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.

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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.

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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.

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Records and Meetings Refresher

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Step 1: Is the entity covered?

• All government entities

• Some private entities

- Public funding+ intertwining

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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

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How many make a meeting?

• no quorum required

• any particular number? '

• no polling or secret telephone conferences

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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)

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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

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• (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

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What if the meeting is covered? (Part 2)

• Attendance not participation at meetings

• Public must be able to see how each

individual member voted.

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The Freedom of Information Act

Step 3: Meetings Exemptions.

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Kinds of Exceptions

Procedure for using an exception

• licensing exams

• water security

• personnel matters

•notice

• announcement

• limited attendance

Step 3: Meetings Exemptions.

Personnel Matters

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- only for purpose of considering hiring, firing, appointing, promoting, demoting, disciplining, or resigning of public officer or employee

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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

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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

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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 .

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The Freedom of Information Act

Step 2: Is the record covered?

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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

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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

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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

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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

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Is the record covered?

General rule:

All "public records" must be disclosed unless exempt

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The Freedom of Information Act

Records Exemptions.

Kinds of Exemptions

Statutory

Constitutional

Contained in FOIA

Referenced in another statute

State Statute

Federal Statute

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Personnel records

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Employee evaluation records

Some records exceptions Personnel records

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• Definition: Virtually all records pertaining to the individual employee aren't evaluation records

• Stance: "It must be disclosed, unless .... "

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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"

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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.

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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

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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

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• 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)

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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

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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).

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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.

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Mixed Records

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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.

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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.

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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

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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

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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."

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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"

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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

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Evaluating the Request

• Step 3: Evaluate the record

• Public record?

• Exemptions?

• Redactions? (wield the Sharpie)

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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

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Enforcement

Class "C" misdemeanor

Civil Suits /A\ 1\ll1llNl)lol'<lh'l

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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]

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501.682.2007 oag@ArkansasAG.gov

11 AGLeslieRutledge

!I AGRutledge

@AGLeslieRutledge

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D AGRutledge

D Attorney General Leslie Rutledge

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