A recent decision of the Office of Open Records (OOR) is noteworthy for the extensive analysis supporting its conclusion that the Pennsylvania Public Utility Commission (PUC) must produce a substantial number of the records requested regarding submissions to the PUC in connection with a pipeline. In Friedman v. Pennsylvania Public Utility Commission, OOR Dkt. No.: AP 2019-1324 (Oct. 10, 2019), the OOR rejected multiple arguments asserting that all of the information requested was within various exemptions under the Right-to-Know Law (“RTKL”), 65 P.S. §§ 67.101 et seq.  This Final Determination is also notable for its grant of a request to participate by a party with a direct interest in the subject of the appeal.

Takeaways:

The most efficient way to highlight this 31-page decision of the OOR is to note the multiple arguments that were rejected in terms of exemptions that were claimed but were denied. This decision should be read by anyone seeking information under the RTKL from the PUC (which is subject to the jurisdiction of the OOR).

Among the exemptions that the PUC claimed were a basis to prohibit disclosure–but which in most instances were determined not to allow the PUC to withhold documents, include the following:

  • Section 708(b)(2) regarding disclosure that would threaten public safety.
  • Section 708(b)(3) relating to exemptions for disclosure that would endanger the safety of a building, public utility, infrastructure or information storage system.
  • Section 708(b)(3)(ii) refers to infrastructure and resources defined by the federal government in the National Infrastructure Protections Act.
  • Section 708(b)(3)(iii) allows exemptions that would expose infrastructure to vulnerability due to disclosure, including public utility systems, communications systems, water, sewage and gas systems.
  • Section 708(b)(11) exempts certain trade secrets or other confidential proprietary information.
  • Section 708(b)(17) exempts non-criminal investigative records.
  • Section 708(b)(17)(vi) provides an exemption for records that, if disclosed, would: (A) reveal the progress of an agency investigation; (B) deprive a person of the right to an impartial adjudication; (C) constitute an unwarranted invasion of privacy; (D) hinder the ability of an agency to secure an administrative sanction; and (E) endanger the life or physical safety of an individual

We highlight on these pages many decisions that describe the right to obtain records under the RTK Law, but it remains helpful to be aware of enumerated exclusions in the RTK Law that prevent one from obtaining certain documents.

For example, in the recent Final Determination by the Office of Open Records in the matter of Chabot v. Pennsylvania Department of Labor and Industry, Dkt. No. AP 2018-1920 (OOR, Nov. 21, 2018), a request was made for records about a non-criminal investigation.  In addition to providing a helpful explanation regarding the purpose of the RTK Law,  procedures to appeal from the agency on whom a demand is made, and the burden of proof on the government to explain why the documents requested should not be provided, the decision explains several statutory exceptions to the requirement for a government agency to disclose documents.  They include, for example:

  • Investigative materials. Section 708(b)(17)(ii).
  • Records that include the identity of a confidential source. Section 708(b)(17)(iii).
  • Records that includes information made confidential by law. Section 708(b)(17)(iv).
  • Records that, for example, would:
    • disclose the start or progress or result of an agency investigation, except for the imposition of a fine or a penalty, or revocation or modification of a license or permit, or an executed settlement agreement–unless the court determines the settlement to be confidential;
    • deprive a person of the right to an impartial adjudication;
    • cause an unwarranted invasion of privacy, or
    • endanger the life or physical safety of an individual. Section 708(b)(17)(vi).

Another recent decision of the OOR denied a request for police department scheduling policies and police officer timesheets based on an exception that does not require the production of government records when to do so would likely jeopardize public safety. See Gonzalez v. Elizabethtown Police Department, Dkt. No. 2018-1636 (OOR, Nov. 20, 2018).

But compare: Arthur v. Pennsylvania Turnpike Commission, Dkt. No. 2018-1448 (OOR, Oct. 10, 2018) (Agency did not prove that the redacted information requested was proprietary information or a trade secret, and thus, the request for records was granted.)

Supplement: A list of the 30 or so statutory exceptions is provided on the OOR website.

It remains useful to compare how the PA RTK Law compares to similar laws in other jurisdictions.  Freedom of Information Act (FOIA) statutes in the State of Delaware, and also the federal counterpart statute do not generally allow access to criminal investigations.  FOIA is the name given to many RTK laws in other states.

Brief Overview

The premise of both the federal and Delaware state FOIA laws is that public business should be conducted in an open and public manner, and thus members of the public are generally entitled to records from public entities. However, that entitlement is not absolute. Both federal and state laws have enumerated exemptions to what constitutes a public record. Neither statute, however, provides anything akin to the PA Office of Open Records.

  •  Under Delaware FOIA laws, criminal files and records pertaining to potential litigation and are not subject to disclosure.

21 Del. C. § 10002(l)[1] of the Delaware FOIA law lists several types of records that are not deemed, for purposes of this statute, “public records,” including:

(4) Criminal files and criminal records, the disclosure of which would constitute an invasion of personal privacy. Any person may, upon proof of identity, obtain a copy of the person’s criminal record. All other criminal records and files are closed to public scrutiny. Agencies holding such criminal records may delete any information, before release, which would disclose the names of witnesses, intelligence personnel and aids or any other information of a privileged and confidential nature.

(9) Any records pertaining to pending or potential litigation which are not records of any court.

21 Del. C. § 10002(l) (emphasis added). In summary, FOIA prevents the disclosure of criminal files and criminal records, and any records pertaining to pending or potential litigation.

  • Criminal Files & Criminal Records

The privacy concerns of witnesses, informants, and defendants themselves prevent the disclosure of criminal records and criminal files through FOIA. Del. Op. Atty. Gen. 10-IB13 (Del.A.G.), 2010 WL 4154565.

[T]he criminal records exemption of section 10002 makes a distinction between “criminal files” and “criminal records.” While any person may obtain a copy of his/her criminal record, subject only to an agency’s authority to withhold certain information contained in the criminal record, “criminal files” are closed; there is no exception in the statute. . . . But other policy concerns expressed by the statute remain. Witnesses frequently speak to authorities on condition of anonymity, or at least with an expectation that their information will be held in confidence with law enforcement. That expectation does not suddenly expire with the completion of the criminal case. In addition, criminal suspects are often arrested by law enforcement when they are not performing at their best. The embarrassment of their behavior often causes them to plead guilty rather than expose their misbehavior to public scrutiny. Thus, the privacy concerns of witnesses, informants and defendants themselves are each implicated by a reading of the statute that would except closed criminal files from the FOIA exemption for criminal files.

Id.

An arrest record is categorized as a criminal record and is exempt from disclosure. Although records relating to the recovery of a handgun, for example, is not clearly identifiable as a criminal record, it may be considered part of criminal file and at the very least, records such as witness statements would be exempted from disclosure for policy concerns. Even if all of the records relating to the recovery of a handgun are not deemed part of a criminal file, as explained below, the records fall within another exemption of the statute.

  • Pending or Potential Litigation

A litigant may not use FOIA to obtain information from the Delaware State Police to use in trial. Public Defender v. State Police, 2003 Del. Super LEXIS 111 at **8-9 (Del. Super. Mar. 31, 2003). In Public Defender v. State Police, the Superior Court held the Public Defender’s Office[2] was not entitled to records from the State Police because “[w]hile the Public Defender’s clients mostly are Delaware citizens and while some of them might be especially curious about the state police training and methods, their interest in the materials is not related to the public’s right to know. Their legitimate interest concerns pending or potential litigation, which is exempt from the Act.” Id.

The Delaware Attorney General’s Office and Delaware courts have consistently held that “FOIA’s pending/potential litigation exemption is designed to maintain a level playing field: a party or potential party to litigation cannot use FOIA to obtain information in lieu of the rules of civil discovery. ‘Delaware courts will not allow litigants to use FOIA as a means to obtain discovery which is not available under the court’s rules of procedure.’” Del. Op. Atty. Gen. 06-ID21 (Del. A.G.), 2006 WL 3113705 (quoting Mell v. New Castle County, 835 A.2d 141, 147 (Del. Super. 2003)); see also Del. Op. Atty. Gen. 04-IB20 (Del.A.G.), 2004 WL 2951950 (“The exemption applies when [i]t is exclusively about litigators and litigants looking for materials that might help them in court.”) (internal citations omitted).

Requesting records from the State Police on behalf of a client to aid in litigating a case, is the exact purpose for which the Delaware Legislature forbade FOIA from being used. One cannot obtain records through FOIA when the sole purpose for obtaining them is to search for evidence that may assist in the course of litigation, even if the requested records do not constitute criminal files or criminal records.

  • Under federal laws, disclosure of investigation records would constitute an unwarranted invasion of person privacy and are therefore exempt from disclosure.

Similar to the Delaware statute, the federal FOIA exempts:

records or information compiled for law enforcement purposes, but only to the extent that the production of such law enforcement records or information (A) could reasonably be expected to interfere with enforcement proceedings, (B) would deprive a person of a right to a fair trial or an impartial adjudication, (C) could reasonably be expected to constitute an unwarranted invasion of personal privacy, (D) could reasonably be expected to disclose the identity of a confidential source

5 U.S.C. § 522(b)(A)(7). The United States Supreme Court has held that “as a categorical matter that a party’s request for law enforcement records or information about a private citizen can reasonably be expected to invade that citizen’s privacy, and that when the request seeks no ‘official information’ about a Government agency, but merely records that the Government happens to be storing, the invasion of privacy is ‘unwarranted.’” Department of Justice v. Reporters Committee for Freedom of Press, 489 U.S. 749, 780 (1989).  In other words, law enforcement records about a private citizen are not subject to disclosure under FOIA.

The ATF[3], by way of example, requires a lawyer to have a client verify his or her identity pursuant to 28 C.F.R. § 16.41(d) before the agency can process a request. If one’s client is the subject of the investigation for which one is seeking records. 28 C.F.R. § 16.41(d) states, in part, “[w]hen you make a request for access to records about yourself, you must verify your identity.” If one’s client is not the subject of the files sought, the law regards disclosure of law enforcement records as an invasion of privacy.

Footnotes:

[1] Copy of the Delaware FOIA statute is available at this link.

[2] The Court held that the Public Defender’s Office was not a citizen under FOIA and refused to recognize the Assistant Public Defender’s presence in her personal capacity reasoning that she admitted that “she was acting on behalf of the office of the Public Defender.” Public Defender v. State Police, 2003 Del. Super LEXIS 111 at **9, 12 (Del. Super. Mar. 31, 2003).

[3] “ATF is a law enforcement agency in the United States’ Department of Justice that protects our communities.”  ATF, About the Bureau of Alcohol, Tobacco, Firearms and Explosives, https://www.atf.gov/.