88-084
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RESOLurIOO ID. ~gf
A RESOLUI'IOO APPOINfIID A RES~SIBLE AlTllnU'IY AND ASSIGNIID IXJI'IES
UNDER 'lHE MINNESOTA OOVERNVIENT DATA PRACl'ICES ACl'
WHEREAS, Minnesota Statutes, Section 13.02, Subdivision 16, as
amended, requires that the City of Shorewood appoint one person as the
Responsible Authority to administer the requirements for collection,
storage, use and dissemination of data on individuals, within the City;
and
WHEREAS, the City Council of the City of Shorewood wishes to
satisfy this requirement by appointing an administratively qualified
Responsible Authority to perfonn such duties.
l'OV, 'll:IEREFrnE, BE IT RESOLVED by the Ci ty Council of the Ci ty of
Shorewood that Daniel J. Vogt is appointed as the Responsible Authority
for the purposes of meeting all requirements of Minnesota Statutes,
Chapter 13, as amended, and with rules as lawfully pi'anulgated by the
COmmissioner of Administration as published in the State Register.
BE IT FURlllER RESOLVED that the Responsible Authori ty shall
require the requesting party to pay the actual cost of making, certifying
and coopiling copies and of preparing smmary data.
AOOPl'ED BY '!HE CI'IY axJNCIL OF '!HE CI'IY OF SIDlliWXD this 25th day of
July, 1988.
Robert Rascop, Mayor
ATfEST:
Sandra L. Kennelly, City Clerk
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CI'IY OF SIDlliWXD
PR(XE)URES FOR CETAINIID DATA
The Minnesota Data Practices Act (Minn. Stat. 13.01 et seq.) and
the regulations promulgated thereunder (2 ~ 1.201 et al.) establish a
comprehensive system for the compilation and distribution of infonnation
gathered by the Ci ty of Shorewood. All infonnation collected and
maintained by the City of Shorewood is considered public except if
classified as private, confidential, nonpublic or protected nonpublic in
accordance with federal and state laws.
~. Daniel J. Vogt, City Administrator of Shorewood, is the
Responsible Authority charged with implementation of the Data Practices
Act.
This memorandun has been developed in order to infonn individuals
about the procedures to follow in order to gain access to infonnation
gathered by the Ci ty of Shorewood. In preparing this memorandun, the Ci ty
of Shorewood also recognizes its obligation to provide cooprehensive
accessibility to historians, genealogists and other scholars to carry out
extensive research. Furthennore, the City of Shorewood acknowledges the
need to remain open and accountable to the public in the maintenance of
its files while protecting the privacy rights of specific individuals.
PUBLIC INFORVIATIOO
Individuals may obtain public infonnation by either call ing or
writing the appropriate City department at:
City of Shorewood
5755 Country Club Road
Shorewood, Minnesota 55331
(612) 474-3236
When a questions exists regarding the appropriate City department
to which a request for public infonnation should be made, inquiries may be
directed to the City Administrator at the address and telephone number
given above. If an individual wishes to visit the City of Shorewood in
order to inspect certain public infonnation, the City of Shorewood will
recoomend a convenient time between the hours of 8:30 a.m. and 5:00 p.m.
during a week day for purposes of reviewing such infonnat ion. I f an
individual desires to have certain public infonnation copied, whether
before or after inspection, the City of Shorewood reserves the right to
charge the individual the reasonable cost for:
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Procedures for Obtaining Data
Page 2
1. Materials, including paper, used to provide the copies;
2. Labor required to prepare the copies;
3. Mailing of the copies; or
4. Other unique product ion-type expenses if machine-based
recording systems or computers are involved.
The City of Shorewood will attempt to respond to all requests for
public information promptly. If the information requested is classified
as confidential, private, nonpublic or protected nonpublic, the City of
Shorewood will inform the individual verbally and in writing citing the
relevant statute or regulations prohibiting the City of Shorewood from
releasing the information. Any complaint or dispute with the processing
of public information by the City of Shorewood should be directed, in
writ ing, to:
Daniel J. Vogt, City Administrator
City of Shorewood
5755 Country Club Road
Shorewood, Minnesota 55331
PRIVATE OR Nl'WUBLIC DATA
Private or nonpublic data contain information which, pursuant to
state or federal law, is available only to the individual subject of the
data and to employees of the City of Shorewood whose work necessitates
access to the data, to other entities or agencies who are authorized by
statute to obtain such data and to entities or individuals given access by
the express written direction of the data subject. Individuals seeking
access to private or nonpublic data from the City of Shorewood may obtain
the information by writing to Daniel J. Vogt, City Administrator.
Within five (5) working days after seeking a request for the
inspection of private or nonpublic data, the City of Shorewood shall
schedule a convenient time for the individual to visit the City of
Shorewood between 8: 30 a .m. and 5: 00 p.m. on a week day in order to vi ew
the data. The City of Shorewood shall require reasonable identification
for the individual who seeks to review the data to make sure that the
individual is indeed the subject of the data. If an individual desires to
have certain private or nonpublic information copied, the City of
Shorewood reserves the right to charge the individual the reasonable cost
for:
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Procedures for Obtaining Data
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1. Materials, including paper, used to provide the copies;
2. Labor required to prepare the copies;
3. Mailing of the copies; or
4. Other unique production-type expenses if microfilm,
machine-based recording systems or computers are involved.
Any complaint or dispute with the processing of private or
nonpublic information by the City of Shorewood should be directed, in
writing, to Daniel J. Vogt, City Administrator.
alWIDENfIAL CR PIVI'ECI'ED ImPUBLIC DATA
Confidential or protected nonpublic data maintained by the City
of Shorewood shall not be available to the public or to any individuals or
persons who are data subjects. Such information should only be available
to employees of the City of Shorewood whose work assignments reasonably
require access and to other entities or agencies authorized by statute to
gain access to the information. However, an individual may find out
whether any confidential information concerning the individual is
maintained by the City of Shorewood. Such a request should be directed,
in writing, to Daniel J. Vogt, City Administrator.
Within five (5) working days after seeking a request from an
individual concerning the existence of confidential information on the
individual, the City of Shorewood shall infonn the individual if such
information exists or shall request an additional five (5) working days to
respond to the individual.
Any complaint or dispute with respect to the processing of
confidential or protected nonpublic information by the City of Shorewood
should be directed, in writing, to Daniel J. Vogt, City Administrator.
SUVMARY DATA
The preparation and use of smmary data derived from private or
confidential data on individuals are penni tted provided that the smmary
data presented cannot uniquely identify any individual. Requests for the
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Procedures for <l:>taining Data
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preparation and use of surmary data may be made in writing to Daniel J.
Vogt, City Administrator.
If an individual desires the preparation of sunrnary data, the
City of Shorewood reserves the right to charge the individual the actual
reasonable cost for:
1. Materials used to research and prepare surmary data including
paper and copying costs;
2. Labor required to research and prepare sunrnary data;
3. Mailing of the sunrnary data; or
4. Other unique expenses directly related to the research of
preparation of sunrnary data including but not limited to the
cost of computer time.
An estimate of charges and the amount of time required to prepare
the smmary data wi 11 be furnished in writing by the City Administrator to
the individual making the request within ten (10) days of the receipt of
the request by the Ci ty of Shorewood. The Ci ty of Shorewood nnIst be
reimbursed for its costs of preparing the smmary data before the summary
data will be supplied to the requestor.
Any complaint or dispute with the processing of smmary data by
the City of Shorewood should be directed, in writing, to Daniel J. Vogt,
City Administrator.
Daniel J. Vogt
Responsible Authority
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. CLASSIFICATIONS OF DATA
I. Data On Individuals
All government data in which*any individual is or can be identified
as the subject of that data. Individual means a human 'being, living or dead.
A. PUBLIC Data on Individuals
All information on individuals which is not specifically classified
as private or confidential.
B. PRIVATE Data On Individuals
Information which is not public because of statute or federal
law and which is accessible to the individual it covers.
C. CONFIDENTIAL Data On Individuals
Information which is not public because of statute or federal
law and which is not accessible to the individual it covers.
. II.
Data Not On Individuals
All government data which does not fall into the category of data
on individuals.
A. PUBLIC Data Not On Individuals
All information not on individuals which is not specifically
classified as not public.
B. NON-PUBLIC Data
Information not on individuals which, because of statute or
federal law, is not public and which is accessible to the subject,
if any, it describes.
C. PROTECTED NON-PUBLIC Data
Information not on individuals which, because of statute or
federal law, is not public and which is not accessible to the
subject it describes. ---
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* Exception: When the name or other identifying information are only
. incidental and when the information isn't accessed by
the name or other identifying information, the information
is not considered data on individuals.
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I. GENERAL INTRODUCTION
Under M.S. 13.01-13.87 (The Minnesota Government Data Practices Act), all
data collected, created, received, maintained or disseminated by any state
agency, political subdivision or statewide system must be made accessible to
the public unless the data is classified as nonaccessible by: a) a state
statute as temporary, b) federal statute or, c) a temporary classification.
The Minnesota Government Data Practices Act is an attempt by the
Minnesota legislature to classify all government data into one of six
categories. It is an attempt to balance what are often conflicting interests'
of government efficiency, individuals' rights of privacy and openness in
g~vernment and freedom of information to the public and the media.
The classification system set out in the statute may be complex and there
are some problems not addressed, but there is a logic to the system. It is
necessary for municipalities to understand this system in order to define the
city's responsibilities and liabilities, for violation of the act may result
in criminal and/or civil penalties. This memo attempts to assist cities by
explaining the classification system itself, what the duties of the
municipality are, discussing potential liability and pointing out problem
areas. Because of the complexity of the act, the entire statute should be
used in conjunction with this memo.
II. THE CLASSIFICATION SYSTEM
The act's data classification system, which is established by the
statement of and the interrelationship among several critical definitions, is
used throughout the act to establish and define individual rights and
remedies. All data is assigned a specific classification for the purposes of
the act.
The classification system deals with government" data", and although it
is defined briefly in M.S. 13.02, Subd. 7 as "all data... regardless of its
physical form, storage media or conditions of use," the history of the act
indicates the legislature intended the term "data" to mean individual bits and
items of information maintained by government agencies. This means that
"data" refers not only to "records" or "files" but also to sets of
computerized bits of information not generally thought of as records, files,
tape recordings, photographs and the like.
VI. SPECIFIC CLASSIFICATIONS OF DATA
The following is a list of major types of data which the Act itself
classifies. This list does not include data classified as Public. Remember
"that this list is not exhaustive because other state statutes and federal law
may classify data as not public. Also, each section referred to below should
be read carefully as there may be exceptions to the classification.
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A. Government data classified as PRIVATE:
Security Information, 13.37
Absentee Ballots. 13.37
Trade Secret Information, 13.37
Sealed Bids, 13.37
Labor Relations Information, 13.37
Deferred Assessment Data, 13.52
Surplus Line Insurance Data, 13.71
Federal Contracts Data, 13.35
Library Data, 13.40
Welfare Data, 13.46
Mental Health Center Data, 13.46
Personnel Data (some), 13.43
Educational Data, 13.32
Sexual Assault Data, 13.56
Unique Property Data, 13.81
Elected Officials Correspondence, 13.33
Medical Data. 13.42
Department of Public Safety. Data, 13.69
Firearms Data, 13.36
Social Recreational Data. 13.57
Medical Examiner Data, 13.83
Licensing Data. 13.41
Benefit Data, 13.31
Assessor's Data, 13.51
Uealth Data, 13.38
Corrections Ombudsman Data, 13.66
Attorney General Data, 13.65
Offensive Photographs, 13.82
Names of victims or witnesses (under certain conditions), 13.81
Photographic Negatives, 13.69
Court Services Data, 13.84
Library Data, 13.40
Rideshare Data, 13.72
Corrections and Detention Data, 13.85
Criminal History Data, 13.87
Uomestead Application Data, 13.58
Redevelopment Data (some) 13.59
Environmental Quality Data, 13.94
B. Government Data Classified as CONFIDENTIAL:
Property Complaint Data, 13.44
Investigative Detention Data, 13.86
Data in Arrest Warrant Indices, 13.81
Reward Program Data, 13.81
Deliberative Processes and Investigative Techniques Data, 13.81
Department of Public Safety Data, 13.69
Civil Legal Action Data, 13.39
'Domestic Abuse Data. 13.80
Medical Examiner Data, 13.83
Revenue Informant Data, 13.70
Licensing Data. 13.41
Foster Care Data. 13.53
Health Data, 13.38
Housing Agency Data, 13.54
Corrections Ombudsman Data. 13.66
Attorney General Data, 13.65
Active Criminal Investigative Data, 13.82
Court Services Data, 13.84
Appraisal Data, 13.50
Corrections and Detention Data. 13.85
Bureau of Mediation Services Renresentatfon And Medfation natA. 11.7~
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C. Government data classified as NONPUBLIC:
security Information, 13.37
Absentee Ballots, 13.37
Trade Secret Information, 13.37
Sealed Bids, including the number of bids received, 13.37
Labor Relations Information, 13.37
Examination Data, 13.34
Revenue Data, 13.70
Federal Contracts Data, 13.35
Energy and Financial Data, 13.68
Department of Transportation Construction Cost Estimates, 13.72
Unique Property Data, 13.81
Salary Benefit Survey Data, 13.45
Worker's Compensation Self Insurance Data, 13.72
Assessor's Data, 13.51
Income Property Assessment Data, 13.51
Housing Agency Data, 13.54
Department of Employee Relations Data, 13.67
St. Paul Civic Center Authority Data, 13.55
Redevelopment data (some), 13.59
D. Government Data classified as PROTECTED NONPUBLIC:
'Labor Relations Information, 13.37
Reward Program Data, 13.81
Civil Legal Action Data, 13.39
Housing Agency Data, 13.54
Revenue Department Data, 13.70
Energy Audit Data, 13.68
Bureau of Mediation Services Representation and Mediation Data, 13.75
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Personnel Data
As indicated in the first paragraph of this memo, the general rule stated
in M.S. 13.03, Subd. 1, is that all government data collected, created,
received, maintained or disseminated by a state agency, political subdivision
or statewide system is public unless specifically classified otherwise by
state or federal statute or temporary classification. The general rule is
reversed, however, for personnel data, which is classified as private data on
individuals by M.S. 13.43, Subd. 4, if not specifically made public by other
sections or 13.43 or valid court order.
Personnel data is data on individuals collected because the individual is
or was an employee of or an applicant for employment by, performs services on
a voluntary basis for, or acts as an independent contractor with a state
agency, statewide system or political subdivision or a member of an advisory
board or commission.
Except for the undercover law enforcement officers, the following
personnel data on current and former employees, volunteers, and independent
contractors is public: name, actual gross salary; salary range; contract
'fees; actual gross pension; the value and nature of employer paid fringe
benefits; the basis for and the amount of any added remuneration, including
expense reimbursement, in addition to salary; job title; job description;
education and training background; previous work experience; date of first
and last employment; the status of any complaints or charges against the
employee, whether or not the complaint or charge resulted in a disciplinary
action; and the final disposition of any disciplinary action and supporting
documentation; work location; a work tp.lephone number; badge number; honors
and awards received; payroll time sheets or other comparable data that are
only used to account for employees work time for payroll purposes, except to
the extent that release of time sheet data would reveal the employees reasons
for the use of sick or other medical leave or other not public data; and city
and county of residence. Data on applicants, other than applicants for
undercover law enforcement positions, which is public is limited to: veteran
status; relevant test scores; rank on eligible list; job history; education
and training; and work availability. Names of applicants are private unless
certified as eligible for appointment to a vacancy or when applicants are
considered as finalists (selected for an interview by the appointing
authority) for a position in public employment.
Financial disclosure statements of elected or appointed officials which,
by requirment of the political subdivision, are filed with the political
subdivision, are public data on individuals.
Any other type of personnel data should be treated as private unless a
specific statute or classification deems it public.
C. Specific Duties of the Responsible Authority
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1.
The "Tennessen Warning"
The idea behind this "warning" is that an individual from whom the city
collects information ought to be able to discover how that data is to be used
and to prevent data collected for one purpose from being used for other
purposes. The "Tennessen warning" is intended to provide the individual with
information necessary to make an informed decision. The act only requires the
warning (pursuant to M.S. 13.04, Subd. 2) upon meeting all three of the
following requirements. These are: 1) when the city actively collects data
(excludes volunteered information), 2) when the data collected is classified
as private or confidential (excludes public data on individuals and public,
nonpublic and protected nonpublic data not on individuals), and 3) when the
city intends to collect data from an individual which pertains to
himself/herself (excludes information collected from an individual pertaining
to someone else). The warning does not have to be given in the case of data
collected by law enforcement personnel as a part of their investigation. (M.S.
13.82, Subd. 5).
If all three conditions are met, the city is required, prior to
collection of data, to provide to the individual a notice which must include
specific elements (see M.S. 13.0/" Subd. 2). In general, the notice must
include these four separate statements:
1. The purpose and the intended use of the data being requested;
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2.
whether the individual can refuse or is legally required to provide
the data being requested; ~
3. what the consequences are to the individual of either supplying the
data being requested or re~using to supply it;
4. the identity of other persons or entities authorized by state or
federal law to receive the data.
Failure to give this warning is apparently a violation of the act which
may give the individual recourse to a variety of remedies under M.S. 13.08.
J..iability and penalties are discussed later in the memo. Remember that the
responsible authority is also restricted to the collection and storage of data
which are necessary to the administration and management of programs
specifically authorized by the Legislature, city council, or mandate by
federal government. (M.S. 13.05, Subd. 3.) Furthermore, in the case of
private or confidential data, such datl1 shall not be collected, stored, used
or disseminated by the agency for any purpose other than those stated to the
individual at the time of collection in accord with the Tennessen warning.
(M. S. 13.05, Subd. 4.) Taken together, these provisions mean that agencies
can only collect private or confidential data from individuals if the data is
necessary. Before collecting private or confidential data, the agency must
provide the individual with a Tennessen warning wllich specifies why that data
is being collected, how it will be used and to whom it will be disseminated.
Once the warning is given, the agency is limited in its collection, storage,
use and dissemination of the data collected to those purposes which it
communicated to the individual at the time the data was collected. Two sample
Tennessen warnings are provided.
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SAMPLE TENNESSEN WARNI NG - I I
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NOTICE TO APPLICANTS
INSTRUCTIONS FOR COMPLETING APPLICATION:
1. Fill out a separate application lor each job you are applying lor.
2. Read the job announcement carelully to be sure you meet all the minimum qualifications; other ~Inlormation You Should
Know~ is printed on the back 01 the job announcement.
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3. Your applicalion must be received in Ihe ollice 01 the Ramsey County Civil Service Deparlment no laler than 4:30 p.m. on the
LAST DAY FOR FILING as staled in Ihe job announcemenl. or be posl-marked on or belore that dale.
.. II you require special teSling condilions. atlach an ell planation or contact the Civil Service Department. (Example: Hearing
impairment requiring wrillen rather than oral inslructions.)
5. All malerials.submilled in support 01 your applicalion become the property 01 Ramsey County and cannot be returned. Work
samples. lellers 01 recommendalion. elc. should not be submilled at the time 01 application.
6. VETERAN PREFERENCE: Qualified velerans and spouses 01 disabled or deceased velerans may apply to have extra poinls
crediled to Iheir examinalion scores. However. you musl pass Ihe examination lor this prelerence to be applied. II you have
any queslions about Ihis prelerence. check wilh our ollice.
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IMPORTANT FACTS CONCERNING INFORMATION PROVIDED ON YOUR APPLICATION:
Minnesola Slalules 15.1611 to 15.17 (1979) on dala privacy require Ihat you be inlormed thaI the lollowing inlormalion which
you will be asked 10 provide in Ihe employmenl process is considered privaledala:
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NAME
HOME ADDRESS
HQME PHONE NUMBER
SOCIAL SECURITY NUMBER
DATE OF BIRTH
CONVICTION RECORD
SEX
AGE GROUP
RACIAL/ETHNIC GROUP
DISABILITY TYPE
We ask lor Ihis informalion lor Ihe following reasons:
_ 10 dlslinguish you from all other applicanls and idenlily you in our personnel files;
_ 10 enable us 10 verily Ihal you are Ihe individual who lakes Ihe ellaminalion;
_ 10 enable us 10 conlacl you when addi\lonal inlormalion is required, send you nolices and/or schedule you lor inlerviews;
_ 10 delermine if you meellhe minimum age requiremenls (il any);
_ 10 delermine whelher or not your conviclion record may be a job-relaled consideralion aflecling your suilabilily lor Ihe
posilion you applied lor;
_ 10 enable us 10 ensure your righls 10 equal opporluni\les;
- 10 meel lederal reporling requiremenls; and
- 10 make processing more eflicienl.
The dala supplied may be used lor such olher purposes as may be delermined 10 be necessary in the administration 01 the Ramsey
Counly Civil Service Act and Ihe rules and regulalions promulgaled pursuant thereto.
FURNISHING SOCIAL SECURITY NUMBER, DATE OF BIRTH (UNLESS A MINIMUM AGE IS REOUIRED), SEX, AGE GROUP,
RACIAL/ETHNIC AND DISABILITY DATA IS VOLUNTARY. BUT REFUSAL TO SUPPLY OTHER REOUESTED INFORMA-
TION WILL MEAN THAT YOUR APPLICATION FOR EMPLOYMENT MAY NOT BE CONSIDERED.
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p'rivale dala is available only to you and to olher persons in the County or County relaled programs who have a bonafide need lor
the dala. Public data is available to anyone requesling it and consists olalldatalurnished in the employment process which is
~ot designated in this notice as private dala.
II you pass the examination your name, score and slanding will become public inlormation and may be provided to anyone.
If you are hired by Ramsey County. you will be legally required to supply your social security number and all applicable lax
Information. This inlormalion will be sent to lederal and slate tax authorities and to the Social Securily Administration, and will
enable us to compute your salary deductions. Insurance dala which you will be required to lurnish in order to participate in
County heallh and life insurance plans will be classified as private as will payroll deduction data.
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APPENDIX D
SAMPLE
CONSENT FOR THE RELEASE OF INFORMATION
I,
(name of individual authorizing release)
authorize
(name of Responsible Authority or city)
to disclose to
(name of individual or entity to receive the information)
the following information:
(description of the information)
for the purpose of:
I understand that my records are protected under State and Federal privacy
regulations and cannot be disclosed without my written consent unless
otherwise provided for by law. I
I also understand that I may cancel this consent at any time prior to the
information being released and that in any event this consent form expires
automatically 90 days after signing.
Signed this
day of
, 19
(Signature of individual authorizing release)
(Signature of Witness)
(Month/Day/Year)
NOTE TO THE RESPONSIBLE AUTHORITY: The consequences
consent must be communicated to the individual prior
signature.
of giving informed
to affixing his/her