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  • H. EXECUTIVE SESSIONS An executive session occurs when members of a public body exclude the public from a portion of a public meeting.459 Executive sessions may be held exclusively to discuss limited matters.460 Only persons invited by the public body to join the executive session may attend.461 The public body may permit anyone it chooses to attend462 and, likewise, may exclude anyone it so chooses.463 There are seven valid reasons for a public body to adjourn into executive session, as summarized below: 1. Personnel A public body may adjourn into executive session to consider the appointment, employment, dismissal, discipline, promotion, demotion or compensation of a public employee or official, or to consider the investigation of charges or complaints against a public employee, official, licensee or regulated individual, unless the employee, official, licensee or regulated individual requests a public hearing.464 However, the law does not allow a public body to hold an executive session to consider the discipline of an elected official465 for conduct related to the performance of the elected official’s duties or to consider that person’s removal from office.46 There are restrictions associated with this exception. First, it does not give a person a substantive right to a public hearing. The right must already exist in Ohio or federal law before a person may demand one under this personnel exception.467 Second, some courts have determined that this exception may not be used unless the matters to be discussed directly affect specific personnel or regulated individuals.468 These decisions may also indicate that it is inappropriate to use this exception to discuss the creation of a new position. 2. Property A public body may adjourn into executive session to consider the purchase of property (real property and personal property, whether it is tangible or intangible).469 A public body may also adjourn into executive session to consider the sale of property by competitive bid (real or personal property) if disclosure of the information would result in a competitive advantage to the other side.470 No member of a public body may use this exception as subterfuge for providing covert information to prospective buyers or sellers.471 3. Court Action A public body may adjourn into executive session with the public body’s attorney to discuss pending or imminent court action.472 Court action is pending if a lawsuit has been commenced. Court action is imminent if it is on the point of happening or is impending.473 A public body may not use this exception to adjourn into executive session for discussions with a board member who also happens to be an attorney474 — the attorney should be the duly appointed counsel for the public body. 4. Collective Bargaining A public body may adjourn into executive session to prepare for, conduct or review collective bargaining strategy.475 5. Confidential Matters A public body may adjourn into executive session to discuss matters required to be kept confidential by federal law, federal rules or state statutes.476 6. Security Arrangements A public body may adjourn into executive session to discuss details of security arrangements and emergency response protocols where disclosure could be expected to jeopardize the security of the public body or public office.47 7. County Hospitals’ Trade Secrets A public body may adjourn into executive session to discuss trade secrets of a county hospital organized under Ohio Rev. Code Chapter 339.478
  • There are restrictions on the discussions held in executive session. First, there can be no decision-making (actual voting) in the executive session.479 Second, even when non-excepted matters are so intertwined with matters permitted to be discussed in executive session, the non-excepted matters may not be discussed in private.480 However, it does not appear that the Open Meetings Act will prohibit the public body or one of its members from disclosing the information discussed in executive session, unless otherwise prohibited by statute.481 If a public body is challenged in court for discussions or deliberations held in executive session, the public body has the burden of proof to establish that one of the statutory exemptions permits the executive session.482 The court will strictly construe the law in favor of openness.483 A court may look beyond the express reason stated by the public body for the executive session to find an implied or circumstantial violation of the Open Meetings Act.484
  • No duty to email (i.e., electronically transmit) to the requester, but do have to provide in electronic format (i.e., on CD) if requested. For example, if have a searchable database and request CD, are required to provide on CD so can still search the database as opposed to printing the database and providing the paper format.
  • May charge for actual costs of copying . May not charge for inspection .
  • Should a journalist desire select residential or familial information about a specific peace officer, parole officer, prosecuting atty, assistant prosecuting atty, correctional employee, youth services employee, firefighter or EMT that is exempt, then the journalist must put the request in writing. The request shall include the journalist’s name, title and the name and address of the journalist’s employer. The request shall state that this disclosure of the information sought would be in the public interest .
  • Confidential Law Enforcement Investigatory Records 172 (CLEIRs) Records that constitute confidential law enforcement investigatory records are exempt from disclosure. 173 Confidential law enforcement investigatory records” are defined as any records that pertain to a law enforcement matter 174of a criminal,175 quasi-criminal, civil, or administrative176nature and that, if released, would create a high probability of disclosing any of the following: the identity of an uncharged suspect;177 the identity of a confidential source;178 specific confidential investigatory techniques or procedures; specific investigatory work product;179 or information that would endanger the life or physical safety of law enforcement personnel, a crime victim, a witness, or a confidential information source.180 In determining whether a record constitutes a confidential law enforcement investigatory record, the courts use a two-step test.181 The record must both (a) pertain to a criminal, quasi-criminal, civil or administrative law enforcement matter, and (b) create a high probability of disclosing at least one of the five types of information highlighted above.182 If information does not meet the test, the information may not be withheld under CLEIRs. Note, however, release of the information may still be restricted under any of the other express exemptions or the catch-all exemption.183
  • So what do we do if we are sued?
  • Applicable to universities, medical colleges and state community colleges per R.C. 9.86 (determination made by Court of Claims) 2744.07: Limited to tort liability (b/c torts do not allow punitive damages). Language states: political subdivision shall indemnify and hold harmless an employee in the amount of any judgment, other than a judgment for punitive or exemplary damages obtained against the employee in a state or federal court OR as a result of a law of a foreign jurisdiction and that is for damages for injury, death, or loss to person or property caused by an act or omission in connection with a governmental or proprietary function.
  • PowerPoint

    1. 1. OHIO’S LEGAL FRAMEWORK FOR UNIVERSITY AND COLLEGE TRUSTEES Presented by: Cheryl Hacker and Stephanie Van Meter
    2. 2. Objectives <ul><li>What are powers & duties of the Board and individual trustees? </li></ul><ul><li>What may the Board delegate to the President and Vice Presidents? </li></ul><ul><li>What happens when the Board is sued?... </li></ul><ul><ul><li>What happens when an individual Board member is sued? </li></ul></ul>
    3. 3. Board Powers and Duties <ul><li>Duties and responsibilities of the individual trustee. </li></ul><ul><li>Authority of the Board as a legal entity. </li></ul><ul><li>Effective Board governance is dependent upon individual board members fulfilling his/ her individual responsibilities. </li></ul>
    4. 4. Individual Fiduciary Duties: Common Law <ul><li>Duty of Care and Diligence </li></ul><ul><ul><ul><li>A trustee must use the measure of care, skill and diligence that would be exercised under similar circumstances by a person of ordinary prudence and skill in the management of his or her own affairs. </li></ul></ul></ul><ul><ul><ul><ul><li>Prepare for meetings </li></ul></ul></ul></ul><ul><ul><ul><ul><li>Be familiar with bylaws and policies </li></ul></ul></ul></ul>
    5. 5. Individual Fiduciary Duties: Common Law <ul><li>Duty of Loyalty </li></ul><ul><ul><ul><li>A trustee must exhibit an undivided allegiance to the institution </li></ul></ul></ul><ul><ul><ul><ul><li>Avoid conflicts </li></ul></ul></ul></ul><ul><ul><ul><ul><li>Observe confidences </li></ul></ul></ul></ul>
    6. 6. Individual Fiduciary Duties: Common Law <ul><li>Duty of Good Faith Compliance (Fiduciary) </li></ul><ul><ul><ul><li>A trustee must see that an institution conducts its activities in a lawful manner. </li></ul></ul></ul><ul><ul><ul><ul><li>Manage fiscal affairs in a prudent manner. </li></ul></ul></ul></ul>
    7. 7. Individual Duties: Ohio Revised Code <ul><li>Oath of Office </li></ul><ul><ul><li>“ Each person chosen or appointed to an office…shall take an oath of office before entering upon the discharge of his duties…” </li></ul></ul><ul><ul><ul><ul><ul><li>O.R.C. 3.22 </li></ul></ul></ul></ul></ul>
    8. 8. Individual Duties: Ohio Revised Code <ul><li>Meeting Attendance </li></ul><ul><ul><li>“ Any member of a board, commission, council, board of trustees of an institution of higher education, or other public body of the state…, who fails to attend at least three-fifths of the regular and special meetings held by that … board of trustees, or public body during any two-year period forfeits the member's position on that …board of trustees...” </li></ul></ul><ul><ul><li>O.R.C. 3.17 </li></ul></ul><ul><ul><li>Consequences: quorum and validity of votes </li></ul></ul>
    9. 9. Individual Duties: Ohio Revised Code <ul><li>Confidentiality </li></ul><ul><ul><li>“ A public official may not disclose, without appropriate authorization, any information … that is confidential because of statutory provisions, or ...because…its confidentiality is necessary to the proper conduct of government business.” </li></ul></ul><ul><ul><ul><ul><ul><li>O.R.C. 102.03(B) </li></ul></ul></ul></ul></ul><ul><ul><ul><li>Executive Session Topics; </li></ul></ul></ul><ul><ul><ul><li>Attorney-Client Privileged Communications </li></ul></ul></ul>
    10. 10. Individual Duties: Ohio Revised Code <ul><li>Ohio Ethics Laws </li></ul><ul><ul><li>Conflict of Interest </li></ul></ul><ul><ul><li>Financial Disclosure </li></ul></ul>
    11. 11. Board Authorities and Powers <ul><li>Highest authority that may act for the institution (university governance is vested with the Board). </li></ul><ul><li>Ultimate responsibility for meeting legal requirements rests with the Board. </li></ul><ul><li>Resolutions and Minutes reflect a Board’s official actions. </li></ul>
    12. 12. Board Authority from Ohio Statutes <ul><li>Revised Code </li></ul><ul><ul><li>O.R.C. Chapter 3345: General Provisions chapter for universities (some sections also apply to two-years); </li></ul></ul><ul><ul><li>Specific code chapters or sections for each university; </li></ul></ul><ul><ul><li>Specific code chapters for technical, community and state community college districts </li></ul></ul>
    13. 13. Board Powers and Authority (Broad) <ul><li>“ The board of trustees of any college or university, which receives any state funds in support thereof, shall have full power and authority on all matters relative to the administration of such college or university.” </li></ul><ul><ul><ul><ul><ul><li>O.R.C. 3345.021 </li></ul></ul></ul></ul></ul>
    14. 14. Board Powers and Authority (Specific) <ul><li>Employment: President, administrators, faculty, staff & fix compensation; employ law enforcement </li></ul><ul><li>Land, Structures, and other Property: “hold, own…for purpose of the institution”; </li></ul><ul><li>Instruction: grant degrees, offer programs; establish fees & tuition </li></ul><ul><li>Financial: approve budget; adopt investment policy, purchase insurance; </li></ul><ul><ul><li>(Authority w/ Strings Attached) </li></ul></ul>
    15. 15. With Authority Comes Responsibility ... <ul><li>Evaluate President </li></ul><ul><li>Follow competitive bidding requirements </li></ul><ul><li>Review audit reports </li></ul><ul><li>Hold investments in trust </li></ul><ul><li>Prescribe policies and bylaws for effective operation </li></ul>
    16. 16. Board Authority to Delegate <ul><li>“ The board of trustees of any college or university... shall have full power and authority on all matters relative to the administration of such college or university.” </li></ul><ul><li>BUT... </li></ul>
    17. 17. Board Authority to Delegate <ul><li>Revised Code Limitations </li></ul><ul><li>“ The authority of government vested by law in the boards of trustees of state-assisted institutions of higher education shall in fact be exercised by those boards…” </li></ul><ul><ul><ul><li>H.B. 119 (uncodified) </li></ul></ul></ul>
    18. 18. Board Authority to Delegate <ul><li>Board has exclusive authority to decide: </li></ul><ul><ul><li>Utilization of available resources </li></ul></ul><ul><ul><li>Organizational structure </li></ul></ul><ul><ul><li>Disciplinary procedure </li></ul></ul><ul><ul><li>Operation and staffing of auxiliary facilities </li></ul></ul><ul><ul><li>Administrative personnel </li></ul></ul><ul><ul><ul><ul><ul><li>H.B. 119 (uncodified) </li></ul></ul></ul></ul></ul>
    19. 19. Board Authority to Delegate <ul><li>“ Any delegation of authority by a board of trustees in other areas of responsibility shall be accompanied by appropriate standards of guidance concerning expected objectives in the exercise of such delegated authority and shall be accompanied by period review of the exercise of this delegated authority…” </li></ul><ul><li>H.B. 119 (uncodified) </li></ul>
    20. 20. Duty of Care: What Board Members Should Have <ul><li>University or college policies </li></ul><ul><li>Board bylaws </li></ul><ul><li>Copy of board minutes from past year </li></ul><ul><li>Copy of institution’s last budget </li></ul><ul><li>Copy of last audit report </li></ul><ul><li>Media relations policy </li></ul><ul><li>And understand Ohio’s Open Meetings Law </li></ul>
    21. 21. Ohio’s Open Meetings Law <ul><li>Any public body has a duty to conduct its business in meetings open to the public </li></ul><ul><li>Known as the “sunshine law” </li></ul>
    22. 22. Definitions <ul><li>Public Body: Any decision-making body of state, county, township, municipal corporation, school district or political subdivision, or local public institution. O.R.C. 121.22(B)(1)(a) </li></ul><ul><li>Meeting: Prearranged gathering of a majority of members of a public body conducting or discussing public business. O.R.C. 121.22(B)(2) </li></ul>
    23. 23. Obligations <ul><li>To take action and deliberate on public business in open session. O.R.C. 121.22(A) </li></ul><ul><li>To give appropriate notice of the meeting. O.R.C. 121.22(F) </li></ul><ul><li>To take and file minutes of the meeting. O.R.C. 121.22(C) </li></ul>
    24. 24. Types of Meetings <ul><li>Regular meeting: Meeting held at prescheduled intervals. Must have a reasonable method to establish time and place. O.R.C. 121.22(F) </li></ul><ul><li>Special meeting: Any meeting that is not a regular meeting. Must still give 24 hours notice. O.R.C. 121.22(F) </li></ul><ul><li>Emergency meeting: A special meeting that requires immediate action due to unforeseen emergency. Requires immediate notification. O.R.C. 121.22(F) </li></ul>
    25. 25. Work Sessions <ul><li>Work sessions are subject to the Open Meetings Law </li></ul><ul><li>Work sessions, where public business is discussed among a majority of members of the public body, are meetings. Notice must be given, and they are open as any other meeting </li></ul>
    26. 26. Teleconferencing <ul><li>Teleconferencing*, videoconferencing, and e-mail are all prohibited as ways to attend or conduct a meeting. A member must be present in person to vote, deliberate, or be counted in a quorum. O.R.C. 121.22(C) </li></ul><ul><li>* Teleconferencing may be allowed by statute (Ohio Board of Regents, for example) </li></ul>
    27. 27. Voting at Meetings <ul><li>The Open Meetings Law does not govern the method by which a public body must vote unless a particular statute requires a specific method </li></ul><ul><li>The public body may use its own discretion in determining the method of voting it will use. State ex rel. Roberts v. Snyder (1948), 149 Ohio St. 333, 78 NE 2d 716) </li></ul><ul><li>Exception: Executive sessions. O.R.C. 121.22(G) </li></ul>
    28. 28. Executive Session Procedures <ul><li>Must have a majority of quorum </li></ul><ul><li>Must always begin and end in an open meeting </li></ul><ul><li>Must be preceded by a specific motion, a second, and a roll-call vote </li></ul><ul><li>Motion should state the specific topic that will be discussed in executive session. O.R.C. 121.22(G) </li></ul>
    29. 29. Executive Session Topics <ul><li>Acceptable topics for discussion: </li></ul><ul><ul><li>Personnel </li></ul></ul><ul><ul><li>Property </li></ul></ul><ul><ul><li>Court action </li></ul></ul><ul><ul><li>Collective bargaining </li></ul></ul><ul><ul><li>Confidential matters </li></ul></ul><ul><ul><li>Security arrangements </li></ul></ul><ul><ul><li>County hospitals’ trade secrets </li></ul></ul>
    30. 30. Executive Session Restrictions <ul><li>There can be no decision-making </li></ul><ul><li>No actual voting other than to vote on a motion to adjourn or recess </li></ul><ul><li>Non-excepted matters may not be discussed in private even if intertwined with permitted matters </li></ul>
    31. 31. Liability for Violating <ul><li>Fines, of $500. O.R.C. 121.22(I)(1) </li></ul><ul><li>Injunction, filed in common pleas court within two years of violation. O.R.C. 121.22(I)(1) </li></ul><ul><li>Costs and attorney’s fees </li></ul><ul><li>Action invalidated. O.R.C. 121.22(H) </li></ul><ul><li>Possible removal from office, in an action for removal brought by prosecutor or Attorney General. O.R.C. 121.22(I)(4) </li></ul>
    32. 32. Public Records <ul><li>Public offices have an obligation to provide prompt inspection of public records, but which includes time for legal review; and </li></ul><ul><li>Upon request, provide copies within a reasonable period of time and during regular business hours. The office may charge for costs of copies. O.R.C. 149.43(B)(1) </li></ul>
    33. 33. Defining a Public Office <ul><li>A public office is any state or local governmental entity, or any private entity that: </li></ul><ul><ul><li>Performs a public service, and </li></ul></ul><ul><ul><li>Is supported by state funds. O.R.C. 149.011 </li></ul></ul>
    34. 34. Defining a Public Record <ul><li>A record held by a public office. O.R.C. 149.43(1) </li></ul><ul><li>Record is any device (paper, tapes, videos, films, photos, e-mails, etc.) that is: </li></ul><ul><ul><ul><li>Stored on a fixed medium </li></ul></ul></ul><ul><ul><ul><li>Created, received, or sent under the jurisdiction of a public office AND </li></ul></ul></ul><ul><ul><ul><li>Documents the functions, policies, procedures, operation, or other activities of the public office O.R.C. 149.011(G) </li></ul></ul></ul>
    35. 35. Providing Documents to the Public <ul><li>Requester may choose any of the following mediums in which to receive the public documents. O.R.C. 149.43(B)(2): </li></ul><ul><ul><li>In paper format </li></ul></ul><ul><ul><li>In the same medium in which the entity keeps it </li></ul></ul><ul><ul><li>Upon any other medium which the public office determines that the document can be reasonably duplicated as part of normal operations </li></ul></ul>
    36. 36. Providing Documents to the Public <ul><li>Public entity may charge actual costs for providing the documents. O.R.C. 149.43(B)(2) </li></ul><ul><li>May require advance payment of costs. O.R.C. 149.43(B)(3) </li></ul><ul><li>Required to mail the requester the documents in the format chosen (from the list of acceptable formats). O.R.C. 149.43(B)(3) </li></ul>
    37. 37. Rules of Special Note <ul><li>Anyone can make a public records request, including corporations and other governmental agencies </li></ul><ul><li>No special format or special language required </li></ul><ul><li>A request may be written or verbal </li></ul><ul><li>The requester’s motive is not relevant. However, the request must at least be specific and describe in detail the records being sought </li></ul><ul><li>A public office cannot require the requester to put it in writing or reveal his/her name </li></ul>
    38. 38. Catch-all Exemptions <ul><li>Attorney-client privileged information </li></ul><ul><li>Medical board records </li></ul><ul><li>Child abuse reports </li></ul><ul><li>Student education records </li></ul><ul><li>Criminal background checks </li></ul><ul><li>Records sealed pursuant to court order </li></ul><ul><li>DNA database records </li></ul>
    39. 39. Express Exemptions <ul><li>Medical records </li></ul><ul><li>Trial preparation records </li></ul><ul><li>Peace officers, firefighter, EMT residential and familial information </li></ul><ul><li>Security and infrastructure records </li></ul><ul><li>CLEIRS </li></ul>
    40. 40. Exemptions Summary <ul><li>If a record falls squarely in the “catch-all” exemption, withhold </li></ul><ul><li>If the record falls squarely under one of the other express exemptions, use caution and consult your attorney </li></ul><ul><li>If a record is clearly public with no applicable exemptions, disclose </li></ul>
    41. 41. Family Educational Rights & Privacy Act <ul><li>Protects the privacy of education records </li></ul><ul><li>Establish the right of students to inspect and review their education records </li></ul>
    42. 42. Defining an Education Record <ul><li>Maintained by an institution </li></ul><ul><li>Directly related to a student </li></ul><ul><li>Containing information from which an individual student (or students) can be personally identified </li></ul><ul><li>Includes files, documents, and materials in any medium </li></ul>
    43. 43. Liability for Violating <ul><li>No criminal liability </li></ul><ul><li>Civil liability: Fine of $100/day; capped at $1,000 </li></ul><ul><li>Mandamus case: A legal action filed in common pleas, appellate court, or the Ohio Supreme Court to enforce the public records act </li></ul><ul><li>What happens if we, or our institution, gets sued? </li></ul>
    44. 44. Attorney General Representation <ul><li>The Attorney General shall be the attorney for each state college and university and shall provide legal advice in all matter relating to its powers and duties R.C. 3345.15 </li></ul><ul><li>In-house counsel has an appointment approved by the Attorney General </li></ul><ul><li>Special counsel (private attorneys) may be appointed in certain matters but requires Attorney General approval </li></ul>
    45. 45. Immunity and Indemnification <ul><li>Per 3345.122, trustees of institutions of higher education are generally immune from civil actions arising under state law UNLESS </li></ul><ul><ul><li>The actions were manifestly outside the scope of official responsibilities OR </li></ul></ul><ul><ul><li>The official acted with malicious purpose, in bad faith, or in a wanton or reckless manner </li></ul></ul><ul><li>For technical and community colleges limited to tort liability per 2744.07 </li></ul>
    46. 46. Contact Information <ul><li>Office of the Ohio Attorney General </li></ul><ul><li>Education Section </li></ul><ul><li>30 East Broad Street, 16th Floor </li></ul><ul><li>Columbus, OH 43215 </li></ul><ul><li>Phone: (614) 644-7250 </li></ul><ul><li>Fax: (614) 644-7634 </li></ul><ul><li>Web: http://www.ag.state.oh.us/ </li></ul>