassofsubjectresidentstowhom disclosure or notification is required exceeds five hundred thousand persons. Substitute notice underthisdivisionshallconsistofallofthefollowing: (a)Electronicmailnoticeifthestateagencyoragencyofapoliticalsubdivisionhasanelectronic mailaddressfortheresidenttowhomthedisclosuremustbemade; (b)Conspicuouspostingofthedisclosureornoticeonthestateagencysoragencyofapolitical subdivisionswebsite,iftheagencymaintainsone; (c)Notificationtomajormediaoutlet,totheextentthatthecumulativetotalofthereadership, viewing audience, or listening audience of all of the outlets so notified equals or exceeds seventyfivepercentofthepopulationofthisstate. (5) Substitute notice in accordance with this division, if the state agency or agency of a political subdivisionrequiredtodisclosedemonstratesthattheagencyhastenemployeesorfewerandthat the cost of providing the disclosures or notices to residents to whom disclosure or notification is requiredwillexceedtenthousanddollars.Substitutenoticeunderthisdivisionshallconsistofallof thefollowing: (a) Notification by a paid advertisement in a local newspaper that is distributed in the geographicareainwhichthestateagencyoragencyofapoliticalsubdivisionislocated,which advertisement shall be of sufficient size that it covers at least onequarter of a page in the newspaperandshallbepublishedinthenewspaperatleastonceaweekforthreeconsecutive weeks; (b)Conspicuouspostingofthedisclosureornoticeonthestateagencysoragencyofapolitical subdivisionswebsite,iftheagencymaintainsone; (c) Notification to major media outlets in the geographic area in which the state agency or agencyofapoliticalsubdivisionislocated. (F)Ifastateagencyoragencyofapoliticalsubdivisiondiscoverscircumstancesthatrequiredisclosure underthissectiontomorethanonethousandresidentsofthisstateinvolvedinasingleoccurrenceofa breach of the security of the system, the state agency or agency of a political subdivision shall notify, without unreasonable delay, all consumer reporting agencies that compile and maintain files on consumersonanationwidebasisofthetiming,distribution,andcontentofthedisclosuregivenbythe stateagencyoragencyofapoliticalsubdivisiontotheresidentsofthisstate.Innocaseshallastate agency or agency of a political subdivision that is required to make a notification required by this divisiondelayanydisclosureornotificationrequiredbydivision(B)or(C)ofthissectioninordertomake thenotificationrequiredbythisdivision.
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APPENDIXA
(G) The attorney general, pursuant to sections 1349.191 [1349.19.1] and 1349.19.2 [1349.19.2] of the RevisedCode,mayconductaninvestigationand bringacivilactionuponan allegedfailurebyastate agencyoragencyofapoliticalsubdivisiontocomplywiththerequirementsofthissection. MostRecentEffectiveDate:03302007
OhioRevisedCode1347.15Stateagenciestoadoptrules regulatingsuccesstoconfidentialpersonalinformation; privacyimpactassessmentform;civilactionforharmresulting fromviolation

(A)Asusedinthissection: (1)Confidentialpersonalinformationmeanspersonalinformationthatisnotapublicrecordfor purposesofsection149.43oftheRevisedCode. (2)Stateagencydoesnotincludethecourtsoranyjudicialagency,anystateassistedinstitutionof highereducation,oranylocalagency. (B)EachstateagencyshalladoptrulesunderChapter119.oftheRevisedCoderegulatingaccesstothe confidentialpersonalinformationtheagencykeeps,whetherelectronicallyoronpaper.Therulesshall includeallofthefollowing: (1)Criteriafordeterminingwhichemployeesofthestateagencymayaccess,andwhichsupervisory employees of the state agency may authorize those employees to access, confidential personal information; (2)Alistofthevalidreasons,directlyrelatedtothestateagencysexerciseofitspowersorduties, forwhichonlyemployeesofthestateagencymayaccessconfidentialpersonalinformation; (3) References to the applicable federal or state statutes or administrative rules that make the confidentialpersonalinformationconfidential; (4)Aprocedurethatrequiresthestateagencytodoallofthefollowing: (a) Provide than any upgrades to an existing computer system, or the acquisition of any new computersystem,thatstores,manages,orcontainsconfidentialpersonalinformationincludea mechanism for recording specific access by employees of the state agency to confidential personalinformation; (b)Untilanupgradeornewacquisitionofthetypedescribedindivision(B)(4)(a)ofthissection occurs, except as otherwise provided in division (C)(1) of this section, keep a log that records specificaccessbyemployeesofthestateagencytoconfidentialpersonalinformation;
APPENDIXA
(5)Aprocedurethatrequiresthestateagencytocomplywithawrittenrequestfromanindividual for a list of confidential personal information about the individual that the state agency keeps, unlesstheconfidentialpersonalinformationrelatestoaninvestigationabouttheindividualbased uponspecificstatutoryauthoritybythestateagency; (6) A procedure that requires the state agency to notify each person whose confidential personal information has been accessed for an invalid reason by employees of the state agency of that specificaccess; (7)Arequirementthatthedirectorofthestateagencydesignateanemployeeofthestateagency toserveasthedataprivacypointofcontactwithinthestateagencytoworkwiththechiefprivacy officerwithintheofficeofinformationtechnologytoensurethatconfidentialpersonalinformation is properly protected and that the state agency complies with this section and rules adopted thereunder; (8) A requirement that the data privacy point of contact for the state agency complete a privacy impactassessmentform;and (9)Arequirementthatapasswordorotherauthenticationmeasurebeusedtoaccessconfidential personalinformationthatiskeptelectronically. (C) (1)Aprocedureadoptedpursuanttodivision(B)(4)ofthissectionshallnotrequireastateagencyto recordinthelogitkeepsunderdivision(B)(4)(b)ofthissectionanyspecificaccessbyanyemployee oftheagencytoconfidentialpersonalinformationinanyofthefollowingcircumstances: (a)The access occurs as a result of research performed for official agency purposes, routine officeprocedures,orincidentalcontactwiththeinformation,unlesstheconductresultinginthe access is specifically directed toward a specifically names individual or a group of specifically namedindividuals. (b)Theaccessistoconfidentialpersonalinformationaboutanindividual,andtheaccessoccurs as a result of a request by that individual for confidential personal information about that individual. (2) Each state agency shall establish a training program for all employees of the state agency describedindivision(B)(1)ofthissectionsothattheseemployeesaremadeawareofallapplicable statutes,rules,andpoliciesgoverningtheiraccesstoconfidentialpersonalinformation. Theofficeofinformationtechnologyshalldeveloptheprivacyimpactassessmentformandpostthe form on its internet web site by the first day of December each year. The form shall assist each state agency in complying with the rules it adopted under this section, in assessing the risks and effects of collecting, maintaining, and disseminating confidential personal information, and in adoptingprivacyprotectionprocessesdesignedtomitigatepotentialriskstoprivacy. (D)Eachstateagencyshalldistributethepoliciesincludedintherulesadoptedunderdivision(B)ofthis sectiontoeachemployeeoftheagencydescribedindivision(B)(1)ofthissectionandshallrequirethat
APPENDIXA
theemployeeacknowledgereceiptofthecopyofthepolicies.Thestateagencyshallcreateaposter thatdescribesthesepoliciesandpostitinaconspicuousplaceinthemainofficeofthestateagencyand inalllocationswherethestateagencyhasbranchoffices.Thestateagencyshallpostthepoliciesonthe internet web site of the agency if it maintains such an internet web site. A state agency that has establishedamanualorhandbookofitsgeneralpoliciesandproceduresshallincludethesepoliciesin themanualorhandbook. (E) No collective bargaining agreement entered into under Chapter 4117. of the Revised Code on or after the effective date of this section shall prohibit disciplinary action against or termination of an employee of a state agency who is found to have accessed, disclosed, or used personal confidential informationinviolationofaruleadoptedunderdivision(B)ofthissectionorasotherwiseprohibitedby law. (F)Theauditorofstateshallobtainevidencethatstateagenciesadoptedtherequiredproceduresand policiesinaruleunderdivision(B)ofthissection,shallobtainevidencesupportingwhetherthestate agencyiscomplyingwiththosepoliciesandprocedures,andmayincludecitationsorrecommendations relatingtothissectioninanyauditreportissuedundersection117.11oftheRevisedCode. (G) A person who is harmed by a violation of a rule of a state agency described in division (B) of this sectionmaybringanactioninthecourtofclaims,asdescribedindivision(F)ofsection2743.02ofthe RevisedCode,againstanypersonwhodirectlyandproximatelycausedtheharm. (H) (1) No person shall knowingly access confidential personal information in violation of a rule of a stateagencydescribedindivision(B)ofthissection. (2) No person shall knowingly use or disclose confidential personal information in a manner prohibitedbylaw. (3)Nostateagencyshallemployapersonwhohasbeenconvictedoforpleadedguiltytoaviolation ofdivision(H)(1)or(2)ofthissection. (4)Aviolationofdivision(H)(1)or(2)ofthissectionisaviolationofastatestatuteforpurposesof division(A)ofsection124.341[124.34.1]oftheRevisedCode. MostRecentEffectiveDate:04072009
OhioRevisedCode1347.99Penalties
(A)Nopublicofficial,publicemployee,orotherpersonwhomaintains,orisemployedbyapersonwho maintains, a personal information system for a state or local agency shall purposely refuse to comply withdivision(E),(F),(G),or(H)ofsection1347.05,section1347.071[1347.07.1],division(A),(B),or(C) ofsection1347.08,ordivision(A)or(C)ofsection1347.09oftheRevisedCode.Whoeverviolatesthis sectionisguiltyofaminormisdemeanor.
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APPENDIXA
(B) Whoever violates division (H)(1) or (2) of section 1347.15 of the Revised Code is guilty of a misdemeanorofthefirstdegree. MostRecentEffectiveDate:04072009
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APPENDIXC
OhioAttorneyGeneralOpinions InterpretingOhiosPublicRecordsAct
The following are summaries of the Opinions of the Ohio Attorney General that have addressed or interpretedtheOhioPublicRecordsAct.Beawarethatthevalidityofanyoneopinionmayhavebeen affectedbyasubsequentcourtopinionorstatutorychange.Thefulltextoftheseopinionscanbefound athttp://www.ohioattorneygeneral.gov.1
2012036
Pursuant to R.C 307.862(C), information in a competitive sealed proposal submitted to a county contractingauthoritypursuanttoR.C307.862becomespublicrecordthatmustbemadeavailablefor public inspection and copying under R.C 149.43 after the contract is awarded, unless the information falls within one of the exceptions to the definition of the term public record set forth in R.C. 149.43(A)(1)andisredactedfromtheproposalbythecontractingauthority. Pursuant to R.C. 307.87 and R.C. 307.88, information in a competitive bid submitted to a county contracting authority under R.C. 307.86.92 becomes a public record that must be made available for public inspection and copying under R.C. 149.43 after the bid is opened by the contracting authority, unlesstheinformationfallswithinoneoftheexceptionstothedefinitionofthetermpublicrecordset forthinR.C.149.43(A)(1)andisredactedfromthebidbythecontractingauthority.
2012032
The Ohio Vendors Representative Committee is a public office subject to the requirements of R.C. 149.43. The Committee is responsible for maintaining the public records of the Committee. The chairperson of the Committee is responsible for developing a records retention schedule for the Committee.
2012028
PursuanttoR.C.4141.22,informationthatis(1)maintainedbytheOhioDepartmentofJobandFamily ServicesandprovidedtotheUnemploymentCompensationReviewCommissionbytheDepartmentand (2)placedinadirectorsfile,reviewfile,ordecisionoftheCommissionisnotapublicrecordthatmust bemadeavailableforinspectionandcopyingunderR.C.149.43.Informationinadirectorsfile,review file,ordecisionoftheCommissionthatisnotsubjecttotheconfidentialityprovisionofR.C.4141.22isa public record for purposes of R.C. 149.43, unless the information is not a record, as defined in R.C.
Onlyopinionsafter1994areavailableelectronically.WhensearchingthefulltextoftheseopinionsontheAGwebsite,usethenumbers foundinboldaboveeachbodyoftext.Ifusinganothersearchmethod(suchasLexisNexisorWestlaw),thecitationformatneededwillbe different.Forexample,iftryingtolocatethefirstopinionlistedonthispage,theformatusedwouldbe:2008OhioOp.AttyGen.No.019. OhioAttorneyGeneralMikeDeWineOhioSunshineLaws2013:AnOpenGovernmentResourceManual PageC1
APPENDIXC
149.011(G), ortheinformationfalls withinoneoftheexceptionstothedefinitionofthetermpublic recordsetforthinR.C149.43(A)(1).
2011012
Aprovisionalballotenvelopeissubjecttostateelectionslawsmandatingthesealandpreservationof ballotsuntilanypossiblerecountorelectioncontestiscompleted;statelaw,withinthemeaningofR.C. 149.43(A)(1)(v)andR.C.3501.13(C),prohibitsthereleaseofprovisionalballotenvelopesduringthetime aboardofelectionsisrequiredtopreserveballotsunderseal.Aprovisionalballotenvelopeisapublic record subject to release once the time has passed during which a board of elections is required to preserve ballots under seal. R.C. 3505.181(B)(5)(b) does not prohibit the release of provisional ballot envelopes.Rather,R.C.3505.181(B)(5)(b)prohibitsthereleaseofparticularvoterinformationthrough the free access system to anyone other than the voter to whom that information pertains. The free accesssystemestablishedpursuanttoR.C.3505.181(B)(5)(b)maybeusedonlybyavotertogainaccess toinformationabouthisindividualprovisionalballot.
2010029
TheOhioDepartmentofJobandFamilyServices,insupportofcivilorcriminalprosecutionsarisingout of investigations by the Bureau of Workers Compensation, may provide certified copies of employer payroll records to the Bureau or the appropriate prosecuting authority and may allow a Department representativetotestifyregardingthoserecordsattrial.
2010016
R.C.1347.15requireseverystateagencytoadoptrulesregulatingaccesstoitsconfidentialpersonal informationsystems,butexceptsanyjudicialagencyfromsuchrequirements.Ajudicialagencyispart ofthejudicialbranchofgovernmentorrendersjudgmentsinquasijudicialproceedings.TheBoardof TaxAppealsrendersjudgmentstoresolvejusticiabledisputesarisingunderOhiostaxlawsandits proceedingsarequasijudicialinnature.TheBTAisthereforenotsubjecttotherequirementsofR.C. 1347.15.
2008019
Anaudiotaperecordingofameetingofaboardoftownshiptrusteesthatiscreatedbythetownship fiscalofficerforthepurposeoftakingnotestocreateanaccuraterecordofthemeeting,asrequiredby R.C.507.04(A),isapublicrecordforpurposesofR.C.149.43.Theaudiotaperecordingmustbemade availableforpublicinspectionandcopying,andretainedinaccordancewiththetermsofthetownship recordsretentionscheduleforsucharecord.
PageC2
APPENDIXC
2008003
Depending on the manner in which it is formed and operated, a nonprofit corporation formed under R.C. 183.061 might be subject to the public records law in R.C. 149.43, the open meetings law in R.C. 121.22,orparticularcontractingcontrolsgoverningstateagencies.
2007042
A county coroner who performs an autopsy and forensic examination, pursuant to contract with the coroner who has jurisdiction over the case, is not required by R.C. 313.09 to keep the autopsy and examinationreportsheprepares,buthemustkeepcopiesofthereportsinconformancewithisoffices recordsretentionschedule,asfiledandapprovedinaccordancewithR.C.149.38. A county coroner who performs an autopsy and forensic examination, pursuant to contract with the coronerwhohasjurisdictionoverthecase,isrequiredbyR.C.149.43tomakeavailabletoanyperson forinspectionandcopyingthecopiesoftheautopsyandforensicexaminationreportsthatheprepared forconstitutionallymandatedexception. A county corner who performs an autopsy and forensic examination, pursuant to contract with the coronerwhohasjurisdictionoverthecase,hasnodutyunderR.C.313.10(D)or(E),orR.C.149.43,to makeavailabletojournalistsorinsurerscopiesofanyrecordsthathisofficehasretainedinconnection withperformanceofthecontractiftherecordsarenotpublicrecords.
2007039
InthecontextofR.C.2923.129,whichconcernsthepowersanddutiesofacountysheriffwithrespect toinformationkeptpertainingtolicensestocarryconcealedhandguns,ajournalistisprohibitedfrom makingareproductionbyanymeans,otherthanthroughhisownmentalprocesses,oftheinformation the journalist is permitted to view under that statute. A sheriff may exercise his discretion in determiningareasonablemannerbywhichajournalistmayview,butnotcopy,thatinformationsolong as the confidentiality of other information relative to licenses to carry concealed handguns is maintained.Subjecttothejournalistexception,revealing,disclosing,orotherwisemakingknownanyof theinformationmadeconfidentialbythestatuteisprohibitedexceptasrequiredbyacourtorder,or unlessastatutespecificallyauthorizesorrequiresotherusesofsuchinformation.R.C.2923.129(B)(1) doesnotprohibitanewspaperfrompublishinginformationthatajournalisthasviewedinaccordance withthestatute.
2007034
A piece of physical evidence collected by law enforcement in connection with a criminal investigation andheldbyacountyprosecutingattorneyfollowingconclusionofthetrial,appeals,andpostconviction proceedingstowhichtheevidencepertainsisnotapublicrecordsforpurposesofR.C.149.43.
PageC3
APPENDIXC
2007026
Article II, Section 34a of the Ohio Constitution and Am.Sub. HB690, 126th Gen. A. (2006) (eff. April 4, 2007) do not render confidential information about a public employees rate of pay, the number of hours worked by the employee, or the amount of compensation paid to the employee, nor do they otherwise exempt this information from inspection and copying under R.C. 149.43. Therefore, any person,includinganycoworkerofthepublicemployee,hastherightunderR.C.149.43toinspectand copyinformationaboutapublicemployeespayrate,hoursworkedandamountspaid.
2007025
Thegoodcausestandarddescribedin1991OhioOp.AttyGen.No.003,underwhichtheexecutive directorofapublicchildrenservicesagency(PCSA)determineswhethertograntaccesstochildabuseor neglect investigation records included as confidential records under R.C. 5153.17, is applicable to all PCSArecordsdescribedinR.C.5153.17,includingrecordspertainingtomattersotherthanchildabuse orneglectinvestigations.(1991OhioOp.AttyGen.No.003,approvedandclarified). APCSAisresponsibleforkeepingrecordsdescribedinR.C.5153.17confidentialandmaydisclosethem onlyasauthorizedbystatute,inaccordancewiththegoodcausestandarddescribedin1991OhioOp. AttyGen.No.003.If,inconjunctionwithacriminalproceedingorinvestigationoracivilproceeding,a PSCA received a subpoena requesting the disclosure of information that is confidential under R.C. 5153.17,thePCSA,inordertopreservetheconfidentialityprescribedbystatute,mayfileamotionto quashthesubpoena,therebyseekingfromthecourtanincamerareviewofthePCSAsrecordsanda determinationastowhetherandtowhatextenttheinformationmaybedisclosed.
2006038
Intheabsenceofastatutetothecontrary,foreignindividualsandentitiesdomiciledinaforeigncountry arepersonswhoareentitledtoinspectandcopypublicrecordspursuanttoR.C.149.43.
2006037
ExceptasprovidedinR.C.149.43(A)(1)(a)(y)andR.C.1724.11,informationkeptintherecordsofa communityimprovementcorporationdesignatedasanagencyofacountyunderR.C.1724.10isapublic recordsforpurposesofR.C.149.43.
2005047
Because individuals possess a constitutionally protected privacy right in their social security numbers, suchnumberswhencontainedinacourtscivilcasearenotpublicrecordsforpurposesofR.C.149.43. Priortoreleasinginformationfromacourtscivilcasefiles,theclerkofcourthasadutytoredactsocial securitynumbersincludedin thosefiles.Anindividualspersonalfinancialinformationcontainedina courts civil case files is a public record for purposes of R.C. 149.43 unless the information is not a
OhioAttorneyGeneralMikeDeWineOhioSunshineLaws2013:AnOpenGovernmentResourceManual PageC4
APPENDIXC
recordofthecourtortheinformationfallswithinoneoftheexceptionstothedefinitionoftheterm publicrecordsetforthinR.C.149.43(A)(1).
2004050
Under Ohio law, a board of elections has a duty to preserve ballots in sealed containers until any possible recount or election contest is completed. Ballots are therefore not public records for purposes of R.C. 149.43 while they remain under seal or where they are subject to a court order prohibitingtheirrelease.InadditionaltheyarenotsubjecttoinspectionunderR.C.3501.13duringsuch time. However, once the time within which a possible recount or election contest may occur has passed, pursuant to R.C. 3501.13, such ballots are subject to public inspection under such reasonable regulationsasshallbeestablishedbytheboard.Nonetheless,theboardofelectionsremainsundera duty to carefully preserve ballots used in an election for the remainder of the preservation period prescribedbyR.C.3505.31. Inaddition,followingthecompletionofthecanvassofelectionreturnsunderR.C.3505.32,pollbooks used in an election are public records of a board of elections and are subject to public inspection in accordancewithanyreasonableregulationsthecustodianboardofelectionshasestablishedunderR.C. 3505.13.
2004045
InformationwithinacriminalcasefileissubjectbothtoOhiospublicrecordslawandaconstitutional rightofaccess.Therefore,whetherinformationwithinacriminalcasefilemaybewithhelddependson whethertheinformationmeetsorisexemptfromthedefinitionofapublicrecordunderthePublic RecordsAct,R.C.149.43(A)(1),andwhetherthequalifiedconstitutionalrighthasbeenoverridden.
2004033
Acountyrecorderwhomakesavailableinherofficeaphotocopyingmachineforusebythepublicmay notchargethetwodollarperpagefeesetforthinR.C.317.32(I)wherethepublicwithouttheassistance oftherecorderorherstaffoperatestheoperatesthephotocopier.Therecorderis,instead,subjectto R.C.149.43(B),whichrequiresapublicofficetoprovidecopiesofpublicrecordsatcost.
2004011
Acountyrecordermaynotimposeafeeuponarequestertoinspectrecordsormakecopiesusingtheir own equipment. However, the county recorder may impose reasonable rules governing the use and operationofsuchequipment.
PageC5
APPENDIXC
2003030
R.C. 2303.26 requires the clerk of courts to carry out her duties under the direction of [her] court. Once the judges of a court of common pleas have delegated to the judges of a division of that court authority to determine whether to make that divisions records available to the public through the Internet, and the judges of that division have ordered that its records are not to be accessible to the public through the Internet, the clerk of courts must obey that order, unless a court of competent jurisdictionreversesthatorderorprohibitsitsenforcement.
2003025
Pursuant to R.C. 2953.321, R.C. 2953.54, and R.C. 2151.358, a county sheriff may not disclose to the publicinformationinaninvestigatoryworkproductreportthatpertainstoacasetherecordsofwhich havebeenorderedsealedorexpungedpursuanttoR.C.2953.31.61orR.C.2151.358,Butthesheriff mustdiscloseinformationinthereportthatrelatestoadefendant,suspect,orjuvenileoffenderwho hasnothadthisinformationorderedsealedorexpunged,unlessoneoftheexceptionssetforthinR.C. 149.43(A)appliestotheinformation.
2002040
Except as provided in R.C. 149.43(A)(1) and R.C. 2950.081(B), sex offender registration information submittedtoacountysheriffbyasexoffenderwhoisrequiredtoregisteredwiththesheriffunderR.C. Chapter2950maybemadeavailabletothegeneralpublicontheInternetthroughthesheriffswebsite, providedsuchaccesstothepublicrecordsdoesnotendangerthesafetyandintegrityoftherecordsor interferewiththedischargeofthesheriffsduties. AcountysheriffthatprovidessexoffenderregistrationinformationtothegeneralpublicontheInternet throughawebsitemustprovideawrittennoticecontainingtheinformationsetforthinR.C.2950.11(B) toallthepersonslistedinR.C.2950.11(A).ExceptforthepersonslistedinR.C.2950.11(A)(1)andOhio Admin.Code109:5203(A)(1)(c),acountysheriffmayuseemailtoelectronicallytransmitthewritten noticerequiredbyR.C.2950.11(A).ThepersonslistedinR.C.2950.11(A)(1)andRule109:5203(A)(1)(c) mustreceivethewrittennoticerequiredbyR.C.2950.11(A)byregularmailorbypersonaldeliveryto theirresidences.
2002030
Intheabsenceoffactsindicatingthatthenamesandaddressesofacountysewerdistrictscustomers fall within one of the exceptions to the definition of [p]ublic record contained in R.C. 149.43(A)(1), such names and addresses are public records that are subject to disclosure by the sewer district in accordancewithR.C.149.43.
PageC6
APPENDIXC
2002014
Transcripts prepared pursuant to R.C. 2301.23 by a court reporter of the court of common pleas are public records under R.C. 149.43, unless the transcripts include or comprise a record that is excepted from the definition of public record in R.C. 149.43(A)(1). (1989 Op. Atty Gen. No. 073, syllabus, paragraphtwo,approvedandfollowed.)Apartyinatrialofacivilactioninthecourtofcommonpleas thatrequestsaphotocopyofatranscriptpreviouslypreparedpursuanttoR.C.2301.23intheactionis requiredtopaythecompensationfixedbythejudgesofthecourtofcommonpleasunderR.C.2301.24 inordertoobtainthephotocopyofthetranscriptfromthecourt. Eachpartyinatrialofacivilorcriminalactioninthecourtofcommonpleasthatrequestsatranscript pursuant to R.C. 2301.23 is required to pay the court reporter of the court of common pleas who prepares the transcript the compensation fixed by the judges of the court of common pleas in accordancewithR.C.2301.24. Each time that a party in a trial of a civil or criminal action in the court of common pleas requests a transcriptpursuanttoR.C.2301.23,thecourtreporterofthecourtofcommonpleaswhopreparesthe transcript is entitled to the entire compensation fixed by the judges of the court of common pleas in accordancewithR.C.2301.24,unlessthepartyrequestsatthesametimemorethanonetranscriptof thesametestimonyorproceeding.Insuchasituation,pursuanttoR.C.2301.25,thecourtreporteris entitled to the entire compensation fixed by the judges of the court of common pleas in accordance withR.C.2301.24forthefirstcopyandtoonehalfthecompensationallowedforthefirstcopyforeach additionalcopy. Aprosecutingattorneyinatrialofacivilorcriminalactioninthecourtofcommonpleasorthecourtof appealsmaynotobtainaphotocopyofatranscriptpreviouslypreparedintheactionfromthecourts file without paying the court reporter of the court of common pleas or the court of appeals, respectively, the compensation fixed by the judges of the court of common pleas in accordance with R.C. 2301.24 or the judges of the court of appeals in accordance with R.C. 2501.17, R.C. 9.92(E) and 2933.41(G).
2001041
Information on a run sheet created and maintained by a county emergency medical services (EMS) organizationthatdocumentsmedicationorothertreatmentadministeredtoapatientbyanEMSunit, diagnostic procedures performed by an EMS unit, or the vital signs and other indicia of the patients conditionordiagnosissatisfiedthemedicalrecordsexceptionofR.C.149.43(A)(1)(a),andthusisnota publicrecordthatmustbereleasedtothepublicpursuanttoR.C.149.43(B).(1999Op.AttyGen.No. 006,approvedandfollowed.) Information on a run sheet created and maintained by a county emergency medical services organizationthatdocumentsmedicationorothertreatmentadministeredtoapatientbyanEMSunit, diagnostic procedures performed by an EMS unit, or the vital signs and other indicia of the patients condition or diagnosis, and is relied upon by a physician for diagnostic or treatment purposes, is a communication covered by the physicianpatient testimonial privilege of R.C. 2317.02(B), and thus is
APPENDIXC
confidentialinformation,thereleaseofwhichisprohibitedbylawforpurposesofR.C.149.43(A)(1)(v). (1996Op.AttyGen.No.005and1999Op.AttyGen.No.006,approvedandfollowed.)Ifaphysician authorizes an emergency medical technician (EMT) to administer a drug or perform other emergency medicalservices,documentationofthephysiciansauthorizationandadministrationofthetreatmentor procedurebytheEMSunitmayalsofallwithinthephysicianpatienttestimonialprivilege. A written protocol, developed pursuant to R.C. 4765.41, without reference to a particular patient, for usebyemergencysquadpersonnelincaseswherecommunicationwithaphysicianisnotpossibleand thepatientslifeisindanger,doesnotestablish,forpurposesofR.C.149.43(A)(1)(v),aphysicianpatient testimonialprivilegebetweenthephysicianwhopreparedtheprotocolandapatientwhoistreatedby anEMSunitpursuanttothatprotocol,wherethereisnofurthercommunicationbytheEMSunitwith thephysicianabouttheconditionortreatmentofthepatient. If an EMS unit administers a controlled substance to a patient, the patients name and address documentedontherunsheetwill,pursuantto11OhioAdmin.Code4729914(A)(3)(Supp.20002001), be deemed to meet a portion of the record keeping requirements of R.C. 3719.07, and thus will be confidentialunderthetermsofR.C.3719.13,iftherunsheetbecomesapermanentpartofthepatients medical record. However, information on the run sheet that pertains to the administration of a drug that is not a controlled substance is not required by R.C. 3719.07 or other provision of R.C. Chapter 3719,andthusdoesnotfallwithintheconfidentialityrequirementsofR.C.3719.13.
2001012
Data, photographs, maps, and other information created, collected, prepared, maintained, and published pursuant to R.C. 1504.02(A)(6) by the Department of Natural Resources Division of Real Estate and Lane Management are public records for purposes of R.C. 149.43. If the Department of Natural Resources stores, produces, organizes, or compiles public records in such a manner that enhances the value of data or information included therein, it may charge for copies an amount that includestheadditionalcostsofcopyingtheinformationinsuchenhancedorvalueaddedformat.R.C. 1501.01,whichauthorizesthedirectoroftheDepartmentofNaturalResourcestopublicandselldata, reportsandinformation,doesnotauthorizethedirectortochargeanamountinexcessofitsactualcost forprovidingcopiesoftherecordscreatedandmaintainedpursuanttoR.C.1504.02(A)(6).
2000046
AcountyrecordermaymakeindexedpublicrecordsavailablethroughtheInternet,providedthisdoes notendangertherecordsorinterferewiththerecordersduties.Afeecannotbechargedorcollected toinspectorcopyrecordsfromtheInternetwhenapersondoesnotuseequipmentmaintainedbythe recorder.Internetaccesscannotbelimitedtorealestatecompanies.
PageC8
APPENDIXC
2000036
GovernorsOfficeofVeteransAffairsisprohibitedby32C.F.R. 45.3(e)(4)fromreleasing acopyof a CertificateofReleaseorDischargefromActiveDuty(DDForm214)withoutthewrittenconsentofthe servicememberwhoisthesubjectoftheDDForm214.
2000021
R.C.149.43,asamendedbyAm.Sub.S.B.78,123rdGen.A.(1999)(eff.Dec.16,1999),imposesnoduty uponanyparticularindividualorofficetonotifypublicofficesofapeaceofficersresidentialandfamilial informationortoupdatethedatabase.ForpurposesofR.C.149.43,achildofapeaceofficerincludesa naturaloradoptedchild,astepchild,andaminororadultchild. UnderthedefinitioninR.C.149.43(A)(7),peaceofficerresidentialandfamilialinformationencompasses onlyrecordsthatbothcontaintheinformationlistedinthestatuteanddisclosetherelationshipofthe informationtoapeaceofficeroraspouse,formerspouse,orchildofthepeaceofficer,andthoseare the only records that come within the statutory exception to mandatory disclosure provided by R.C. 149.43(A)(1)(p). The exception for peace officer residential and familial information applies only to information contained in a record that presents a reasonable expectation of privacy, and does not extend to records kept by a county recorder or other public official for general public access. The general provisions of R.C. 149.43 excluding peace officer residential and familial information from mandatory disclosure do not operate to impose requirements or limitations on systems of public recordsthathavebeendesignedandestablishedforgeneralpublicaccess,wherethereisnoreasonable basis for asserting a privacy interest and no expectation that the information will be identifiable as peaceofficerresidentialandfamilialinformation. R.C. 149.43 provides no liability for disclosing information that comes within an exception to the definition of public record. Liability may result, however, from disclosing a record that is made confidentialbyaprovisionoflawotherthanR.C.149.43.
1999012
When county office chooses to create customized document from existing public record it may only chargeitsactualcost,whichdoesnotincludeemployeetimeorcomputerprogrammingfees.
1999006
InformationonacountyEMSrunsheetthatdoesnotsatisfyeitherthemedicalrecordsexceptionorthe catchall exception is apublic record and must be disclosed pursuant to R.C. 149.43(B). HIV testing informationcontainedinrunsheetsmustnotbedisclosed.
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APPENDIXC
1997038
InformationsubmittedtocountysheriffpursuanttoR.C.Chapter2950byanindividualwhohasbeen convicted of or pleaded guilty to a sexually oriented offense is a public record that must be made available for inspection to any person, except to the extent that such information comprises records thereleaseofwhichisprohibitedbystateorfederallaw.
1997010
Information within a workers compensation claim file that does not fall within one of the exceptions listed in R.C. 149.43(A)(1) is a public record which must be disclosed to the public pursuant to R.C. 149.43(B) when the Bureau of Workers Compensation, a member of the Industrial Commission, the claimant,ortheemployerhasauthorizedtheexaminationoftheclaimfileasrequiredbyR.C.4123.88. (1975Op.AttyGen.No.75062(syllabus,paragraphone),overruled.) Informationinaworkerscompensationclaimfilethatindicatesthatanindividualhasbeendiagnosed as having AIDS or an AIDsrelated condition is not a public record that the Bureau of Workers Compensationmustdisclosetothepublic.
1996034
A county recorder is not required to remove or obliterate Social Security Numbers from documents beforerecordingthoseinstruments.
1996005
Recordscollectedfortraumasystemregistryoremergencymedicalservicesincidencereportingsystems that constitute medical records or physician/patient privilege do not constitute public records. The State Board of Emergency Medical Services is not required to disclose such records, and the Board is requiredtomaintainconfidentialityofanypatientidentifyinginformationcontainedtherein.
1995001
PASSPORTadministrativeagencyoperatedbyaprivatenonprofitagencyisapublicofficeforpurposes ofOhioPublicRecordsActandpublicbodyforpurposesofOhioOpenMeetingsAct.
1994089
Acountyhumanservicesdepartmentmayreleasetheaddressofacurrentrecipientofaidtodependent children,generalassistance,ordisabilityassistancetoalawenforcementagencythathasauthorityto apprehendanindividualunderanoutstandingfelonywarrant.
PageC10
APPENDIXC
1994084
Acountyhumanservicesdepartmentmayreleasetheaddressofacurrentrecipientofaidtodependent children,generalassistance,ordisabilityassistancetoalawenforcementagencythathasauthorityto apprehendanindividualunderanoutstandingfelonywarrant.
1994058
Atownshipclerkisauthorizedtohaveaccesstoestatetaxreturnsorotherrecordsorinformationmade confidential by R.C. 5731.90 in connection with the duties and responsibilities of the clerk. A county treasurerwhoreportscollectionofestatetaxtoatownshipclerkispermittedtorevealtheidentityof taxpayertothetownshipclerkinthecourseofmakingthereport.
1994046
AllinformationpertainingtoLEADSisnotpublicrecordsubjecttodisclosure.
1994006
If a person requesting copies of public records stored by the county recorder on microfiche or film presents a legitimate reason why paper copies are insufficient or impracticable and assumes the expenseofmakingthecopiesinthatmedium,thecountyrecorderisrequiredtomakeavailableinthe samemediumacopyoftheportionsofthemicroficheorfilmcontainingthepublicrecords.
1994038
When a court orders official records of a case sealed and such order does not require sealing of the pertinent official records of an administrative licensing agency, the agency is not required to seal its records.Theagencymaysealitsrecordscontaininginformationprohibitedfromdisclosurepursuantto R.C.2953.35(A).
1993010
Blueprints submitted to a county building inspection department for approval under R.C. 3791.04 are publicrecordswhileinpossessionofthedepartment.
1992076
EstatetaxreturnsandothertaxreturnsfiledpursuanttoR.C.Chapter5731areconfidentialandmaybe inspectedorcopiedonlyasprovidedinR.C.5731.90.Atownshipclerkhasnoauthoritytoinspector copyestatetaxmaterialsthataremadeconfidentialbyR.C.5731.90exceptpursuanttocourtorderfor goodcauseshown.
APPENDIXC
1992071
A county board of mental retardation and developmental disabilities may not disclose to a parent organization the names of the boards clients or the names, addresses and phone numbers if the parentsoftheboardsclientsunlessproperconsentisobtained.
1992046
Reports and investigations pursuant to R.C. 2151.421 are confidential and dissemination of such information to an agency or organization is permitted only if the agency or organization has rules or policies governing the dissemination of confidential information consistent with O.A.C. 5101:23438. O.A.C5101:23438(F)permitsdisclosureofchildabuseandneglectinvestigationinformationwhenthe disseminationofinformationisbelievedtobeinthebestinterestofanallegedchildvictim,hisfamily, orcaretaker,achildresidingorparticipatinginanactivityatanoutofhomecaresettingwherealleged abuseorneglecthasbeenreported,orachildwhoisanallegedperpetrator.
1992005
A copy of a federal income tax Form W2 prepared and maintained by a township as an employer is subjecttoinspectionasapublicrecord.
1991053
FederaltaxreturninformationfiledbyanindividualpursuanttoR.C.3113.215(B)(5)andalocalruleof court is a public record. Confidentiality of federal income tax returns is inapplicable to income tax returns submitted to a court of common pleas by a litigant in connection with a child support determinationormodificationproceedinginthatcourt.
1991003
A county prosecuting attorney may release children services agencys child abuse or neglect investigation file only with written permission of agency executive secretary. The executive secretary mayonlygrantpermissionforgoodcause.Childabuseorneglectinvestigationrecordsarenotpublic records.
1990103
Absentstatutoryauthority,acountyrecorderiswithoutauthoritytodeletedocumentsfromtherecords ofthecountyrecorder.
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APPENDIXC
1990102
Ohio Public Records Act does not make confidential all records filed with Ohio taxation authorities. Specificrevisedcodesectionsmakeparticularinformationconfidential.
1990101
Recordsofjuvenileoffendersarenotpublicrecordstotheextenttheyarelawenforcementinvestigator records.Sealedorexpungedjuvenilerecordsarenotpublicrecords.
1990099
Publicschoolofficialsmaynotreleaseinformationconcerningillegaldrugoralcoholusebystudentsto law enforcement agencies where such information is personally identifiable information, other than directoryinformationconcerninganystudentattendingapublicschool.
1990057
Subject to the provisions of R.C. 149.351(A), a county official may, pursuant to a valid contract, temporarily transfer physical custody of the records of his office to a private contractor to microfilm such records at the facilities of the contractor. A contract must incorporate sufficient safeguards to preventloss,damage,mutilation,ordestructionoftherecords.
1990050
Names, addresses and telephone numbers of employees of a public school district are public records opentoinspectionbyanyperson.Motiveisirrelevantevenifforcommercialpurposes.
1990007
Unlessstateorfederallawprohibitsdisclosuretoapersonwhoisthesubjectofinformationkeptbyan Ohiopublicoffice,R.C.Chapter1347permitsthepersontoinspectandcopysuchinformation.Chapter 1347isnotaprovisionofstatelawprohibitingthereleaseofinformationunderR.C.149.43.
1989084
Records that do not constitute personal information systems as used in R.C. Chapter 1347 are not subject to the disclosure provision of Chapter 1347. Child abuse and neglect investigatory records maintained by public children services agency constitute investigatory material compiled for law enforcementpurposeswithinthemeaningofR.C.1347(A)(1)(e).
APPENDIXC
1989073
ShorthandnotestakenpursuanttoR.C.2301.20andtranscriptspreparedpursuanttoR.C.2301.23are publicrecordsunlesstheyincludeorcomprisearecordexceptedfromthedefinitionofpublicrecord.
1989055
A judicial determination that a particular entity is a public office under R.C 149.011(A) is not determinativeofthequestionwhetherthatentityisapublicofficeunderR.C.117.01(D)forpurposesof auditandregulationbytheAuditorofState.
1989042
Providing that properly approved record retention schedules under R.C. 149.333 permit disposal of paper or other original documents after recording by optical disk process, original documents may be destroyed and the recorded information stored on optical disks becomes the original of the public record.
1988103
AnapplicationtotheCountyVeteransServiceCommissionforassistanceunderR.C.Chapter5901isa publicrecord(nowexempt,R.C.121.22and149.43).
1987024
A community improvement corporation organized pursuant to R.C. Chapter 724 is not a political subdivisionasthattermisdefinedinR.C.2744.01(F).
1987010
Apublicschoolmaynotforwardpersonalinformationregardingthefirsttimeuseofdrugsoralcoholby a student on school property to local law enforcement agencies without the consent of the students parentorguardian,orthestudent,whereappropriate.
1986096
Disclosureofthenumberofpersonsemployedbyanapplicantatthetimeofapplicationforaloanis prohibitedwheresuchinformationissubmittedtotheDirectorofDevelopment,theControllingBoard, ortheMinorityDevelopmentFinancingCommissioninconnectionwithaloanapplication.
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APPENDIXC
1986089
Apersonnelfilemaintainedbyanexemptedvillageschooldistrictisapublicrecordexcepttotheextent suchfilemayincluderecordsthatareexceptedfromthedefinitionofthetermpublicrecord.
1986069
A letter requesting an advisory opinion from the Ohio Ethics Commission under R.C. 10208 and the documentsheldbythecommissionconcerningsuchadvisoryopinionarepublicrecords.
1986033
TheUnemploymentCompensationBoardofReviewmay,inaccordancewiththespecifictermsofthe schedule of retention pertaining thereto and approved by the State Records Commission, destroy or dispose of its hearing records six months after a decision by the Board of Review becomes final. The hearingrecordsshallbedestroyedordisposedofwithin60daysaftertheexpirationofthesixmonth retentionperiod,unless,intheopinionoftheBoardofReview,theypertaintoanypendingcase,claim oraction.
1985087
Appraisalcardsthatarekeptbytheofficeofthecountyauditorandthatcontaininformationusedinthe evaluationandassessmentofrealpropertyforpurposesoftaxationaresubjecttopublicinspectionand disclosureofsuchdocumentsdoesnotviolateeitherR.C5715.49orR.C.5715.50.
1984084
Client records held by the Rehabilitation Services Commission in connection with the state vocational rehabilitationservicesprogramarenotpublicrecordsandcannotbedisclosedwithouttheconsentof thepersontowhomtherecordsrelate.
1984079
GrandjurysubpoenaswhileinpossessionoftheclerkofcourtspriortoissuanceinaccordancewithR.C. 2939.12arenotpublicrecords.
1984077
Under R.C. 1347.08, a juvenile court must permit a juvenile or a dulyauthorized attorney who represents the juvenile to inspect court records pertaining to the juvenile unless the records are exemptedunderR.C.1347.04(A)(1)(e),1347.08(C)or(E)(2).UnderJuv.R.37(B),therecordsmaynotbe puttoanypublicuseexceptinthecourseofanappealorasauthorizedbyorderofthecourt.
APPENDIXC
1984015
ThedirectoroftheOhioDepartmentofMentalRetardationandDevelopmentalDisabilitiesmaymake availabletopersonsapprovedbythedirectorthemedical,psychological,social,andeducationalrecords ofpersonswhohavebeennominatedforprotectiveservicespursuanttoR.C.5123.58.
1983100
The Ohio State Board of Psychology does not have the authority to expunge or actually destroy its officialrecordsexceptasprovidedbylaw.Itisnotrequiredtosealanyofitsofficialrecordsunlessan order sealing the same specifically directs the Board to do so by the court. The Board may seal informationordatacontainedinitsofficialrecordswhicharenotpublicrecordswithinmeaningofR.C. 149.43(A)(1).
1983099
Since the examinations administered by the State Board of Examiners of Architects are records under R.C. 149.40 and there is no law prohibiting the destruction of such examinations or requiring the retentionofsuchexaminationsforaspecifiedperiodoftime,suchexaminationsmaybedisposedofin accordancewithascheduleofrecordsretentionoranapplicationforrecordsdisposalapprovedbythe StateRecordsCommissionpursuanttoR.C.149.32.
1983071
A county department of welfare is prohibited from disclosing to law enforcement personnel personal informationaboutapplicantsfororrecipientsofaidtoFamilieswithDependentChildrenorpoorrelief unlesssuchlawenforcementpersonnelareprosecutingfraudorseekingchildsupportandaredirectly connected with the enforcement of the Food Stamp Act or regulations, other federal assistance programsorgeneralreliefprogramsortheapplicantorrecipienthasconsentedinwriting.
1983003
Materialsofallvarieties(includingbutnotlimitedto,correspondence,memorandums,notes,reports, audio and video recordings, motion picture films, and photographs) which are received by public officialsandemployees,orcreatedandmaintainedbythematpublicexpense,areconsideredrecordsif theyservetodocumenttheorganization,functions,policies,decisions,procedures,operations,orother activitiesofthepublicoffice.
PageC16
APPENDIXD
OhioAttorneyGeneralOpinions InterpretingOhiosOpenMeetingsAct
The following are summaries of the Opinions of the Ohio Attorney General that have addressed or interpretedtheOhioOpenMeetingsAct.Beawarethatthevalidityofanyoneopinionmayhavebeen affectedbyasubsequentcourtopinionorstatutorychange.Thefulltextoftheseopinionscanbefound athttp://www.ohioattorneygeneral.gov.1
2012032
The Ohio Vendors Representative Committee is a public body subject to the requirements of R.C. 121.22.AsubcommitteeoftheCommitteeisapublicbodysubjecttotherequirementsofR.C.121.22, whenthesubcommitteeprovidesadviceandrecommendationstotheCommittee.
2012022
ApublicbodythatwishestoholdanexecutivesessionpursuanttoR.C.121.22(G)(1)must,inthemotion andvotetoholdthatexecutivesession,statewhichoneormoreoftheapprovedpurposeslistedinR.C. 121.22(G)(1) are the purposes for which the executive session is to be held. This requirement is not satisfied if the motion and vote state, without further explanation, that the session is to discuss a personnelmatter. Any vote or action by a county children services board officially placing its executive director on administrativeleaveisaformalactionunderR.C.121.22(H)thatmustoccurinameetingopentothe public.Thefailuretocomplywiththisrequirementrendersthevoteoractioninvalid.
2011038
ApublicbodythatissubjecttotherequirementsoftheOhioOpenMeetingsLawmaynotvoteinan open meeting by secret ballot. R.C. 121.22 is intended to ensure openness and accountability in government. Voting by secret ballot is inconsistent with the purpose of the open meetings law and deniesthepeopletheirrighttoviewandevaluatetheworkingsoftheirgovernment.Ameetingisnot opentothepublicwheremembersofapublicbodyvotebywayofsecretballot.(1980Op.AttyGen. No.083(syllabus,paragraph4),overruled).
Onlyopinionsafter1994areavailableelectronically.WhensearchingthefulltextoftheseopinionsontheAGwebsite,usethenumbers foundinboldaboveeachbodyoftext.Ifusinganothersearchmethod(suchasLexisNexisorWestlaw),thecitationformatneededwillbe different.Forexample,iftryingtolocatethefirstopinionlistedonthispage,theformatusedwouldbe2011OhioOp.AttyGen.No.038. OhioAttorneyGeneralMikeDeWineOhioSunshineLaws2013:AnOpenGovernmentResourceManual D1
APPENDIXD
2009034
Duringadeclaredemergency,R.C.5502.24(B)providesalimitedexceptiontofulfillingtherequirements oftheOhioOpenMeetingLaw.Apublicbodymaymeetatanalternativelocation,andexercisetheir powersandfunctionsinthelightoftheexigenciesoftheemergencywithoutregardtoorcompliance withtimeconsumingproceduresandformalitiesprescribedbylawpertainingthereto.However,thisis not an exception to the in person meeting requirement of R.C. 121.22(C) and does not permit the publicbodytomeetbyteleconference.
2008003
Depending on the manner in which it is formed and operated, a nonprofit corporation formed under R.C.1830061mightbesubjecttothepublicrecordslawinR.C.149.43,theopenmeetingslawinR.C. 121.22,orparticularcontractingcontrolsgoverningstateagencies.
2007019
Aboardoftownshiptrusteeshasauthoritytomaintainorderat,approvetheminutesof,andprovide anddistributeawrittenagendaforitsregularmeetings.
2005035
Publichearingsconductedbyatownshipboardofzoningappealstoconsiderthemattersdescribedin R.C. 519.14(A)(C) are not meetings for purposes of R.C. 121.22, but rather, are quasijudicial proceedings. (1985 Ohio Op. Atty. Gen. No. 044 (syllabus, paragraph two) overruled); followed by GroeffKnightv.Brd.OfAppealsofLibertyTwnsp,(June14,2004)FifthDist.No.03CAH08042.
1996046
The health care quality advisory council created by R.C. 4121.442 is without authority to permit a memberwhoisappointedbytheGovernortodesignateanalternatetovoteonsuchmembersbehalf atcouncilmeetings. PursuanttoR.C.121.05,theAdministratorofWorkersCompensationmaydesignatehisassistantora deputytoserveinhisplaceasamemberandchairmanofthehealthcarequalityadvisorycouncil.
D2
APPENDIXD
1996010
Absent adoption of a rule by a county board of mental retardation and developmental disabilities specifying the day on which its annual organizational meeting is to be held, the boards annual organizational meeting is not one of the regularly scheduled meetings for purposes of the removal provisionofR.C.5126.04.
1995030
A district advisory council, established pursuant to R.C. 3709.03 has inherent authority to call special meetingsofthecouncilbyactingthroughtheconcurrenceofamajorityofitsmemberswithrespecttoa particularmeetingorbypromulgatingaproceduralruleauthorizingspecifiedofficersormembersofthe counciltocallspecialmeetings;theboardofhealthofageneralhealthdistrictandthestatedirectorof health,asexpresslyprovidedinR.C.3709.03,aretheonlyotherpublicauthoritieswithpowertocalla specialmeetingofthedistrictadvisorycouncil.
1995001
APASSPORTadministrativeagencythatisoperatedbyaprivatenotforprofitagencypursuanttoOhio Admin. Code 5101:33103(A)(1) is a public office as defined at R.C. 149.011(A) for purposes of the publicrecordslawandapublicbodyasdefinedatR.C.121.22forpurposesoftheopenmeetingslaw.
1994096
Acommitteeofprivatecitizensandvariouspublicofficersoremployeesthatisestablishedbytheboard ofhealthofageneralhealthdistrictforthepurposeofadvisingtheboardonmatterspertainingtothe administration of a state or federal grant program is a public body; where the establishment of the committeeisnotrequiredorauthorizedbythetermsofthegrantoranyactionofthegeneralhealth districtboard,suchcommitteeisnotapublicbody.
1994014
ThepanelcreatedbytheErieCountyCourtofCommonPleasinLocalRule17.08(F)isnotsubjecttothe openmeetingsrequirements.
1993033
PursuanttoR.C.5715.07,alldocumentsrelatingtotheassessmentofrealpropertythatareintheoffice ofacountyboardofrevisionorintheofficialcustodyorpossessionoftheboardofrevisionarerequired tobeopentopublicinspection.
OhioAttorneyGeneralMikeDeWineOhioSunshineLaws2013:AnOpenGovernmentResourceManual D3
APPENDIXD
1993012
TheIndustrialCommissionisapublicbodyasdefinedinR.C.121.22(B)(1)andisthereforesubjecttothe openmeetingrequirementsofR.C.121.22.R.C.4121.36providesthatorders,rules,memorandaand decisionsoftheIndustrialCommissionwithrespecttohearingsconductedunderR.C.4121.36maybe adopted either in a meeting of the commission or by circulation to individual commissioners and thereby establishes an exception to the requirement of R.C. 121.22 that the Industrial Commission adoptallresolutions,rulesorformalactionsinanopenmeeting.
1992078
The board of directors of a county agricultural society is a public body subject to the open meeting requirementsofR.C.121.22.
1992077
An advisory committee legislatively created by a board of county commissioners to make recommendationstotheboardonmattersrelatingtoaproposedcountyjailisapublicbodysubjectto theprovisionsofR.C.121.22.
1992065
A housing advisory boardcreated by a county under R.C. 176.01 is a public body for purposes of R.C. 121.22.
1992032
Aboardoftownshiptrusteesmustconductitsopenmeetingsinapublicmeetingplaces,asdetermined in its fair and impartial discretion; board of township trustees may not conduct an executive session from which the public is excluded in order to deliberate about a proposed zoning change, even if the boardultimatelyvotesonthatmatterinanopenmeeting,unlessthedeliberationsweresolelyforthe purposeofdiscussingoneormoreofthesixsubjectareaslistedinR.C.121.22(G).
1992028
Unless a statutory or constitutional provision expressly grants a specific officer of a public body the powertomakethedecisiontocallameetingofsuchbody,thepowertomakethedecisionisvestedin the body itself and not in an individual officer; the decision that a meeting is necessary requires a concurrenceofamajorityofthebody;pursuanttoR.C.5715.09,thesecretaryoftheboardofrevision hasthepowertocallameetingoftheboardasnecessary.
APPENDIXD
1988087
Aboardoftownshiptrusteeshasauthoritytoadoptreasonablerulesfortheconductofitsmeetings; suchrulesmaynotprohibitaudioandvideorecordingoftownshipproceedings,butmayregulatesuch recording to promote the orderly transaction of business without unreasonably interfering with the rightsofthosepresent.
1988029
ThePublicUtilitiesCommissionNominatingCouncilisapublicbodyasdefinedinR.C.121.22.
1988003
ThewordpropertyasusedinR.C.121.22(G)(2)meansrealandpersonalproperty,whichincludesboth tangible and intangible property; the PERS may discuss in executive session the purchase or sale of tangibleorintangiblepropertyauthorizedunderR.C.145.11,includingbutnotlimitedtosuchitemsas bonds,notes,stocks,shares,securitiescommercialpaper,anddebtorequityinterests.
1986091
TheOhioLegalRightsServiceCommissionisapublicbodyforpurposesofR.C.121.22.
1985048
The open meeting requirement of R.C. 121.22 and R.C. 305.09 are satisfied where a board of county commissionersconvenesapublicmeetingatwhichonlytwoofthethreemembersarepresentandthe third member of the board, who is not physically present, participates in such board proceedings by meansofcommunicationequipment(priortoenactmentofR.C.121.22(C)).
1985046
Initsdevelopmentofamendmentstothestatehealthplan,theStatewideHealthCoordinatingCouncil (SHCC)must,pursuanttoR.C.370256(C),followtheproceduressetforthinR.C.119.03(A),(B),(C)and (H), with the exception of requirements imposed pursuant to R.C. 119.03 (D)(, (E), (F), (G) and (I); in particular,theSHCCmustfollowthepublicnoticeandhearingproceduresofR.C.119.03(A)and(C)and mustfileproposalswiththeSecretaryofState,theDirectoroftheLegislativeServiceCommission,and theJointCommitteeonAgencyRuleReviewunderR.C.119.03(B)and(H);butproposedamendmentsto thestatehealthplanarenotsubjecttoinvalidationbytheGeneralAssemblypursuanttoR.C.119.03(I).
APPENDIXD
1985044
AtownshipboardofzoningappealsisapublicbodyforpurposesofR.C.121.22;atownshipboardof zoningappealsmaynotconduct,inanexecutivesession,deliberationsconcerningzoningappealheard pursuanttoR.C.519.14(A)or(B).(Syllabus,paragraphtwo,overruledby2000OhioOp.Atty.Gen.No. 035).
1982081
AsoldiersreliefcommissionestablishedpursuanttoR.C.5901.02isapublicbodyforthepurposesof R.C.121.22.
1981005
Becausethesuperintendentsofficesare,pursuanttoR.C.3319.19,tobeusedbythecountyboardof education when it is in session, and because the boards meetings are required by R.C. 121.22 to be opentothepublic,thedutyoftheboardofcountycommissionerstoprovideandequipofficesincludes thedutytoprovidesometypeofconferencefacility.
1980083
Acountycentralcommitteeofapoliticalpartyisapublicbodyanditsmembersarepublicofficialsfor purposesofR.C.121.22;conveningthecommitteepursuanttoR.C.305.02isameetingasdefinedby R.C. 121.22(B)(2), even when the number of members present is fewer than the majority of the total membership; the committee may discuss appointment of a person pursuant to its duties under R.C. 305.02inexecutivesessionunderR.C.121.22(G), however,finalvotingonsuchappointmentmustbe heldinapublicmeeting;conveningthecommitteeforconductingpurelyinternalpartyaffairsunrelated tothecommitteesdutiesofmakingappointmentstovacantpublicofficesisnotameetingasdefined byR.C.121.22(B)(2).(Syllabus,paragraph4,overruledby2011OhioOp.AttyGen.No.038).
1979110
The Safety Codes Committee, created by resolution of the Industrial Commission for the purpose of reviewing safety code requirements and drafting revisions for consideration by the Industrial Commission,isnotapublicbodyforthepurposesofR.C.121.22.
1979061
Thegoverningboardofcommunityimprovementcorporation,organizedinthemannerprovidedinR.C. 1702.04andR.C.1724.01toR.C.1724.09,inclusive,doesnotconstituteapublicbodyforthepurposes
APPENDIXD
of R.C. 121.22 unless designated an agency of a county, municipal corporation, or any combination hereofpursuanttoR.C.1724.10.
1978059
TheInternalSecurityCommittee,establishedbytheIndustrialCommissionandtheBureauofWorkers CompensationpursuanttoR.C.4121.22(D),isapublicbodyforpurposesofR.C.121.22.
1977075
Pursuant to R.C. 4112.05(B), the Ohio Civil Rights Commission may not reveal the final terms of conciliation,writtenorunwritten,tomembersofthegeneralpublicwhoarenotpartiestothematters conciliated.
D7
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III.Chapter Three: Exceptions to the Required Release of Public Records.............................................................................................................................................26

OhiosstateandlocalgovernmentofficesfollowOhiosPublicRecordsAct,foundatR.C.149.43.ThefederalFreedomofInformationAct,5 U.S.C.552,doesnotapplytostateandlocaloffices.See,Stateexrel.OShea&Assoc.v.CuyahogaMetroHousingAuth.,131OhioSt.3d139, 2012Ohio115,962N.E.2d297,38.

WhatisaPublicRecord? 1. Statutory Definition R.C. 149.43(A)(1): Public record means recordskeptbyanypublicoffice71

A Request Must be Specific Enough for the Public Office to ReasonablyIdentifyResponsiveRecords

Denying, and then Clarifying, an Ambiguous or Overly Broad Request

However,intheeventthatapublicofficebelievesthateither1)awrittenrequest,2)knowingthe intendeduseoftheinformation,or3)knowingtherequestersidentitywouldbenefittherequester byenhancingtheabilityofthepublicofficetoidentify,locate,ordelivertherequestedrecords,the 104

Preparation: Obtainrequesterschoiceofmedium;133and Makecopies.134

Requirement to Notify of and Explain Redactions and WithholdingofRecords

Actualconfidentialpersonalresidentialaddressofa: Publicchildrenserviceagencyemployee Privatechildplacingagencyemployee Juvenilecourtemployee Lawenforcementagencyemployee 2151.142(D) Inspectorcopy therecord(s)

R.C.149.43(F)(1). ThesedefinitionsaresetforthatR.C.149.43(F)(2)(a)(d),and(F)(3). R.C.313.10(B). 213 R.C.313.10(B).

R.C.313.10(A)(2)(a)(f). R.C.313.10(C). R.C.313.10(D). 217 R.C.313.10(E). 218 R.C.313.10(F).

Prosecutor and Government Attorney Files (Trial Preparation andWorkProduct)

Liability for Unauthorized Destruction, Damage, or Disposal of Records

Allrecordsareconsideredtobethepropertyofthepublicoffice,andmustbedeliveredbyoutgoing officialsandemployeestotheirsuccessorsinoffice.529Improperremoval,destruction,damageor otherdispositionofarecordisaviolationofR.C.149.351(A).

HelpfulResourcesforStateGovernmentOffices 1. OhioDepartmentofAdministrativeServicesRecordsManagement Program

RecordsInventoryandAnalysistemplate. Formoreinformation,contactDASat6144661105orvisittheRecordsManagementpageofthe DASwebsiteat www.das.ohio.gov/divisions/generalservices/stateprintingandmailservices/recordsmanagement/ tabid/265/Default.aspx.

(b)Does the Alleged Conduct Violate Criminal,566 Quasi criminal,567Civil,orAdministrativeLaw?568

(c)Doesthe Public OfficeHave the Authority to Investigateor EnforcetheLawAllegedlyViolated?

(a)Identity of an Uncharged Suspect in Connection with the InvestigatedConduct

(e)Information that Would Endanger Life or Physical Safety if Released

Addressofthecoveredemployeesactualpersonalresidence,exceptforstate orpoliticalsubdivision;residentialphonenumber,andemergencyphone number686 Residentialaddress,residentialphonenumber,andemergencyphone numberofthespouse,formerspouse,orchildofacoveredemployee687

Anyinformationofacoveredemployeethatiscompiledfromreferraltoor participationinanemployeeassistanceprogram688 Anymedicalinformationofacoveredemployee689

RulesofProcedure,whicharealsoadoptedthroughtheOhioSupremeCourt,cancreateexceptions topublicrecorddisclosure.701Examplesincludecertainrecordsrelatedtograndjuryproceedings,702 andmostjuvenilecourtrecords.703

750 751 752

PublicBodiesthatareSOMETIMESSubjecttotheOpenMeetings Act: PublicBodiesMeetingforParticularPurposes

Apublicbodymustpromptlyprepare,file,andmakeavailableitsminutesforpublicinspection.866 Thefinalversionoftheofficialminutesapprovedbymembersofthepublicbodyisapublicrecord. Notethatadraftversionofthemeetingminutesthatthepublicbodycirculatesforapprovalisalso apublicrecordunderthePublicRecordsAct.867

896 897 898

Atleastonecourthasfoundthatminutesaremerelytherecordofactions;theyarenotactions inandofthemselves.Thus,failuretoproperlyapproveminutesdoesnotinvalidatetheactions takenduringthemeeting.939

Ifthecourtissuesaninjunction,thecourtwillorderthepublicbodytopayacivilforfeitureof$500 tothepersonwhofiled theaction.940Courtsthatfindthata publicbodyhasviolatedthelawon repeatedoccasionshaveawardeda$500civilforfeitureforeachviolation.941

OhioRevisedCode109.43Trainingforelectedofficialsor appropriatedesigneesregardingpublicrecordslawand sunshinelaws

OhioRevisedCode149.431Financialrecordsofnonprofit organizationsreceivinggovernmentalfunds;confidentialityof patientandclientrecords

OhioRevisedCode149.434Databaseorlistofnamesand birthdatesofpersonselectedtooremployedbythatpublic office

OhioRevisedCode149.45Redacting,encrypting,or truncatingpersonalinformation;requestbyprotected individual

OhioRevisedCode319.28Generaltaxlistandgeneral duplicateofrealandpublicutilityproperty;numbering system;requestbyprotectedindividualforuseofinitials

OhioRevisedCode1347.12Disclosureornotificationby stateorlocalagencyofbreachofsecurityofpersonal informationsystem

OhioRevisedCode1347.15Stateagenciestoadoptrules regulatingsuccesstoconfidentialpersonalinformation; privacyimpactassessmentform;civilactionforharmresulting fromviolation

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