OPINION BY Judge BROBSON.
Petitioner Pennsylvania Department of Corrections (DOC) petitions for review of an order of Respondent Pennsylvania Office of Open Records (Open Records), which granted in part and denied in part an appeal filed by Alfonso Rizzuto (Requester) for certain information from DOC under the Pennsylvania Right-to-Know Law (RTKL).
On January 27, 2010, Requester submitted a handwritten request for information to DOC under the RTKL. Of the twelve (12) items of information set forth in his letter, only one is at issue in this appeal— namely, Requester's request for the following:
(R.R. 10a. (citations omitted) (emphasis in original).)
Requester filed a timely appeal of the denial with Open Records. His handwritten appeal included five numbered paragraphs. Paragraphs one through four set forth what amounts to procedural history. The fifth paragraph provides: "The above Pa. right to know requests are public." (R.R. 14a.)
In response to the appeal, Open Records apparently sent a written request to DOC for information substantiating the legal and factual basis for denying the request.
Open Records issued a final determination on Requester's appeal on April 26, 2010. The final determination did not address DOC's claim that Requester failed to file with Open Records a valid appeal of DOC's denial. In addressing the merits of DOC's denial, Open Records acknowledged that Section 703 of the RTKL directs that a requester "should identify or describe the records sought with sufficient specificity to enable the agency to discern which records are being requested." Open Records, however, rejected DOC's arguments that (a) the request was deficient under Section 703 because Requester failed to identify in his request the name of the nurse who treated him and (b) DOC could not identify the nurse without reviewing Requester's medical records. Open Records reasoned:
(R.R. 30a.) Despite rejecting DOC's claim that the request lacked the requisite level of specificity, Open Records noted that it was not making a finding on whether the record sought—"medical license of sick call nurse on 1/11/2010 claiming to be a doctor as my sick call"—actually exists. Thus, Open Records held that DOC was only required to produce the requested information "[t]o the extent that responsive records exist." (Id. 31 a.)
DOC filed a timely appeal with this Court,
In compliance with Section 1303(a) of the RTKL, 65 P.S. § 67.1303(a), DOC served its Petition for Review in this appeal on Open Records and Requester. Requester, however, did not seek to intervene or otherwise participate in this appeal. Open Records has filed a brief as amicus curiae, addressing only the issue of whether it properly considered Requester's appeal of DOC's denial. We interpret Open Records' decision to file a brief amicus curiae as a reaction to our decision in East Stroudsburg University Foundation v. Office of Open Records, 995 A.2d 496 (Pa. Cmwlth.2010) (en banc), which we filed four days after DOC filed its Petition for Review. In East Stroudsburg, we held that Open Records does not have standing to defend its decisions on appeal, because it is not aggrieved by the release of another
Based on the foregoing, we are satisfied that Open Records does not assert party status in this appeal. DOC has not objected to Open Records' participation in this appeal as amicus curiae. Accordingly, the Court need not address DOC's claim that Open Records lacks standing to participate as a party respondent in this proceeding.
DOC argues that Open Records should have rejected Requester's appeal because the written appeal failed to comply with Section 1101(a) in that it (1) failed to state the grounds upon which Requester claimed that the "medical license" of the nurse in question was a "public record", and (2) failed to address DOC's reason for denying the request (i.e., alleged lack of specificity). DOC argues that Section 1101(a) places an affirmative duty on requesters to lodge a minimally sufficient appeal and that satisfaction of this duty is a condition precedent for Open Records to consider a requester's challenge to an agency's denial.
In support of its argument, DOC refers the Court to Section 3.5 of the predecessor to the RTKL,
DOC urges us to apply Martella in this case. Applying Martella and Section 1101(a), DOC claims that Requester's appeal to Open Records was clearly deficient. As to why the records sought were "public records," the written appeal provided only that the "above PA right to know requests are public." The written appeal did not address DOC's claim that the original request lacked the level of specificity required under Section 703 of the RTKL. Accordingly, the appeal was legally deficient and, as a consequence, Open Records should have denied it.
In its amicus curiae brief, Open Records maintains that DOC is wrong for the following reasons: (1) a requester's conclusory statement that requested information is public under the RTKL satisfies Section 1101(a) where the appeal, on its face, indicates that a requester is appealing an agency's denial under the RTKL; (2) Open Records has the discretion to decide whether an appeal is sufficient under the
Our resolution of this issue must be governed by the clear and unambiguous language chosen by the General Assembly in Section 1101(a) of the RTKL—language, incidentally, that the General Assembly also used in the prior version of the RTKL. In Martella, the Court explained that exceptions (which were the method by which a requester under the old RTKL sought to challenge an agency records officer's decision in an appeal to the agency head) served the purpose of providing a method to "point out mistakes of fact or law" to a judicial body reviewing a decision "so that the trial judge has an opportunity to correct [the mistakes] before an appeal is lodged." Id. at 637. The Court noted that "[p]roperly presented exceptions will allow the agency to correct its errors thereby obviating the need for an appeal." Id. The Court further observed that, under the General Rules of Administrative Practice and Procedure, 1 Pa.Code §§ 35.211-35.214 (which were applicable under the former RTKL in executive agency RTKL cases), "the effect of a failure to file timely exceptions will be deemed a waiver to objections to a proposed report of the hearing officer." Id. n. 13.
Open Records is correct that the General Assembly's adoption of the present RTKL resulted in a broad change to the previous RTKL—changes that were meant to make it easier for the public to access public records. The new law, however, retained the process for a reviewing body to correct errors of agency records officers responding to RTKL requests. In Martella, we concluded that under the previous RTKL the forum for error correction existed within an agency as a means to avoid appeals to a judicial tribunal. The present RTKL similarly vests in Open Records the power to correct the errors of an agency. Therefore, because Open Records serves such a function, it is appropriate and, indeed, statutorily required that a requester specify in its appeal to Open Records the particular defects in an agency's stated reasons for denying a RTKL request.
Open Records argues that such an interpretation would improperly shift the burden of proving a record is a "public record" accessible under the RTKL to a requester. By concluding that this requirement is mandatory we are not requiring a requester to prove anything; the provision merely places a burden on a requester to identify flaws in an agency's decision denying a request. Consequently, we agree with DOC that when a party seeks to challenge an agency's refusal to release information by appealing to Open Records, that party must "address any grounds stated by the agency for ... denying the request." This is a typical requirement in any process that aims to provide a forum for error correction. We do not see it as a particularly onerous requirement, whether the requester has the benefit of legal counsel or is pro se.
Here, Requester's written appeal to Open Records was clearly deficient. We agree with Open Records that it does have a certain amount of discretion on how to address and remedy a deficient appeal. In this case, however, Open Records simply ignored the deficiency and even failed to address DOC's demurrer in its final determination. Open Records, therefore, should not have proceeded, as it did, to decide Requester's appeal in its deficient form. We, therefore, are compelled to reverse Open Records' final determination in this case.
AND NOW, this 6th day of April, 2011, the order of the Office of Open Records is REVERSED.