Right-to-Know
Law
Public
Information Policy
Requests
for Public Records
Response
to Written Request
Appealing
the Denial of a Written Request
Inspection
and Duplication of Public Records
Requests
at Public Meetings
Requests
from the Media
Requests
from Litigants
Tours
Use
of Cameras and Recording Devices
Access
to Public Records Notice
Definitions
Policies
and Procedures
Response
to Written Request
Appealing
the Denial of a Written Request
LCSWMA
Open Records Officer
Inspection
and Duplication of Public Records
Fees
Office
of Open Records Information
Right-to-Know
Request Form
Schedule
A Section 708 Exceptions
Schedule
B Chapter 11 Appeal of Agency Determination Section 1101. Filing of appeal.
and Section 1102. Appeals officers.
Requests
Received
Lancaster
County Solid Waste Management Authority Public Information Policy
Pursuant
to the Pennsylvania Right-to-Know Law, the Lancaster County Solid Waste
Management Authority (LCSWMA) has adopted the following policies governing
citizen access to LCSWMA public records:
General:
LCSWMA
shall respond in a timely and lawful manner to all requests from the media
and the public for information relating to the activities of LCSWMA.
The
Communications Manager is designated as LCSWMA's contact person for information
and is the Open Records Officer. It is the responsibility of the Communications
Manager/Open Records Officer to respond to all media and community inquiries.
With
the exception of the Executive Director, LCSWMA's staff will refrain from
acting as spokespersons for LCSWMA unless deemed appropriate by the Executive
Director. The Executive Director may assume the role of official spokesperson
at any time.
Requests
for Public Records:
LCSWMA
shall make all public records of LCSWMA available for inspection and duplication
by legal residents of the United States in compliance with the following
procedures:
1.
Definitions.
(a)
A record is information, regardless of physical form or a characteristic,
that documents a transaction or activity of LCSWMA and that is
created, received or retained pursuant to law or in connection
with a transaction, business or activity of LCSWMA. The term includes
a document, paper, letter, map, book, tape, photograph, film or sound
recording, information stored or maintained electronically and a data-processed
or image-processed document.
(b)
A financial record is any of the following:
(1)
Any account, voucher or contract dealing with:
(i)
the receipt or disbursement of funds by LCSWMA; or
(ii)
LCSWMA'S acquisition, use or disposal of services, supplies, materials,
equipment or property.
(2)
The salary or other payments or expenses paid to an officer or employee
of LCSWMA, including the name and title of the officer or employee.
(3)
A financial audit report. The term does not include work papers underlying
an audit.
(c)
A public record is a record, including a financial record, of LCSWMA
that:
(1)
is not exempt under Section 708 of the Right-to-Know Law as described
in the attached “Access to Public Records Notice;”
(2)
is not exempt from being disclosed under any other Federal or State
law or regulation or judicial order or decree; or
(3)
is not protected by a privilege.
2.
Written Request. All requests for inspection or reproduction of public
records in the possession of LCSWMA shall be made in writing and submitted
in person, by mail, by facsimile, or any other electronic means to the
attention of LCSWMA's Open Records Officer:
Jennifer
Rose , Communications Manager/Open Records Officer
Lancaster
County Solid Waste Management Authority
1299
Harrisburg Pike
P.O.
Box 4425
Lancaster,
PA 17604
jrose@lcswma.org
Tel:
(717) 397-9968 / Fax: (717) 397-9973
The
written request shall describe the public record with sufficient specificity
to enable LCSWMA's staff to locate the record with a reasonable amount
of effort and shall indicate whether an inspection or reproduction is
desired. The request shall also identify the form in which the records
are being requested and the name and address of the person to whom a
response should be addressed. A LCSWMA
Request for Information form or the form provided by the Office
of Open Records is available for written requests and one or both
shall be included. LCSWMA shall not accept verbal or anonymous requests,
but all written requests will be forwarded to the Open Records Officer.
LCSWMA will not release records which are excepted from release under
Section 708 of the Right-to-Know Law unless the Executive Director,
in consultation with the Open Records Officer, decides to release them
in accordance with Section 506 of the Right-to-Know Law. LCSWMA will
deny access to a requester if the requester has made repeated requests
for that same record and the repeated requests have place an unreasonable
burden on LCSWMA, or if the requests are otherwise disruptive (as defined
by Section 506 of the Right-to-Know Law), or if timely access is not
possible due to fire, flood or other disaster, or if the documents are
historical, ancient or rare documents, records, archives and manuscripts
when access may, in the professional judgment of the custodian of records,
cause physical damage or irreparable harm to the record, or for any
other reason allowed under Section 506 of the Right-to-Know Law.
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Response
to Written Request:
The
Open Records Officer or a designee shall respond to the request within
five (5) days, according to the following guidelines:
(a)
Upon receiving a request for a public record, the Open Records Officer
shall note the date of receipt on the letter, compute and note on the
request the day when the response is due, and maintain a written and/or
electronic copy of the request until it is filled and/or the denial/appeals
process is final.
(b)
Unless the Open Records Officer determines that the record is not a
public record, access shall be provided as required by law.
(c)
If the Open Records Officer or a designee does not send a response to
the request within five (5) business days, the request shall be deemed
denied.
(d)
If the Open Records Officer or a designee determines that more than
five (5) days is required to evaluate and respond to the request (in
accordance with Section 902 of the Right-to-Know Law), then a request
shall be sent to the requestor, indicating that the request is being
reviewed, the reason for the review and a date when a response will
be provided; any response time exceeding thirty (30) days from the date
of LCSWMA's response shall seek approval of the extension by the requester.
(e)
If the Open Records Officer or a designee determines that the request
should be denied, then a response shall be sent describing the record
requested and explaining the specific reasons for the denial including
the specific legal authority relied upon, the name, title, address,
telephone number and signature of the Open Records Officer, the date
of the denial and the procedure for appealing the denial.
(f)
Any document produced which is not a public record or which involves
trade secrets will be produced and any third party that provided the
record to LCSWMA, the person that is the subject of the records, and
requester, notified in accordance with Section 707 of the Right-to-Know
Law as described in the attached “Access to
Public Records Notice.”
(g)
Any and all records which contain information subject to access and
information not subject to access shall only be released with the information
subject to access and/or shall be redacted in accordance with law.
Appealing
the Denial of a Written Request:
If
a request for inspection and duplication of LCSWMA public records is denied
or deemed denied, the requestor may file a written exception within fifteen
(15) business days. The requestor may appeal to the Office of Open Records
in accordance with Section 1101 of the Right-to-Know Law by filing an
appeal with the designated appeals officer within fifteen (15) business
days of the mailing date or within fifteen (15) business days of the deemed
denial. A copy of Sections 1101-1102 as included in the attached “Access
to Public Records Notice” shall be provided by LCSWMA with each written
denial.
Inspection
and Duplication of Public Records:
If
a request for inspection and duplication of LCSWMA public records is granted
pursuant to this policy, the Open Records Officer or a designee will inform
the requestor of a time during LCSWMA's normal business hours for the
inspection of the public records (LCSWMA's normal business hours are 8:00
A.M. to 4:30 P.M., Monday through Friday, excluding holidays).
If
duplicates of the public records are requested, the duplicates shall be
provided upon payment of the following fees, if applicable:
| COPIES:
(a “photocopy” is either a single-sided copy or one side of a double-sided
black-and-white copy of a standard 8.5” x 11” page) |
A maximum of $0.25 per page |
| |
|
| SPECIALIZED
DOCUMENTS: For example, but not limited to, blue prints color
copies, non-standard sized documents |
Actual
Cost |
| |
|
| FACSIMILE/MICROFICHE/OTHER
MEDIA:
|
Actual
Cost |
| |
|
| CONVERSION
TO PAPER: |
If
a record is only maintained electronically or in other non-paper
media, duplication fees shall be limited to the lesser of the fee
for duplication on paper or the fee for duplication in the original
media unless the requester specifically requests for the record
to be duplicated in the more expensive medium. |
| |
|
| POSTAGE
FEES: |
Actual
Cost |
| |
|
| REDACTION
FEE: |
No
Redaction Fee may or will be imposed |
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No
fees shall be assessed for staff time and resources required to evaluate
written requests for access to LCSWMA public records or for redaction.
Consistent with the Right-to-Know Law, the Open Records Officer or a designee
shall maintain the above list of applicable fees for costs associated
with the duplication of LCSWMA public records, consistent with prevailing
rates set by the Office of Open Records.
No
LCSWMA public record shall be removed from the supervision or control
of LCSWMA's custodian of public records.
LCSWMA
shall post this policy, along with the name and address of the person
to whom requests for access to public records should be addressed (the
Open Records Officer) and a list of applicable fees, the forms to be used
and contact information for the Office of Open Records and LCSWMA's designated
Appeals Officer, in a conspicuous location at LCSWMA's administrative
office and online. Costs must be paid at the time of receipt of reproduced
public records.
The
Open Records Officer or a designee shall develop any other procedures
necessary to implement this policy.
Written
documents and/or complex and extensive data sets, which are public records
(such as the Lancaster County Municipal Waste Management Plan), or other
lengthy documents such as studies or operational reports shall be made
available to the public by means of the following:
-
The public will be told where to obtain the information if it is available
at a municipal office, regulatory office, or the library system.
- The
public will be invited to review LCSWMA's copy of the document at the
LCSWMA office during LCSWMA's normal business hours.
- The
public will be invited to purchase the document if there is an established
cost for a bound copy (i.e. $25.00 is the cost of a Lancaster County
Municipal Waste Management Plan).
- The
public will be invited to pay the cost of reproducing a document in
accordance with the above fees if they do not wish to obtain the document
via channels which are cost-free.
LCSWMA
shall make its newsletters, pamphlets, brochures, resource guides, annual
reports, fact sheets, and other general educational materials available
to the public at no charge. LCSWMA will provide these same documents in
alternate format when requested, so as to make these documents accessible
to people with special needs.
Any
records provided pursuant to the Right-to-Know Law which are not picked
up within sixty (60) days of LCSWMA's making them available and notifying
the requester shall be discarded and any fees paid to that point retained.
Requests
at Public Meetings:
The
forum for addressing LCSWMA's Board of Directors shall be during the public
comment period of LCSWMA's regular monthly meeting. The regular monthly
meeting is normally held at 7:30 a.m. on the third Friday of each month
(or at such other times as may be established by LCSWMA) at LCSWMA's Office
located at 1299 Harrisburg Pike, Lancaster, PA 17603.
LCSWMA
will, in a timely manner, publicize the time, date, and location of all
public hearings or meetings required for any reason under the laws of
the State.
Requests
for information, which occur during a LCSWMA public meeting (or in any
other public format), will be handled in the following manner:
-
A LSCWMA Request for Information form or form from the Office of Open
Records will be given to the individual requesting the information.
The individual will be asked to complete the form including his or her
name, address and phone number and a list of the information requested.
The Open Records Officer will then respond in writing in accordance
with this policy, or will inform the individual as to the appropriate
resource for obtaining the information.
Requests
from the Media:
All
inquiries from the media, regardless of the topic, shall first be directed
to the Communications Manager/Open Records Officer. In the event the Communications
Manager/Open Records Officer is unavailable or unable to respond to the
media within a reasonable time frame, LCSWMA's Executive Director or his
designate shall respond to inquiries.
All
written materials provided to the media shall be reviewed by the Communications
Manager/Open Records Officer, the Executive Director and/or the appropriate
staff; any response under the Right-to-Know Law shall comply with the
mandates of the Right-to-Know Law.
Requests
from Litigants:
Requests
for information, tours, materials, or other resources from individuals
in litigation with LCSWMA shall be referred through the established legal
channels unless counsel to LCSWMA deems otherwise, or LCSWMA finds it
in its best interests to provide the information directly.
Tours:
Tours
of LCSWMA facilities are available to the public and businesses at designated
times throughout the year. Tours must be scheduled by appointment. A minimum
two-week lead time is required. All safety regulations must be
followed by participants and will be enforced by the tour leader. Tours
and special events offered to the public will be made accessible to people
with special needs. People with special needs are asked to contact LCSWMA
prior to the tour to request specific accommodations.
Use
of Cameras and Recording Devices:
Photographing,
tape recording, or videotaping LCSWMA's facilities, properties, employees,
or other circumstances will be considered only upon request.
Operational procedures, safety regulations, personnel policies, or equipment
designated as proprietary in design may preclude LCSWMA's ability to grant
photographic or videotape access at a particular facility or to a particular
area.
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Access
to Public Records Notice
Pursuant
to the Pennsylvania Right-to-Know Law, LCSWMA has adopted the following
policies governing citizen access to LCSWMA public records:
Definitions:
(a)
A record is information, regardless of physical form or characteristic,
that documents a transaction or activity of an agency and that is created,
received or retained pursuant to law or in connection with a transaction,
business or activity of LCSWMA. The term includes a document, paper,
letter, map, book, tape, photograph, film or sound recording, information
stored or maintained electronically and a data-processed or image-processed
document.
(b)
A financial record is any of the following:
(1)
Any account, voucher or contract dealing with:
(i)
the receipt or disbursement of funds by LCSWMA; or
(ii)
LCSWMA acquisition, use or disposal of services, supplies, materials,
equipment or property.
(2)
The
salary or other payments or expenses paid to an officer or employee
of LCSWMA, including the name and title of the officer or employee.
(3)
A
financial audit report. The term does not include work papers underlying
an audit.
(c)
A public record is a record, including a financial record, of LCSWMA
that:
(1)
is not exempt under section 708 of the Right-to-Know Law attached
as Schedule A;
(2)
is not exempt from being disclosed under any other Federal or State
law or regulation or judicial order or decree; or
(3)
is not protected by a privilege.
Policies
and Procedures:
A.
LCSWMA shall maintain the confidentiality of any record which is excepted
from disclosure under Section 708 of the Right-to-Know Law attached as
Schedule A.
B.
No LCSWMA public record shall be removed from the supervision or control
of LCSWMA's custodian of public records.
C.
LCSWMA shall make all public records of LCSWMA available for inspection
and duplication by legal residents of the United States in compliance
with the following procedures:
Written
Request: All requests for inspection or reproduction of public records
in the possession of LCSWMA shall be made in writing and submitted in
person, by mail, by facsimile, or any other electronic means to LCSWMA's
attention:
Jennifer
Rose, Communications Manager/Open Records Officer
Lancaster
County Solid Waste Management Authority
1299
Harrisburg Pike
P.O.
Box 4425
Lancaster,
PA 17604
Tel:
(717) 397-9968 / Fax: (717) 397-9973 / E-Mail jrose@lcswma.org
The
request must identify the records sought and the form in which the records
are being requested. The request must also include the name and address
of the person to whom a response should be addressed. A LCSWMA Request
for Information form is available for written requests; the form provided
by the Office of Open Records may also be used. Verbal or anonymous
requests will not be filled, but all written requests will be forwarded
to the Open Records Officer.
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Response
to Written Request:
The
Open Records Officer or a designee shall respond to the request within
five (5) days, according to the following guidelines:
(a)
Upon receiving a request for a public record, the Open Records Officer
shall note the date of receipt on the letter, compute and note on the
request the day when the response is due, and maintain a written and/or
electronic copy of the request until it is filled and/or the denial/appeals
process is final.
(b)
Unless the Open Records Officer determines that the record is not a
public record, access shall be provided as required by law.
(c)
If the Open Records Officer or a designee does not send a response to
the request within five (5) business days, the request shall be deemed
denied;
(d)
If the Open Records Officer or a designee determines that more than
five (5) days is required to evaluate and respond to the request (in
accordance with Section 902 of the Right-to-Know Law), then a request
shall be sent to the requestor, indicating that the request is being
reviewed, the reason for the review and a date when a response will
be provided; any response time exceeding thirty (30) days from the date
of LCSWMA's response shall seek the approval of the extension by the
requester.
(e)
If the Open Records Officer or a designee determines that the request
should be denied, then a response shall be sent describing the record
requested and explaining the specific reasons for the denial including
the specific legal authority relied upon, the name, title, address,
telephone number and signature of the Open Records Officer, the date
of the denial and the procedure for appealing the denial.
(f)
Any document produced which is not a public record or which involves
trade secrets will be produced and any third party that provided the
record to LCSWMA, the person that is the subject of the record, and
the requester, notified in accordance with Section 707 of the Right-to-Know
Law.
(g)
Any and all records which contain information subject to access and
information not subject to access shall only be released with the information
subject to access and/or shall be redacted in accordance with law.
Appealing
the Denial of a Written Request:
If
a request for inspection and duplication of LCSWMA public records is denied
or deemed denied, the requestor may file a written exception within fifteen
(15) business days. The requestor may appeal to the Office of Open Records
in accordance with Section 1101 of the Right-to-Know Law by filing an
appeal with the designated appeals officer within fifteen (15) business
days of the mailing date or within fifteen (15) business days of the deemed
denial. A copy of Sections 1101-1102 as attached as Schedule
B shall be provided by LCSWMA with each written denial.
Inspection
and Duplication of Public Records:
If
a request for inspection and duplication of LCSWMA public records is granted
pursuant to this policy, the Open Records Officer or a designee will inform
the requestor of a time during LCSWMA's normal business hours for the
inspection of the public records (LCSWMA's normal business hours are 8:00
A.M. to 4:30 P.M., Monday through Friday, excluding holidays). If duplicates
of the public records are requested, the duplicates shall be provided
upon payment of the following fees, if applicable:
| COPIES:
a “photocopy” is either a single-sided copy or one side of a double-sided
black-and-white copy of a standard 8.5” x 11” page |
A
maximum of $0.25 per page |
| |
|
| SPECIALIZED
DOCUMENTS: For example, but not limited to blue prints color
copies, non-standard sized
documents |
Actual
Cost |
| |
|
| FACSIMILE/MICROFICHE/OTHER
MEDIA |
Actual
Cost |
| |
|
| CONVERSION
TO PAPER |
If
a record is only maintained electronically or in other non-paper media,
duplication fees shall be limited to the lesser of the fee for duplication
on paper or the fee for duplication in the original media unless the
requester specifically requests for the record to be duplicated in
the more expensive medium. |
| |
|
| POSTAGE
FEES |
Actual
Cost |
| |
|
| No
Redaction Fee may or will be imposed |
|
No
fees shall be assessed for staff time and resources required to evaluate
written requests for access to LCSWMA public records or for redaction.
Consistent with the Right-to-Know Law, the Open Records Officer or a designee
shall maintain the above list of applicable fees for costs associated
with the duplication of LCSWMA public records, consistent with prevailing
rates set by the Office of Open Records.
Office
of Open Records Information
The
Office of Open Records may be reached at the following:
Commonwealth
of Pennsylvania
Office
of Open Records
Commonwealth
Keystone Building
400
North Street, Plaza Level
Harrisburg,
PA 17120-0225
(717)
346-9903 / E-Mail: openrecords@state.pa.us
http://openrecords.state.pa.us
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Schedule
A
Section
708 Exceptions
(b) Exceptions.--Except
as provided in subsections (c) and (d), the following are exempt from
access by a requester under this act:
(1)
A record the disclosure of which:
(i)
would result in the loss of Federal or State funds by an agency or
the Commonwealth; or
(ii)would
be reasonably likely to result in a substantial and demonstrable risk
of physical harm to OR THE PERSONAL SECURITY OF an individual.
(2)
A record maintained by an agency in connection with the military, homeland
security, national defense, law enforcement or other public safety activity
that if disclosed would be reasonably likely to jeopardize or threaten
public safety or preparedness or public protection activity or a record
that is designated classified by an appropriate Federal or State military
authority.
(3)
A record, the disclosure of which creates a reasonable likelihood of
endangering the safety or the physical security of a building, public
utility, resource, infrastructure, facility or information storage system,
which may include:
(i)
documents or data relating to computer hardware, source files, software
and system networks that could jeopardize computer security by exposing
a vulnerability in preventing, protecting against, mitigating or responding
to a terrorist act;
(ii)
lists of infrastructure, resources and significant special events,
including those defined by the Federal Government in the National
Infrastructure Protections, which are deemed critical due to their
nature and which result from risk analysis; threat assessments; consequences
assessments; antiterrorism protective measures and plans; counterterrorism
measures and plans; and security and response needs assessments; and
(iii)
building plans or infrastructure records that expose or create vulnerability
through disclosure of the location, configuration or security of critical
systems, including public utility systems, structural elements, technology,
communication, electrical, fire suppression, ventilation, water, wastewater,
sewage and gas systems.
(4)
A record regarding computer hardware, software and networks, including
administrative or technical records which, if disclosed, would be reasonably
likely to jeopardize computer security.
(5)
A record of an individual's medical, psychiatric or psychological history
or disability status, including an evaluation, consultation, prescription,
diagnosis or treatment; results of tests, including drug tests; enrollment
in a health care program or program designed for participation by persons
with disabilities, including vocation rehabilitation, workers' compensation
and unemployment compensation; or related information that would disclose
individually identifiable health information.
(6)
(i) The following personal identification information:
(A)
A record containing all or part of a person's Social Security number;
driver's license number; personal financial information; home, cellular
or personal telephone numbers; personal e-mail addresses; employee
number or other confidential personal identification number.
(B)
A spouse's name; marital status, beneficiary or dependent information.
(C)
The home address of a law enforcement officer or judge.
(ii)
Nothing in this paragraph shall preclude the release of the name,
position, salary, actual compensation or other payments or expenses,
employment, contract, employment-related contract or agreement and
length of service of a public official or an agency employee.
(iii)
An agency may redact the name or other identifying information relating
to an individual performing an undercover or covert law enforcement
activity from a record.
(7)
The following records relating to an agency employee:
(i)
A letter of reference or recommendation pertaining to the character
or qualifications of an identifiable individual, unless it was prepared
in relation to the appointment of an individual to fill a vacancy
in an elected office or an appointed office requiring Senate confirmation.
(ii)
A performance rating or review.
(iii)
The result of a civil service or similar test administered by a Commonwealth
agency, legislative agency or judicial agency. The result of a civil
service or similar test administered by a local agency shall not be
disclosed if restricted by a collective bargaining agreement. Only
test scores of individuals who obtained a passing score on a test
administered by a local agency may be disclosed.
(iv)
The employment application of an individual who is not hired by the
agency.
(v)
Workplace support services program information.
(vi)
Written criticisms of an employee.
(vii)
Grievance material, including documents related to discrimination
or sexual harassment.
(viii)
Information regarding discipline, demotion or discharge contained
in a personnel file. This subparagraph shall not apply to the final
action of an agency that results in demotion or discharge.
(ix)
An academic transcript.
(8)
(i) A record pertaining to strategy or negotiation
relating to labor relations or collective bargaining and related arbitration
proceedings. This subparagraph shall not apply to a final or executed
contract or agreement between the parties in a collective bargaining
procedure.
(ii)
In the case of the arbitration of a dispute or grievance under a collective
bargaining agreement, an exhibit entered into evidence at an arbitration
proceeding, a transcript of the arbitration or the opinion. This subparagraph
shall not apply to the final award or order of the arbitrator in a
dispute or grievance procedure.
(9)
The draft of a bill, resolution, regulation, statement of policy, management
directive, ordinance or amendment thereto prepared by or for an agency.
(10)
(i) A record that reflects:
(A)
The internal, predecisional deliberations of an agency, its members,
employees or officials or predecisional deliberations between agency
members, employees or officials and members, employees or officials
of another agency, including predecisional deliberations relating
to a budget recommendation, legislative proposal, legislative amendment,
contemplated or proposed policy or course of action or any research,
memos or other documents used in the predecisional deliberations.
(B)
The strategy to be used to develop or achieve the successful adoption
of a budget, legislative proposal or regulation.
(ii)
Subparagraph (i)(A) shall apply to agencies subject to 65 Pa.C.S.
Ch. 7 (relating to open meetings in a manner consistent with 65 Pa.C.S.
Ch. 7. A record WHICH IS NOT OTHERWISE EXEMPT FROM ACCESS UNDER THIS
ACT AND WHICH IS presented to a quorum for deliberation in accordance
with 65 Pa.C.S. Ch. 7 shall be a public record.
(iii)
This paragraph shall not apply to a written or Internet application
or other document that has been submitted to request Commonwealth
funds.
(iv)
This paragraph shall not apply to the results of public opinion surveys,
polls, focus groups, marketing research or similar effort designed
to measure public opinion.
(11)
A record that constitutes or reveals a trade secret or confidential
proprietary information.
(12)
Notes and working papers prepared by or for a public official or agency
employee used solely for that official's or employee's own personal
use, including telephone message slips, routing slips and other materials
that do not have an official purpose.
(13)
Records that would disclose the identity of an individual who lawfully
makes a donation to an agency unless the donation is intended for or
restricted to providing remuneration or personal tangible benefit to
a named public official or employee of the agency, including lists of
potential donors compiled by an agency to pursue donations, donor profile
information or personal identifying information relating to a donor.
(14)
Unpublished lecture notes, unpublished manuscripts, unpublished articles,
creative works in progress, research-related material and scholarly
correspondence of a community college or an institution of the State
System of Higher Education or a faculty member, staff employee, guest
speaker or student thereof.
(15)
(I) ACADEMIC TRANSCRIPTS
(II)
EXAMINATIONS, EXAMINATION QUESTIONS, SCORING KEYS OR ANSWERS
TO EXAMINATIONS. THIS SUBPARAGRAPH SHALL INCLUDE LICENSING AND OTHER
EXAMINATIONS RELATING TO THE QUALIFICATIONS OF AN INDIVIDUAL AND TO
EXAMINATIONS GIVEN IN PRIMARY AND SECONDARY SCHOOLS AND INSTITUTIONS
OF HIGHER EDUCATION.
(16)
A record of an agency relating to or resulting in a criminal investigation,
including:
(i)
Complaints of potential criminal conduct other than a private criminal
complaint.
(ii)
Investigative materials, notes, correspondence, videos and reports.
(iii)
A record that includes the identity of a confidential source or the
identity of a suspect who has not been charged with an offense to
whom confidentiality has been promised.
(iv)
A record that includes information made confidential by law or
(v)
Victim information, including any information that would jeopardize
the safety of the victim.
(vi)
A record that, if disclosed, would do any of the following:
(A)
Reveal the institution, progress or result of a criminal investigation,
except the filing of criminal charges.
(B)
Deprive a person of the right to a fair trial or an impartial adjudication.
(C)
Impair the ability to locate a defendant or codefendant.
(D)
Hinder an agency's ability to secure an arrest, prosecution or conviction.
(E)
Endanger the life or physical safety of an individual. This paragraph
shall not apply to information contained in a police blotter as
defined in 18 Pa.C.S. § 9102 (relating to definitions) and
utilized or maintained by the Pennsylvania State Police, local,
campus, transit or port authority police department or other law
enforcement agency or in a traffic report except as provided under
75 Pa.C.S. § 3754(b) (relating to accident prevention investigations).
(17)
A record of an agency relating to a noncriminal investigation, including:
(i)
Complaints submitted to an agency.
(ii)
Investigative materials, notes, correspondence and reports.
(iii)
A record that includes the identity of a confidential source, including
individuals subject to the act of December 12, 1986 ( P.L.1559 , No.169),
known as the Whistleblower Law.
(iv)
A record that includes information made confidential by law.
(v)
Work papers underlying an audit.
(vi)
A record that, if disclosed, would do any of the following:
(A)
Reveal the institution, progress or result of an agency investigation,
except the imposition of a fine or civil penalty, the suspension,
modification or revocation of a license, permit, registration, certification
or similar authorization issued by an agency or an executed settlement
agreement unless the agreement is determined to be confidential
by a court.
(B)
Deprive a person of the right to an impartial adjudication.
(C)
Constitute an unwarranted invasion of privacy.
(D)
Hinder an agency's ability to secure an administrative or civil
sanction.
(E)
Endanger the life or physical safety of an individual.
(18)
(i) Records or parts of records, except time response logs,
pertaining to audio recordings, telephone or radio transmissions received
by emergency dispatch personnel, including 911 recordings.
(ii)
This paragraph shall not apply to a 911 recording, or a transcript
of a 911 recording, if the agency or a court determines that the public
interest in disclosure outweighs the interest in nondisclosure.
(19)
DNA and RNA records.
(20)
An autopsy record of a coroner or medical examiner and any audiotape
of a postmortem examination or autopsy, or a copy, reproduction or facsimile
of an autopsy report, a photograph, negative or print, including a photograph
or videotape of the body or any portion of the body of a deceased person
at the scene of death or in the course of a postmortem examination or
autopsy taken or made by or caused to be taken or made by the coroner
or medical examiner. This exception shall not limit the reporting of
the name of the deceased individual and the cause and manner of death.
(21)
(i) Draft minutes of any meeting of an agency until the
next regularly scheduled meeting of the agency.
(ii)
Minutes of an executive session and any record of discussions held
in executive session.
(22)
(i) The contents of real estate appraisals, engineering
or feasibility estimates, environmental reviews, audits or evaluations
made for or by an agency relative to the following:
(A)
The leasing, acquiring or disposing of real property or an interest
in real property.
(B)
The purchase of public supplies or equipment included in the real
estate transaction.
(C)
Construction projects.
(ii)
This paragraph shall not apply once the decision is made to proceed
with the lease, acquisition or disposal of real property or an interest
in real property or the purchase of public supply or construction
project of an identifiable individual or groups of individuals.
(24)
Library archived and museum materials, or valuable or rare book collections
or documents contributed by gift, grant, bequest or devise, to the extent
of any limitations imposed by the donor as a condition of the contribution.
(25)
A record identifying the location of an archeological site or an endangered
or threatened plant or animal species if not already known to the general
public.
(26)
A proposal pertaining to agency procurement or disposal of supplies,
services or construction prior to the award of the contract or prior
to the opening and rejection of all bids; financial information of a
bidder or offeror requested in an invitation for bid or request for
proposals to demonstrate the bidder's or offeror's economic capability;
or the identity of members, notes and other records of agency proposal
evaluation committees established under 62 Pa.C.S. § 513 (relating
to competitive sealed proposals).
(27)
A record or information relating to a communication between an agency
and its insurance carrier, administrative service organization or risk
management office. This paragraph shall not apply to a contract with
an insurance carrier, administrative service organization or risk management
office or to financial records relating to the provision of insurance.
(28)
A record or information:
(i)
identifying an individual who applies for or receives social services;
or
(ii)
relating to the following:
(A)
the type of social services received by an individual;
(B)
an individual's application to receive social services, including
a record or information related to an agency decision to grant,
deny, reduce or restrict benefits, including a quasi-judicial decision
of the agency and the identity of a caregiver or others who provide
services to the individual; or
(C)
eligibility to receive social services, including the individual's
income, assets, physical or mental health, age, disability, family
circumstances or record of abuse.
(29)
Correspondence between a person and a member of the General Assembly
and records accompanying the correspondence which would identify a person
that requests assistance or constituent services. This paragraph shall
not apply to correspondence between a member of the General Assembly
and a principal or lobbyist under 65 Pa.C.S. Ch. 13A (relating to lobbyist
disclosure).
(30
A RECORD IDENTIFYING THE NAME, HOME ADDRESS OR DATE OF BIRTH OF A CHILD
17 YEARS OF AGE OR YOUNGER.
(c)
Financial records.--The exceptions set forth in subsection (b) shall not
apply to financial records, except for financial records THAT AN AGENCY
MAY REDACT THAT PORTION OF A FINANCIAL RECORD protected under subsection
(b)(1), (2), (3), (4) or (5) or personal financial information. An agency
shall redact that portion of a financial record which would disclose information
protected under subsection (b)(6). An agency shall (4), (5), (6), (16)
OR (17). AN AGENCY SHALL not disclose the identity of an individual performing
an undercover or covert law enforcement activity. or other nonfinancial
information protected under subsection (b)(16) or (17).
(d)
Aggregated data.--The exceptions set forth in subsection (b) shall not
apply to aggregated data maintained or received by an agency, except for
data protected under subsection (b)(1), (2), (3), (4) or (5).
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Schedule
B
CHAPTER
11
APPEAL
OF AGENCY DETERMINATION
Section
1101. Filing of appeal.
(a)
Authorization.—
(1)
If a written request for access to a record is denied or deemed denied,
the requester may file an appeal with the Office of Open Records or
judicial, legislative or other appeals officer designated under section
503(d) within 15 business days of the mailing date of the agency's response
or within 15 business days of a deemed denial. The appeal shall state
the grounds upon which the requester asserts that the record is a public
record, legislative record or financial record and shall address any
grounds stated by the agency for delaying or denying the request.
(2)
Except as provided in section 503(d), in the case of an appeal of a
decision by a Commonwealth agency or local agency, the Office of Open
Records shall assign an appeals officer to review the denial.
(b)
Determination.—
(1)
Unless the requester agrees otherwise, the appeals officer shall make
a final determination which shall be mailed to the requester and the
agency within 30 days of receipt of the appeal filed under subsection
(a).
(2)
If the appeals officer fails to issue a final determination within 30
days, the appeal is deemed denied.
(3)
Prior to issuing a final determination, a hearing may be conducted.
The determination by the appeals officer shall be a final order. The
appeals officer shall provide a written explanation of the reason for
the decision to the requester and the agency.
(c)
Direct interest.—
(1)
A person other than the agency or requester with a direct interest in
the record subject to an appeal under this section may, within 15 days
following receipt of actual knowledge of the appeal but no later than
the date the appeals officer issues an order, file a written request
to provide information or to appear before the appeals officer or to
file information in support of the requester's or agency's position.
(2)
The appeals officer may grant a request under paragraph (1) if
(i)
no hearing has been held;
(ii)
the appeals officer has not yet issued its order; and
(iii)
the appeals officer believes the information will be probative.
(3)
Copies of the written request shall be sent to the agency and the requester.
Section
1102. Appeals officers.
(a)
Duties.--An appeals officer designated under section 503 shall do all
of the following:
(1)
Set a schedule for the requester and the open-records officer to submit
documents in support of their positions.
(2)
Review all information filed relating to the request. The appeals officer
may hold a hearing. A decision to hold or not to hold a hearing is not
appealable. The appeals officer may admit into evidence testimony, evidence
and documents that the appeals officer believes to be reasonably probative
and relevant to an issue in dispute. The appeals officer may limit the
nature and extent of evidence found to be cumulative.
(3)
Consult with agency counsel as appropriate.
(4)
Issue a final determination on behalf of the Office of Open Records
or other agency.
(b)
Procedures.--The Office of Open Records, a judicial agency, a legislative
agency, the Attorney General, Auditor General, State Treasurer or district
attorney may adopt procedures relating to appeals under this chapter.
(1)
If an appeal is resolved without a hearing, 1 Pa. Code Pt. II (relating
to general rules of administrative practice and procedure) does not
apply except to the extent that the agency has adopted these chapters
in its regulations or rules under this subsection.
(2)
If a hearing is held, 1 Pa. Code Pt. II shall apply unless the agency
has adopted regulations, policies or procedures to the contrary under
this subsection.
(3)
In the absence of a regulation, policy or procedure governing appeals
under this chapter, the appeals officer shall rule on procedural matters
on the basis of justice, fairness and the expeditious resolution of
the dispute.
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