freedom of information act (foia) update and refresher_beth-foia... · • act 541 - same as act...
TRANSCRIPT
Freedom of Information Act (FOIA) Update and Refresher
Arkansas City Attorney Association Summer CLE Program
Arkansas Municipal League Headquarters
2017 Legislative Session • New security-related exemptions
• Act 376 - Department of Community Correction's "Emergency Preparedness Manual"
• Act 474 - State Capitol Police operations, emergency procedures, and personnel.
• Act 541 - Same as Act 474 for public schools and higher-ed institutions.
• Act 438 -Arkansas State Police security-related records concerning the Governor's mansion and the mansion grounds.
6/8/2017
1
2017 Legislative Session
• Law Enforcement Personnel
Act 531 - Exempts any record that depicts or records the death of a law enforcement officer but allows access upon order of a circuit court upon a showing of "good cause" (factors include need for public evaluation of an officer's conduct and privacy interest of officer's family)
NOTE: None of these new exemptions will be found in the FOIA itself. They are contained in other parts of the Arkansas Code.
r®" \l J\llilHl';lilt'.t!\I
I I 11Sl11 l\ll l l I Ill.I '
2017 Legislative Session
• Amendments under FOIA
• Act 1107 - Local government "opt in" under Ark. Code Ann. § 25-19-108, regarding information on the web.
• Act 711 -Amendment to allow disclosure of utility system customers' "personal information" for billing and other purposes.
• Act 923 - 9-member FOIA Task Force to study/recommend FOIA amendments.
/ ' '~) ,\llllHNJ\(d:'.IH\I
\~; 11 SI II l(lJ 11111<>1
6/8/2017
2
Records and Meetings Refresher
14/' ~ ,\ifOl'NI' \dN/l.\I
~ _ )J llSlll ltlllllDC,l
Step 1: Is the entity covered?
• All government entities
• Some private entities
- Public funding+ intertwining
r;~ ~ '\1101\NIYldNll'.\l
\! ) [!Siil ltlllll DCI
6/8/2017
3
Step 2: Is the meeting/record covered?
What is a "meeting"?-definition
• A.C.A. 25-19-106(a): "all meetings, formal or informal, special or regular, of the governing bodies of all municipalities [and] counties ... shall be public meetings."
- In other words: "All meetings are public meetings."
- But what's a 'meeting'?
• What's a governing body? - It's a body that can make decisions
6/8/2017
4
How many make a meeting?
• no quorum required
• any particular number? '
• no polling or secret telephone conferences
r•\ 1\lltll'Nl)lil'<~I.\! \Q) llSlll IWllllJld
Social Gatherings/Conferences?
•Not a "meeting" if discussion of government business at the social gathering is incidental and intermittent (Op.95-020)
•Probably not a "meeting" if governing body has no control over the conference, function, or proceeding (Op. 94-131)
(-\ <\llill,~l\ldN!l\l \"QJJ l l '.l 11 f(ll I l I IJ(.!
6/8/2017
5
Are e-mails meetings? (Op. 2005-166}
• Usually not
• But they could be-depends on all the facts
What if the meeting is covered? (Part 1)
Notice Requirements
• Regular Meetings:
• (1) time and place must be given to
• (2) anyone who asks
• Special/Emergency Meetings:
• (1) time, place and date - 2 hours in advance
• (2) to news media
f.\ 1\l!Hl~l,\ol'Hh\l \\\31) 11SI11 IW 1 l I Ill.!
• (a) in the county where the meeting's held, and
• (b) located elsewhere that cover the regular meetings
• (3) that have asked to be notified
(A\ \!j(11\Ml ldNll \I
Q; llSlll lll!lllll(ol
6/8/2017
6
What if the meeting is covered? (Part 2)
• Attendance not participation at meetings
• Public must be able to see how each
individual member voted.
~r ~,~ t\llOl'Nl)(dNtf.\I
\' ,~ LISllL llllllLDGI
The Freedom of Information Act
Step 3: Meetings Exemptions.
~ \ '\J 101\NI ~ ld NI l'.\I e' ~' ) 11 S 111 lllJ I I I I l(, l
6/8/2017
7
Kinds of Exceptions
Procedure for using an exception
• licensing exams
• water security
• personnel matters
•notice
• announcement
• limited attendance
Step 3: Meetings Exemptions.
Personnel Matters
(A\ ,\111wN1,t..1·~1r,\1 \Q) l !Sii I ltu I I [!)Loi
- only for purpose of considering hiring, firing, appointing, promoting, demoting, disciplining, or resigning of public officer or employee
~~WE'RE
(
\ <\llOh,'\;l\~dNll'\l e" j l I ~I II Rlll 111 l(.!
6/8/2017
8
Executive Session-Procedure
• Notice requirements still apply.
• Must announce specific purpose before going in.
• Must vote in public afterward or action is void.
• Other specific state laws may allow private meetings
/,- ~~~ AllOl!';l)\d'Hl,\I
~ / 11 SI II IW 11 l Ill.I
Executive Session - Attendance
• Persons who can attend by right: - All members of the governing body
• Persons who can attend by invitation: - interviewee for top administrative position - the top administrator, immediate supervisor, and
employee
• Persons who cannot attend: Everyone else, including attorneys
('6\ '\11011~.1\ldNll'I\! ,O; 11,111 m11111J(.!
6/8/2017
9
Enforcement
• Action is void if no public vote
• Noncompliance in other respects renders action voidable Court will only invalidate the action when:
- Plaintiff has given the body a chance to hold a meeting that conforms;
- Remedy is sought to vindicate public as opposed to private interest;
- The FOIA violation was substantial; and
- The defendant knowingly violated the Act .
!A\ 1\l!IH:\l,\1!'.tl,\l
\~) llSlll IWllllll.I
The Freedom of Information Act
Step 2: Is the record covered?
tA\ \1toll".l•\d:\t1\1
\~j llSlll lllllll!l(,(
6/8/2017
10
Is the record covered? • What is a "public
record"? - (1) Writings, recorded
sounds, electronic info, or videos that
Is the record covered? • What is a "public
record"? - (1) Writings, recorded
sounds, electronic info, or videos that
- (2) are kept
r. \ '\llOHNl)\dNll"'d e/~ ',
\1, ) l!Slll RlJlllD<il
6/8/2017
11
Is the record covered? • What is a "public
record"? - (1) Writings, recorded
sounds, electronic info, or videos that
- {2) are kept
- {3) that constitute a record of the performance or lack of performance of official functions
(AJ!\\ ,,11111'''' l.1N11,\1
\'4;!,J!) l l Sl II IW 1 l [l)(.J
Public Records (con't)-How do you know?
• The content • The presumption:
- (1) maintained in public offices or by public employees
- (2) within the scope of their employment
/ ,, fA> \1101tNl\\.iN11t.\1
\OJ llslll Rl!IlllJCI
6/8/2017
12
Public Records (con't)-How do you know?
• The content
• The presumption: - (1) maintained in public offices or by public employees - (2) within the scope of their employment
• Rebutting the presumption - Record doesn't reflect the "performance or lack of performance of official functions."
- Content based
(.\ 1\l\\l\N\\\.1\•-l\h'.\\
\'4;!)/) 11 Sl II IW 1 l I lll.1
Is the record covered?
General rule:
All "public records" must be disclosed unless exempt
(A\ \llOflNlilJ!:\111'\l
Q; ltslll IU!llll)(.I
6/8/2017
13
The Freedom of Information Act
Records Exemptions.
Kinds of Exemptions
Statutory
Constitutional
Contained in FOIA
Referenced in another statute
State Statute
Federal Statute
(~ AllOl\.NIYl1/Nll'.\!
\°'QJ) llslll l<llilllJ(.!
6/8/2017
14
Personnel records
&
Employee evaluation records
Some records exceptions Personnel records
(~\ 1\11111~ 1\\ol N ll.\I \'4J) l 1 Sii i JUI I l llll.I
• Definition: Virtually all records pertaining to the individual employee aren't evaluation records
• Stance: "It must be disclosed, unless .... "
(/.. ~ '\ltOHM\\dNll-\l
\' ') [!Siii RlllllD<'1 '- /
6/8/2017
15
Some records exceptions Personnel records
• Definition: Virtually all records pertaining to the individual employee aren't evaluation records
• Stance: "It must be disclosed, unless .... "
• Test: unless doing so constitutes a "clearly unwarranted invasion of personal privacy"
(A\ t\11111·N1\l•'"''"'1
\"(jj/) llSll! llllllll1(,!
Balancing Test
• Step 1: Identify existence and level of any privacy interest - If de minimis, release record(s). No balancing.
• Step 2: Balancing - Identify public interest (degree to which disclosure
would shed light on workings of government).
- If substantial, usually release.
h/- ~ Al IOl\Nl\ ldNlh/\!
\ ) 11 ~I LI ((l) I L L D<, I
6/8/2017
16
Personnel Records -Commonly Exempted Items • Social Security numbers • Medical info • Insurance, pension & benefit info • Tax info & withholdings • Personal contact info (home/cell numbers;
home addresses; personal email addresses) • Date of birth • Marital status and info on dependents
Personnel Records -Common Items Open to Inspection • Name • Salary Info • Contracts • Employment applications • Resumes • Educational background • Work History • Leave Records • Letters of recommendation
(A\ '\1101 ",I~ ld NI J'>\I
~J/ l l ~111 l(l) 11111<.!
6/8/2017
17
Some records exceptions Evaluation records
• Definition: Any records created by (or at the behest of) employer to evaluate an employee
• Stance: "Must be withheld, unless .... "
Some records exceptions Evaluation records
IA\ 1\lllH!'>l,~d'Jtf,\l \\:.::}) LI Sl I l IW 1 l I llld
• Definition: Any records created by (or at the behest of) employer to evaluate an employee
• Stance: "Must be withheld, unless .... "
• Test: unless ...
- Suspended or fired (level of discipline)
(/''''~·~> '\l IOll~! l ld ~I I \1
~j ll\lll illlllllJ(,[
6/8/2017
18
Some records exceptions Evaluation records
• Definition: Any records created by (or at the behest of) employer to evaluate an employee
• Stance: "Must be withheld, unless .... "
• Test: unless ... - Suspended or fired (level of discipline)
- Final administrative resolution (finality)
Some records exceptions Evaluation records
• Definition: Any records created by (or at the behest of) employer to evaluate an employee
• Stance: "Must be withheld, unless .... "
• Test: unless ... - Suspended or fired (level of discipline) - Final administrative resolution (finality)
- The records formed a basis for the decision (relevance); and
r. \ \1 IOIU'.;I Y \d NI 1'.\l e' \, ) llslll ltlllllllC.t
6/8/2017
19
Some records exceptions Evaluation records
• Definition: Any records created by (or at the behest of) employer to evaluate an employee
• Stance: "Must be withheld, unless .... "
• Test: unless ... - Suspended or fired (level of discipline) - Final administrative resolution (finality) - The records formed a basis for the decision (relevance); and
- There's a compelling public interest in the disclosure (compelling public interest).
r.r' --...~ 1\llUINl)(dtHh\l
~ ') ILSlll ltl!JllDl.I
Compelling Public Interest
Factors to consider when determining whether a compelling public interest is present:
• The nature of the infraction that lead to suspension or termination, with particular concern as to whether violations of the public trust or gross incompetence are involved;
• The existence of a public controversy related to the agency and its employees;
• The employee's position within the agency.
~ "' (A\ \1Hll\M\~.iN11A.1 \QJ llSlll IWllllJ(,l
6/8/2017
20
Mixed Records
(A\ ,,1r111·N1,\,1r.111,\1
\\JJ) llSlll IUJlllDld
Mixed Records
A record is "mixed" when it can be classified as:
• More than one person's evaluation,
• More than one person's personnel record, or
• At least one person's evaluation and at least one person's personnel record.
fA\ '\ff(lfl".l'r'(d'-111~1 \~JJ llSlll Rlllllll(ol
6/8/2017
21
Mixed Records • First step: Classify the records
• Second Step: Apply the relev~nt test for disclosure and make any necessary redactions.
- Note: Most complaints against public employees are either the personnel records or employeeevaluation records of the person being complained about.
-A complaint by a public employee is also usually a personnel record of the complainant.
r,· .... ,~ 1\ll lll '1' ll \olNll,\I
~ ~ llSllf Rllllllll,I
Personnel/Evaluation Records Compliance
• Notice Requirements - Notify employee and requester within 24 hours of
the agency decision
- Overnight mail notice is required if other notice fails
- The requester, custodian, or subject may request an opinion from the Attorney General
- Redact any exempt information and provide the records
(~\ '\l l Pl•l'. l 'l\d:-..11"1
~) llSlll Rllllll)(,I
6/8/2017
22
Remember
A public employee is entitled to
his or her own personnel records
and employee-evaluation records.
--Ark. Code Ann. § 25-19-105(c)(2)
4 Steps to Evaluate the Request
6/8/2017
23
4 Steps to Evaluate the Request
• Step 1: What's requested?
• Step 2: How long do you have to respond?
• Step 3: Evaluate the record(s)
• Step 4: Prep and send
How to make a FOIA Request
• Mode
-Any method will do
• Specificity
- Detailed enough to locate the records with "reasonable effort."
• Medium
-Any medium in which the record exists or is "readily convertible."
, ,, rA> \1101tNIYl.!Nll"-I
\~) llSlll l(lJlllDCl
6/8/2017
24
Evaluating the Request
• Step 1: What's requested?
• Is it detailed enough? • If not, get clarification.
• Is it a personnel record or employee evals?
• Who's the custodian?
- person with "administrative control"
(A\ ,\11ul!'«l,ld~Jlh\I \'4::.JIJ I IS! 11 IUJ I l I llt.I
Evaluating the Request
• Step 2: How long do you have to respond?
• 3 days if in storage or active use
(non-personnel/evaluation)
• Otherwise: immediately
16.\ '\llOhNl)ldNll'I\!
\~; LISlll Hlllllll(.I
6/8/2017
25
Evaluating the Request
• Step 3: Evaluate the record
• Public record?
• Exemptions?
• Redactions? (wield the Sharpie)
fA\ ,\lllll1\l,\.lt.ll.\l
\_"iJ./J 11SI11 IW 1111 ll.I
Responding to the Request
• Step 4: Prep & send the record(s) • Open for inspection if requested
• Making the copies • The requester can require copies.
• Charging for copies? • Only "actual costs of reproduction" • That includes mailing or faxing • Doesn't include employee time • $25 in advance • Itemize the charges
(
., \llllh~llldNll.\1 OJ 11~111 l<lJlllD(,l
6/8/2017
26
Enforcement
Class "C" misdemeanor
Civil Suits /A\ 1\ll1llNl)lol'<lh'l
\~J llSlll IU!llllll.I
Guides to Interpretation
• Freedom of Information Handbook (17th ed.)
• Watkins, Peltz-Steele & Steinbuch, Arkansas Freedom of Information Act (Gth ed., 2017)
• AG's website [www.arkansasag.gov]
r•\ '\llOH~l)\dNIJ\l \~) llslll IWllllHd
6/8/2017
27
501.682.2007 [email protected]
11 AGLeslieRutledge
!I AGRutledge
@AGLeslieRutledge
® ArkansasAG
D AGRutledge
D Attorney General Leslie Rutledge
6/8/2017
28