Lamson v. Montgomery Cnty.
Lamson v. Montgomery Cnty.
Opinion
Hotten, J.
The issue before us is a request for the release of notes containing possible personnel information, relating to the performance of Bernadette Fowler Lamson ("Petitioner") as an employee of the Montgomery County Attorney's office. Petitioner filed a Maryland Public Information Act ("MPIA") 1 request relative to her personnel file, seeking the disclosure of supervisory notes that were withheld by her employer, Montgomery County ("Respondent") and her supervisor, Silvia Kinch ("Ms. Kinch"). The disputed notes are divisible into two separate categories. The first consists of three pages of notes that were removed from Petitioner's personnel folder prior to its disclosure and the second set consists of notes that are contained in a personal journal in the exclusive possession and control of Ms. Kinch. With regard to both, Petitioner asserts that Respondent improperly withheld the notes when responding to her MPIA request. In response, Respondent contends that the notes are privileged, non-public information. Petitioner now seeks review of the grant of summary judgment in Respondent's favor, to determine whether the disputed notes were subject to disclosure under the MPIA. For the reasons discussed infra, we shall vacate the judgment of the Court of Special Appeals and remand with instructions.
FACTUAL AND PROCEDURAL BACKGROUND
Petitioner was an employee of the Office of the Montgomery County Attorney for over twenty years. During that time, she received "highly successful" reviews and top performance ratings. In 2015, Ms. Kinch downgraded Petitioner's performance rating from "highly successful" to "successful," which prevented her from receiving a 20-year, 2% performance bonus. Prompted by the negative rating, Petitioner requested access to her personnel file on September 1, 2015, which was provided after three pages of supervisory notes were redacted. On October 8, 2015, after receiving this response, Petitioner filed a MPIA request specifying 16 categories of public records, including the missing notes. Specifically, Petitioner requested the following categories of information:
1. Any and all supervisory notes or other materials written, authored or prepared by Silvia Kinch, John Markvos and Marc Hansen;
2. Supervisory notes removed from Ms. Lamson's supervisory file by Ms. Kinch on or about September l, 2015, including all notes removed by Ms. Kinch prior to providing Ms. Lamson a copy of her supervisory file;
3. Any and all investigatory files, inquiries, negative statements, or complaints in which Ms. Lamson is the subject and/or is discussed therein;
4. Ms. Lamson's proposed transfer from full time status to part time status;
5. Ms. Lamson's move from her 4th floor office to a 3rd floor office in the Executive Office Building ("EOB");
6. Ms. Lamson's transfer from the Office of the County Attorney ("OCA") Division of Human Resources to the Division of Finance and Procurement or any other OCA division;
7. Ms. Lamson's removal as counsel to the Montgomery County Fire and Rescue Service ("MCFRS");
8. Placement of Jodi Schultz or other OCA staff attorney assigned to MCFRS matters - except workers' compensation cases;
9. Ms. Lamson's proposed change in duty assignment from MCFRS to the Animal Matters Hearing Board;
10. Ms. Lamson's FY 2015 performance appraisal;
11. Copy of statement from William "Bill" Scott complaining about Ms. Lamson and all records discussing Mr. Scott's complaints about Ms. Lamson;
12. Any and all e-mails or documents discussing Ms. Lamson between and/or among Marc Hansen, John Markvos, Silvia Kinch, Karen Federman-Henry and Ed Lattner from February 1, 2015 to the present;
13. Any and all e-mails or documents between and/or among Marc Hansen, John Markvos, Silvia Kinch, Ed Lattner, and Assistant Chief Ed Radcliff related to Ms. Lamson's MCFRS representation and/or agency assignment, duties, and/or responsibilities;
14. Requests, discussions and/or inquiries to conduct electronic surveillance and/or tracking on Lamson or other OCA staff members;
15. Any and all data gathered as a result of conducting electronic surveillance and/or tracking of Lamson or other OCA staff members; and
16. Communications with any other agency concerning Bernadette Lamson or any person including, but not limited to, the Board of Investment Trustees, Montgomery County Department of Corrections and Rehabilitation, Montgomery County Revenue Authority, Montgomery County Fire and Rescue Service, Montgomery County Office of Human Resources, and retirement agency.
On January 27, 2016, Respondent provided several responses to the MPIA request. Regarding request number one, Respondent asserted that:
First, while an employee such as Ms. Lamson may review her own personnel file under [Gen. Prov.] § 4-311 [ 2 ] , supervisory notes are not a part of an employee's personnel file under the County's personnel regulations. MCPR § 4-8 [ 3 ] ("Supervisory notes are not considered official employee records and are not subject to review by the employee or others.").
Second, supervisory notes constitute "interagency or intra-agency letters or memoranda" under [Gen. Prov.] § 4-344 and are also shielded from disclosure by executive privilege and the Morgan doctrine. [ ] These notes contain the mental impressions and reveal the internal deliberations of the writer, Ms. Lamson's supervisor. Inquiry into the mental processes of an administrative decision maker would be contrary to the public interest and inimical to the integrity of the supervisory process.
Respondent concluded by stating that the supervisory notes constitute attorney work product. Regarding the second request, Respondent reiterated the rationale advanced in request one. Regarding the remaining requests, Respondent either provided the documentation or denied the existence of the document.
Thereafter, Petitioner filed a Complaint on February 24, 2016 in the Circuit Court for Montgomery County, alleging that Respondent violated the MPIA, and requested that the court order the disclosure of all relevant documents. In response, Respondent asserted that both sets of notes were not personnel records and were privileged or confidential by law, privileged attorney-client documents, attorney work product, or not subject to disclosure because of executive privilege. Thereafter, Respondent filed a Motion to Dismiss, or alternatively, a Motion for Summary Judgment. On May 10, 2016, Petitioner filed a Motion for a Vaughn index, 4 seeking judicial review of the requested documents. Respondent proposed instead that the court conduct an in camera review, contending that a Vaughn index was only appropriate when the documents are voluminous and suggested that an in camera review was more practical. On June 22, 2016, the trial court considered arguments and issued an oral ruling granting the Respondent's Motion to Dismiss. The court stated:
I find that all of these notes kept by Ms. Kinch that have been, the way it's been argued to me and briefed to me, are not public records and that they're supervisory notes. And they are not included in a personnel file. And they are exempted under the Montgomery County Code, which talks about supervisory notes that are excluded. And they're not governmental.
I don't want to get to the slope that you guys keep talking about being slippery. I just don't think that, I think a supervisor should be able to keep private notes under the law, and that's what we have here, and not explain to the whole world every time he or she does as to what's in them.
And I use the example that if, in fact, she confides in someone, whether it be a friend or whether it be a relative or even whether it be another employee, does that have to be disclosed? In other words, if the [Petitioner] says under Freedom of Information, have you ever made any derogatory statements to any personnel members for the Montgomery County? If she had to reveal that or he at any time, that[sic], I believe, would be an abomination of this rule. I don't believe the Legislature intended it to be that way. I think the Legislature intended that what's in your personnel file, and we all know what that means, don't put that in my personnel file or put that in my personnel file, things that are going to go with you, be used to evaluate you, and that work product or mental impressions or discussions or thought processes or even discussions among other supervisors are not intended under this act the way I see it.
As a result, the trial court concluded that an in camera review was not required, because the notes were not considered personnel records pursuant to Montgomery County Personnel Regulation § 4-8 (2001). Thereafter, Petitioner noted a timely appeal to the Court of Special Appeals.
The Court of Special Appeals issued its unreported opinion on August 25, 2017.
See
Lamson v. Montgomery Cty.
, No. 892, Sept. Term 2016, (Md. Ct. Spec. App. Aug. 25, 2017),
Turning to the merits of the appeal, the Court of Special Appeals determined that Respondent sufficiently responded to requests three through sixteen, and that Petitioner did not allege sufficient facts to support challenges to those responses. Regarding requests one and two, the Court found that the "supervisory notes do not fit within the definition of excludable 'supervisory notes' under the Montgomery County Personnel Regulations, and that the trial court abused its discretion by failing to review them
in camera
to determine whether non-disclosure was justified on other grounds."
Lamson
,
STANDARD OF REVIEW
"Judicial review of an agency's decision on MPIA requests is authorized by Gen. Prov. § 4-362, which permits a person who is denied inspection of a public record to challenge the denial by filing a complaint in the circuit court."
Action Comm. for Transit, Inc. v. Town of Chevy Chase
,
DISCUSSION
The Purpose of the MPIA
The MPIA creates an affirmative right for all persons granting "access to information about the affairs of government and the official acts of public officials and employees." Gen. Prov. § 4-103.
See also
Glass v. Anne Arundel Cty.,
One of the mandatory exceptions is set forth in Gen. Prov. § 4-311 and controls the disclosure of personnel records and requires that the custodian of personnel records "deny inspection of a personnel record of an individual, including an
application, a performance rating, or scholastic achievement information." The provision also contains a requirement that the custodian permit inspection of the record when requested by the "person of interest" or a supervisor of the person in interest.
The MPIA broadly defines a "public record" as any document that "is made by a unit or an instrumentality of the State or of a political subdivision or received by the unit or instrumentality in connection with the transaction of public business[.]" Gen. Prov. § 4-101(j)(1)(i). It includes any copy of a public record, including written documents, photographs, and drawings in both printed and electronically stored formats. This definition is in line with the purpose of the MPIA generally. Because the MPIA is designed to grant access to documents regarding the affairs of government and the official acts of public officials, it follows that the definition of a public record should be broad enough to cover a wide range of document types. One type of public record is a personnel record. These records, which are not explicitly defined by the MPIA, have been addressed by the Court in
Kirwan v. The Diamondback
, which discussed the definition of a personnel
record in some detail.
In light of this policy, we do not believe that the General Assembly intended that any record identifying an employee would be exempt from disclosure as a personnel record. Instead, the General Assembly likely intended that the term 'personnel records' retain its common sense meaning. This is indicated by the list following the prohibition on the release of the personnel records.
Review of a denied MPIA request
Judicial review of a denied MPIA request is authorized by Gen. Prov. § 4-362. The provision states that, "whenever a person or governmental unit is denied inspection of a public record or is not provided with a copy, printout, or photograph of a public record as requested, the person or governmental unit may file a complaint with the circuit court." Gen. Prov. § 4-362(a)(1). This subtitle also contains several prescriptions that govern the review of a denied request. Specifically, the provision instructs an aggrieved party on the proper venue for filing a complaint, articulates the limits of the reviewing court, and most importantly describes the methods that a court may use in evaluating the sufficiency of a denial of an MPIA. See Gen. Prov. § 4-362(c)(1), (2) and (3).
In reviewing the Motion to Dismiss, we first examine the procedure employed by the Circuit Court for Montgomery County. The trial court determined that the notes were not subject to review because such disclosure was precluded by Montgomery County Personnel Regulation § 4-8. We agree with the finding of the Court of Special Appeals and determine that Montgomery County Regulations cannot be invoked to prevent disclosure of records. In reaching this conclusion, we are reminded of our decision in
Police Patrol Sec. Sys., Inc. v. Prince George's Cty.
,
Thereafter, the Court of Special Appeals made two determinations relative
to the notes at issue. Regarding the notes that were removed from Petitioner's physical personnel file, the Court determined that an additional review of the notes was required so that the trial court could properly evaluate Respondent's denial of the MPIA request. Specifically, the Court noted that the trial court's reliance on Montgomery County regulations left "no independent basis for the
court to review the notes
in camera
or to require an index."
Lamson
,
The plain language of Gen. Prov. § 4-362 permits the trial court to conduct an
in camera
review of disputed materials to determine whether they are subject to disclosure. The subtitle provides "[t]he court may examine the public record
in camera
to determine whether any part of the public record may be withheld under this title." Gen. Prov. § 4-362(c)(2). In order for a trial court to accomplish this goal, they must be satisfied that the agency rationale offered in denying a MPIA request is fully supported. With this idea in mind, we turn to our discussion in
Cranford v. Montgomery Cty.,
The [MPIA] imposes the burden on the records custodian to make a careful and thoughtful examination of each document which fairly falls within the scope of the request in order for the custodian initially to determine whether the document or any severable portion of the document meets all of the elements of an exemption.
To make a "responsible determination" the trial court must make two initial findings. First, the court must determine whether the documents at issue are a public "record." This requires that the court examine whether the notes "were made in connection with public business" as required by Gen. Prov. § 4-101. If the notes are not public "record," then the MPIA does not apply and the records are not required to be disclosed under the MPIA. If the notes are a public record then the trial court must determine what type of public records are at issue. This second level of inquiry seeks to classify the records in a manner that permits the court to apply the appropriate MPIA provisions while reviewing the denied request. This is particularly important in this case because Petitioner has asserted that the records are personnel records, which are generally subject to disclosure when requested
by the person of interest.
See
Gen. Prov. § 4-311(b). In classifying the documents a second time, the trial court must determine whether the agency's rationale for denying the request is sufficient.
See
Cranford
,
To make the required determinations, the trial court must apply one of the following methods in evaluating an MPIA request. The first method is a
Vaughn
index, which originates from the case of
Vaughn v. Rosen
,
The second method that can be employed is the submission of testimony or affidavits, which detail the nature of the denial and establish the basis for the denial.
See
Maryland Gen. Prov. § 4-362. In describing this method, the
Cranford
Court determined that the agency must demonstrate that the exception applies and may do so by offering evidence by way of testimony or affidavits from the custodian of record.
Cranford
,
The final method permits the trial court to conduct an
in camera
review to evaluate the merits of an agency denial of an MPIA request. This method is enumerated in Maryland Gen. Prov. § 4-362 and is appropriate where the submission of other evidence is not sufficient to evaluate a denial of an MPIA request. This method is also appropriate where the documents at issue are not voluminous.
See
Cranford
,
Regarding the three methods, the
Cranford
Court determined that the agency carries the burden to justify disclosure because of the Court's refusal to accept conclusory statements in support of "generalized allegations of [exceptions]."
Cranford
,
In applying the Cranford factors to the case at bar, in camera review may be the preferable method to review the disputed notes. The first factor, judicial economy, is best served by conducting in camera review because the documents at issue are not voluminous. The second factor, which examines the conclusory nature of the exceptions offered, requires the trial court to evaluate the exceptions and the rationale offered in support thereof. Where the trial court determines that the exceptions offered are general in nature, Cranford requires additional inquiry into the exceptions offered.
Respondent's primary assertion is that the journal notes are privileged attorney-client documents. However, the trial court did not evaluate the veracity of the assertion. Because the assertion is general in nature, the trial court must conduct a review that reflects an evaluation of the assertion. Finally, the last relevant factor considers the fact that the agency suggested in camera . In the instant case, Respondent, in responding to Petitioner's request for a Vaughn index, stated that an in camera review "is available" although Respondent disputed its necessity. Nonetheless, the trial court should consider Respondent's statement when deciding the method of review for the disputed notes.
CONCLUSION
Where there has been a denial of a proper MPIA request the proponent of the request is entitled to judicial review to evaluate the sufficiency of the denial. Further, the trial court in reviewing the denial must be satisfied that the rationale offered by the agency supports the denial of the request. To make this determination, the trial court may require the presentation of evidence such as testimony or affidavits, order a Vaughn index, or conduct an in camera review. While the trial court is free to employ the method it deems appropriate under the circumstances there must be a showing that all the requirements of the asserted exception have been met. Based on an application of the Cranford factors it appears that in camera review will likely be the appropriate method for review of the disputed notes. However, regardless of the method applied, the trial court must not permit Respondent to make generalized allegations and must require that Respondent offer an explanation that reasonably demonstrates that the exceptions are applicable. In the case at bar, the trial court granted Respondent's Motion to Dismiss erroneously. As discussed supra reliance on Montgomery County Regulations will not support the denial of a valid MPIA request. Because the trial court ruled on these grounds, the record is devoid of any evidence that suggests an inquiry was made into the exceptions offered by Respondent. As such, the trial court did not sufficiently review the denial of Petitioner's MPIA request. Therefore, we must vacate the judgment of the Court of Special Appeals and remand the case to the circuit court for further proceedings consistent with this opinion.
JUDGMENT OF THE COURT OF SPECIAL APPEALS IS VACATED. CASE REMANDED TO THAT COURT WITH INSTRUCTIONS TO VACATE THE JUDGMENT OF THE CIRCUIT COURT FOR MONTGOMERY COUNTY AND REMAND TO THAT COURT FOR FURTHER PROCEEDINGS CONSISTENT WITH THIS OPINION. COSTS TO BE PAID BY THE RESPONDENT.
Watts, J., concurs.
Concurring Opinion by Watts, J.
Respectfully, I concur. I agree with the majority opinion's holding remanding the case for further proceedings, but I would remand the case to the Court of Special Appeals with instructions to vacate the judgment of the Circuit Court for Montgomery County and order the circuit court to conduct an
in camera
review of the notes contained in Petitioner's supervisor's journal. The majority opinion remands the case for the circuit court to choose the method of addressing potential disclosure of the notes in the supervisor's journal, stating that "the [circuit] court may require the presentation of evidence such as testimony or affidavits, order a
Vaughn
index, or conduct an
in camera
review." Maj. Op. at 369, 190 A.3d at 328. Indeed, the majority opinion states that, although the circuit "court is free to employ the method it deems appropriate under the circumstances[,]" "it appears that
in camera
review will likely be the appropriate method for review of the disputed notes." Maj. Op. at 369, 190 A.3d at 328. In its opinion, the Court of Special Appeals authorized the
in camera
review of the supervisory notes contained in Petitioner's supervisory file.
See
Lamson v. Montgomery Cty.
,
For the above reasons, respectfully, I concur.
The MPIA is codified as Md. Code, (2014), § 4-101 et seq. of the General Provisions Article, ("Gen. Prov.").
Gen. Prov. § 4-311 provides:
(a) Subject to subsection (b) of this section, a custodian shall deny inspection of a personnel record of an individual, including an application, a performance rating, or scholastic achievement information.
* * *
(b) A custodian shall allow inspection by:
(1) the person in interest; or
(2) an elected or appointed official who supervises the work of the individual.
The Montgomery County Personnel Regulations provide:
A supervisor may maintain informal notes regarding performance or other information about an employee under the supervision of that supervisor. Supervisory notes are not considered official employee records and are not subject to review by the employee or others.
Montgomery County, Md. Personnel Regulation § 4-8 (2001).
The term "
Vaughn
index" originates from the case of
Vaughn v. Rosen
,
Reference
- Full Case Name
- Bernadette Fowler LAMSON v. MONTGOMERY COUNTY, MD
- Cited By
- 21 cases
- Status
- Published