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Advisory Opinion 95-002

January 10, 1995; School District 709 (Duluth)

1/10/1995 10:14:43 AM

This is an opinion of the Commissioner of Administration issued pursuant to section 13.072 of Minnesota Statutes, Chapter 13 - the Minnesota Government Data Practices Act. It is based on the facts and information available to the Commissioner as described below.


Note: In December 1999, staff of the Information Policy Analysis Division, on behalf of the Commissioner, redacted not public data from this opinion. The redaction was necessary to bring the data in the opinion into compliance with amendments the Legislature made to Minnesota Statutes, section 13.072, the advisory opinion enabling legislation.

Facts and Procedural History:

For purposes of simplification, the information presented by the citizen who requested this opinion and the response from the government entity with which the citizen disagrees are presented in summary form. Copies of the complete submissions are on file at the offices of PIPA and are available for public access.

On December 19, 1994, PIPA received a letter, dated December 14, 1994, from Peter J. Nickitas, an attorney representing X, an employee of Duluth Public Schools, Independent School District #709, hereinafter referred to as Duluth. Mr. Nickitas' letter included a discussion of two attempts by X to obtain data maintained about him by Duluth. Also in this letter, Mr. Nickitas requested an opinion from the Commissioner on the issues stated in the Issues section below.

In response to Mr. Nickitas' request, PIPA, on behalf of the Commissioner, wrote to Mr. Mark Myles, Superintendent of Duluth. The purposes of this letter, dated December 21, 1994, were to inform Mr. Myles of Mr. Nickitas' request, to ask him or Duluth's attorney to provide information or support for Duluth's position, and to inform him of the date by which the Commissioner was required to issue this opinion. (In subsequent correspondence, Mr. Nickitas and Mr. Myles were notified that the Commissioner would be taking a portion of the additional 30 days allowed by the opinion statute to issue this opinion.) On January 3, 1994, PIPA received a response dated December 29, 1994, from Elizabeth A. Storaasli, attorney for Duluth.

On December 30, 1994, PIPA received a second letter dated December 29, 1994, from Mr. Nickitas to which was attached a copy of the data sought by X. The purpose of this letter was to update PIPA on the fact that X had received, from Duluth, a copy of the data he had been requesting. The data (contained in a memo) were attached to a letter dated December 20, 1994. Mr. Nickitas, in his letter, also raised three additional issues for possible consideration in the opinion. Mr. Don Gemberling, Director of PIPA, contacted Mr. Nickitas by telephone on December 30, 1994. The outcome of this discussion was that only the issues originally raised by Mr. Nickitas would be dealt with in the opinion. However, the fact that X received a copy of the data would be acknowledged.

A summary of the detailed facts surrounding this issue is as follows. On two separate occasions, once in July and once in October of 1994, X contacted Duluth's Superintendent, in writing, to request a copy of an inter-office memo addressed to X from Laura Johnson, X's supervisor, regarding X's employment as a school bus driver. (Copies of these written data requests were attached to Mr. Nickitas' opinion request.) X did not receive a copy of the memo until sometime after December 20, 1994.

In her response, Ms. Storaasli asserts that Ms. Johnson drafted the memo to X and was awaiting approval from the Administrator of Certified Personnel of Duluth before releasing it to X. Citing Matter of Kokesch, Minn. App. 1987, 411 N.W.2nd 559, Ms. Storaasli states that because approval was not given, the subject of the data is Ms. Johnson, not X. According to Ms. Storaasli, the document was never placed in X's personnel file. She also cites Keezer v. Spickard, Minn. App. 1992, 493 N.W.2nd 614, and suggests that, ...the data did not become 'government data' as it was not authorized to be recorded in some physical form....

Also in her response, Ms. Storaasli notes that Duluth is in possession of the memo and that, ... the School District is amenable, pursuant to approval of the requesting party and the Department of Administration, to providing a copy to the requesting party and the destruction of all remaining copies...the memorandum has not been destroyed, and the memorandum has not been altered....



Issue:

  1. Does ISD #709's failure to deliver this memorandum to X within five (5) days of his 7/15/94 request violate Minn. Stat. section13.04, subd. 3?

  2. Does ISD #709's failure to deliver this memorandum to X within five (5) days of his 10/13/94 request violate Minn. Stat. section13.04, subd. 3?

  3. Would destruction of the said memorandum by ISD #709 violate the Minnesota Data Practices Act, viz., Minn. Stat. sectionsection 13.04, subd. 3 and 13.05, subd. 5?

  4. Would alteration of the said memorandum by ISD #709 violate Minn. Stat. sectionsection 13.04, subd. 3 and 13.05, subd. 5 of the Minnesota Government Data Practices Act?



Discussion:

Before addressing the specific questions raised in issues one through four, it is important to discuss the classification of the data sought by X. The memo and the data contained within are classified in Minnesota Statutes Section 13.43, personnel data. Subdivision 1 of Section 13.43 defines personnel data as, ... data on individuals collected because the individual is...an employee of...a political subdivision.... In this case, the memo written by Ms. Johnson was clearly created because X is an employee of Duluth. It is addressed to X, School Bus Driver, from Laura Johnson, Supervisor of Transportation, and its purpose is to request that X refrain from certain activity while driving a district school bus.

Generally, personnel data are classified as either public or private data. Subdivision 2 of Section 13.43 lists various types of personnel data which are classified as public and Subdivision 4 of Section 13.43 states that, ...all other personnel data is [are] private data on individuals.... The Legislative intent behind the language in Section 13.43 is to ensure that public employees are able to gain access to any and all data created and maintained as a result of their employment, regardless of whether the data reside in an actual personnel file. It appears that the data contained in the memo are private personnel data and therefore, X should be provided access to the memo.

The issue of employees gaining access to their own personnel data was addressed in Commissioner's Advisory Opinion 94-023. In that opinion, the Commissioner stated:

As described by the City, the data in the supervisor's files is [are] entirely concerned with the monitoring by supervisors of employees under their supervision. Minnesota Statutes, Section 13.43, subdivision 1 defines personnel data , in part, to mean data on individuals collected because the individual is or was an employee. Data on an individual is defined in part, at Minnesota Statutes, Section 13.02, subdivision 5, as all government data in which an individual is or can be identified. Given those definitions and the City's description of the supervisors' files, those files are personnel data for purposes of the MGDPA [Minnesota Statutes Chapter 13].
Supervisors' files, maintained by agents of the [City] that identify individual employees being supervised, are government data and personnel data for purposes of the MGDPA and the data about those employees in those supervisors' files are accessible by the employees.


In her letter, Ms. Storaasli appears to argue that because Ms. Johnson never received approval from the Personnel Services Department to submit the memo to X, Ms. Johnson, rather than X, is the subject of the memo. She argues that if X is not the subject of the data, he is not entitled to have access to the memo. In support, she cites Matter of Kokesch. In that case, the court examined Minnesota Statutes Section 13.79, Department of Labor and Industry Data, and found that because the employees who filed complaints were the subjects of the data, any data identifying them were private and not available to the employer. Ms. Storaasli's reference to this case is not entirely clear. First, the data X seeks are not Department of Labor and Industry data. Second, X is not an employer seeking data which identify employees who have made complaints about him.

Contrary to Ms. Storaasli's assertion, it would be very difficult to prove that X is not the subject of the data in the memo. First, the memo is addressed to him. Second, his behavior is the clear reason for its issuance. Third, it specifically requests that he discontinue engaging in certain behavior which Duluth apparently finds unacceptable. Finally, given the fact that Ms. Storaasli offered, more than six months after the original request, to provide a copy of the memo to X, it appears that even she now considers X to be the subject of the data.

In her response, Ms. Storaasli also argues that, ...the data were created as a proposal which was specifically not approved for existence and authorization. Based on Keezer v. Spickard...the data did not become 'government data' as it was not authorized to be recorded in some physical form.... Again, her reliance on this case, as applied to X's situation, is not entirely apparent. The holding in Keezerdoes limit the definition of government data in Chapter 13 but not in the way suggested by Ms. Storaasli. In Keezer, the Court of Appeals found that data held only in the mind of a government official are not government data and that data are government data, for purposes of Minnesota Statutes Chapter 13, when the data are recorded somewhere other than in the human brain. According to Keezer, as soon as Ms. Johnson transferred the information from her brain into computer storage or onto a piece of paper, it became government data. The physical existence of the memo clearly makes it government data.

Issues one and two as raised by Mr. Nickitas pertain to the time frame within which government entities are required by Minnesota law to respond to requests for access to government data. This issue has been addressed in several advisory opinions, most recently in Commissioner's Advisory Opinion 94-058. In that opinion, the Commissioner stated:

On this point, [issue of timely responses to requests for access to data] Minnesota Statutes Chapter 13...are quite clear. When a citizen is seeking access to data maintained about her\himself, Section 13.04 states that, ...The responsible authority shall comply immediately, if possible, with any request pursuant to this subdivision, or within 5 days of the date of the request, excluding Saturdays, Sundays and legal holidays, if immediate compliance is not possible. If unable to comply with the request within that time, the responsible authority shall so inform the individual, and may have an additional five days within which to comply with the request, excluding Saturdays, Sundays, and legal holidays. If the data sought by [requestor] are data about her, then [entity] had, at the maximum, ten days (excluding weekends and legal holidays) in which to respond.

In this situation, X made his first request for a copy of the memo in a letter dated July 15, 1994. Having received no response, he made his second request in a letter dated October 13, 1994. By not responding until after December 20, 1994, Duluth obviously did not comply with the time requirements as set forth in Minnesota Statutes Section 13.04, subdivision 3.

In issues three and four, Mr. Nickitas questioned whether destruction or alteration of the memo would constitute a violation of Minnesota Statutes Chapter 13. In her response, Ms. Storaasli stated that the memorandum had not been destroyed or altered. Since X has now received a copy, it appears this is so. However, it is worth noting, for educational purposes, that destruction and alteration of government data could create implications for any government entity. These issues were discussed in Commissioner's Advisory Opinion 94-011. In that opinion, the Commissioner stated:

If there were an outstanding request by a parent to have access to a report on their minor child and a government entity destroyed that report, the destruction could be viewed as a violation of the provision of the MGDPA [Minnesota Statutes Chapter 13] that give[s] data subject's [sic] access to data about themselves. (See Minnesota Statutes Section 13.04, subdivision 3.) Destruction of a report could have implications for a government entity's obligations to keep data on individuals accurate, complete and current. (See Minnesota Statutes Section 13.05, subdivision 5.) Destruction of a report like this by a government entity, without an approved retention schedule, could have implications for that entity under Minnesota Statutes Section 138.17, the state's Records Management Statute .

In this instance, Mr. Nickitas makes no claim that the memo had been altered and it clearly had not been destroyed. However, as discussed in the aforementioned Advisory Opinion, it is important for government entities to be aware of possible implications resulting from any such actions.


Opinion:


  • As to issues one and two,

    pursuant to Minnesota Statutes Chapter 13, government entities are required to respond to requests for access to data in the following fashion: when the data are about the citizen, the response must be immediate or within five working days. If the entity needs additional time, it may take an additional five working days if it so informs the data subject. In this case, Duluth did not respond to X's request for access to data within the time frame required by Chapter 13.

  • As to issues three and four,

    no specific allegations of alteration or destruction of government data were made. In fact, given that X received a copy of the requested memo, the data had obviously been neither altered nor destroyed. Consequently, there is no need for the Commissioner to issue an opinion regarding issues three and four.

Signed:

Robert A. Schroeder
Acting Commissioner

Dated: January 10, 1995



Legislative authority and intent

Personnel data

Records management/retention

Labor and Industry Department

Personnel data

Data subject access to personnel data

Supervisor file

Data destruction

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