TOWN OF AVON ET AL. v. JOSEPH SASTRE ET AL.
(AC 45885)
Connecticut Appellate Court
March 5, 2024
Elgo, Cradle and Seeley, Js.
Argued October 19, 2023
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Syllabus
Pursuant to statute (
Pursuant further to statute (
The plaintiffs, the town of Avon and its town manager, B, appealed from the judgment of the trial court dismissing their administrative appeal from the final decision of the defendant Freedom of Information Commission ordering the plaintiffs to disclose certain information to the defendant S pursuant to the Freedom of Information Act (
1. The plaintiffs could not prevail on their claim that the trial court erred in concluding that the log was a public record pursuant to the act:
a. Contrary to the plaintiffs’ claim, this court concluded that the log included information relating to the conduct of the public‘s business under
b. The plaintiffs could not prevail on their claim that the log was not prepared, owned, used, received or retained by a public agency under
2. Contrary to the plaintiffs’ claim, the commission did not act unreasonably, arbitrarily, illegally or in abuse of its discretion in concluding that the log was not exempt from disclosure undеr the act pursuant to the attorney-client privilege: on the basis of a thorough review of the record, including an in camera review of the log, this court concluded that the record contained substantial evidence to support the commission‘s findings that the log contained personal observations of the employee relating to the conduct of R, the employee created the log for his own personal use, the log was not created for the purpose of seeking legal advice or with the intent to communicate its contents to an attorney, the employee met with B, who is not an attorney, to discuss the employee‘s concerns about R‘s conduct and to seek guidance on how to deal with R regarding the incidents that the employee had observed, and the log did not constitute a record of communication between a client and an attorney, as there was no evidence in the record showing that the employee who created the log ever spoke with the town attorney, and, because those findings related to the second and third parts of the test in Shew, the trial court, in effect, applied the test in Shew when it analyzed the plaintiffs’ claim of attorney-client privilege; moreover, those findings supported a conclusion that the plaintiffs failed to meet their burden of establishing that the log was exempt from disсlosure under the attorney-client privilege, either under the test in Shew or the first two of the three ways to establish the attorney-client privilege with regard to documents as set forth in Kosuda-Bigazzi; furthermore, the commission‘s finding that the log was a preexisting document, in that it was in existence before B sought legal advice from the town attorney, was also supported by the substantial evidence in the record concerning the log, demonstrating that it was not a record of a communication and was not created for the purpose of seeking legal advice, and the commission specifically found that the employee did not later create a typed compilation and/or summary of the log for the purpose of securing counsel, and therefore there was no evidence in the record demonstrating a transformation of the log for the purpose of seeking legal counsel; additionally, although the plaintiffs argued that the log was provided to the town attorney solely for the purpose of seeking legal advice, this argument ignored the fact that the legal advice sought was for the town, not the person who created the log, and the log did not become a privileged document simply because B provided the log to the town attorney when he sought legal advice about how the town should proceed with respect to R.
Procedural History
Appeal from a decision by the defendant Freedom of Information Commission ordering the plaintiffs to disclose certain information to the named defendant, brought to the Superior Court in the judicial district of New Britain and tried to the court, Cordani, J.; judgment dismissing the appeal, from which the plaintiffs appealed to this court. Affirmed.
Michael C. Harrington, with whom, on the brief, was Proloy K. Das, for the appellants (plaintiffs).
Elana Bildner, with whom, on the brief, were Sapana Anand and Dan Barrett, for the appellee (named defendant).
Opinion
SEELEY, J. The plaintiffs, the town of Avon (town) and the town manager, Brandon Robertson, appeal from the judgment of the Superior Court dismissing their administrative appeal from the final decision of the defendant Freedom of Information Commission (commission) regarding a complaint filed by the defendant Joseph Sastre. In its final decision, the commission found that the plaintiffs had violated the Freedom of Information Act (act),
The following facts, as found by the commission and which are not disputed by the parties, and procedural history are relevant to our resolution of this appeal. In November, 2019, a managerial level “town employee met with the . . . town manager to discuss [work-related] incidents and events involving Chief Rinaldo. . . . [T]he employee was seeking the . . . town manager‘s guidance on how to deal with [Chief Rinaldo] regarding [certain] incidents [involving Chief Rinaldo] that the employee had observed.” Following that meeting, the town manager contacted the attorney for the town (town attorney) and described the incidents mentioned by the employee. During that conversation, the town attorney asked whether the employee had any documentation of those incidents. The town manager then contacted the employee,
On February 10, 2020, Sastre submitted a request that the town “provide him with any and all records relating to the ‘accusations’ concerning . . . [Chief] Rinaldo.” In response to this request, the plaintiffs provided Sastre with a copy of the November 11, 2019 memorandum and the severance agreement; however, neither document included the reason behind the decision to place Chief Rinaldo on administrative leave. The plaintiffs did not provide Sastre with a copy of the log that had been given by the town employee to the town manager documenting that employee‘s observations of Chief Rinaldo‘s conduct.
On March 13, 2020, Sastre filed an appeal with the commission, alleging that the plaintiffs violated the act by failing to provide him with the aforementioned log. On November 19, 2020, a hearing concerning Sastre‘s appeal was conducted before a hearing officer for the commission, at which Sastre and the plaintiffs “appeared, stipulated to certain facts, and presented testimony, exhibits and argument on the complaint.” During the hearing, the plaintiffs’ sole argument in opposition to Sastre‘s request was that the log was exempt from disclosure due to the attorney-client privilege. On September 22, 2021, the hearing officer issued her proposed final decision, finding that the log was not exempt from disclosure under the attorney-client privilege. On October 15, 2021, the town responded to the proposed decision. In its response, the town, in addition to maintaining its argument that the log is protected from disclosure under the attorney-client privilege, also argued that the log is not a public record because it consists of the personal notes of an individual.
On October 27, 2021, the commission held a meeting at which it reviewed the hearing officer‘s proposed final decision. During the meeting, the town attorney reiterated the argument that the log was exempt from disclosure due to the attorney-client privilege and also argued that the log did not qualify as a public record as defined by the act. On November 17, 2021, the commission issued its final decision on the matter. The commission first found that the log is a public record within the meaning of
As a preliminary matter, we must first set forth the standard of review for this administrative appeal. “Our resolution of [this appeal] is guided by the limited scope of judicial review afforded by the Uniform Administrative Procedure Act [UAPA];
“The ‘substantial evidence’ rule governs judicial review of administrative fact-finding under the UAPA.” Dolgner v. Alander, 237 Conn. 272, 281, 676 A.2d 865 (1996). “According to our well established standards, [r]eview of an administrative agency decision requires a court to determine whether there is substantial evidence in the administrative record to support the agency‘s findings of basic fact and whether the conclusions drawn from those facts are reasonable. . . . Neither this court nor the trial court may retry the case or substitute its own judgment for that of the administrative agency on the weight of the evidence or questions of fact. . . . An administrative finding is supported by substantial evidence if the record affords a substantial basis of fact from which the fact in issue can be reasonably inferred.” (Citations omitted; internal quotation marks omitted.) Stratford Police Dept. v. Board of Firearms Permit Examiners, 343 Conn. 62, 81, 272 A.3d 639 (2022).
I
The plaintiffs first claim that the court improperly dismissed their administrative appeal from the commis-sion‘s decision ordering disclosure of the log because the log is not a public record under
The following legal principles are relevant to our evaluation of this claim. Our Supreme Court has described the act as “our right-to-know law, providing for disclosure of public information . . . . [T]he [act] expresses a strong legislative policy in favor of the open conduct of government and free public access to government records. . . . At the time of its unanimous passage by the General Assembly,
Whether the log is a public record under
We start with the language of
A
We first note that for the log to constitute a public record, it must relate to the conduct of the public‘s business.7
proper concern or interest“; The American Heritage Dictionary, supra, p. 252; and “conduct” means “the act, manner, or process of carrying on . . . [or] a mode or standard of personal behavior . . . .” Merriam-Webster‘s Collegiate Dictionary, supra, p. 259. Construed together, the “conduct of the public‘s business” refers to an action or behavior that is of concern to the members of the community as a whole.
As we stated, the log details the concerns of a town employee regarding the work-rеlated conduct of the chief of police. Our Supreme Court has made clear that “when a person accepts public employment, he or she becomes a servant of and accountable to the public. . . . The public has a right to know not only who their public employees are, but also when their public employees are and are not performing their duties.” Perkins v. Freedom of Information Commission, 228 Conn. 158, 177, 635 A.2d 783 (1993). The conduct of the police, in particular, has been deemed a matter of public concern by our Supreme Court. See Hartford v. Freedom of Information Commission, 201 Conn. 421, 435, 518 A.2d 49 (1986) (“the public has a legitimate interest in the integrity of local police departments and in disclosure of how such departments investigate and evaluate . . . complaints of police misconduct“).
Documents do not have to be created by a public agency to relate to the conduct of the public‘s business. See Commissioner of Emergency Services & Public Protection v. Freedom of Information Commission, supra, 330 Conn. 398. For example, our Supreme Court recently addressed a claim that certain documents were not public records under the act “because they were created by a private individual and not the [Department of Emergency Services and Public Protection].” Id., 397. In rejecting that argument, the court explained: “[D]ocuments that are not created by an
We also find guidance on this issue from case law concerning the invasion of privacy exemption to disclosure of public records, which “precludes disclosure . . . when the information sought by a request does not pertain to legitimate matters of public concern . . . .” Perkins v. Freedom of Information Commission, supra, 228 Conn. 175. In that context, our Supreme Court has stated that “[t]he legislature has . . . deter-mined that disclosures relating to the employees of public agencies are presumptively legitimate matters of public concern . . . [although] [t]hat presumption is not . . . conclusive.” Id., 174. Moreover, as we stated, “the public has a legitimate interest in the integrity of local police departments” and how they “investigate and evaluate . . . complaints of police misconduct.” Hartford v. Freedom of Information Commission, supra, 201 Conn. 435. For instance, this court previously held that a document containing the instant messages of a police officer, which were the trigger for an investigation into whether the officer was responsible for misconduct, “pertained to a legitimate matter of public concern . . . [because] [the messages] contain[ed] the information which formed the basis for and triggered the . . . investigation in this case. Therefore . . . disclosure of the instant message conversations was necessary to facilitate the public‘s understanding and evaluation of the [department‘s] investigative process, decision-making and overall handling of an important matter involving a fellow police officer.” (Internal quotation marks omitted.) Tompkins v. Freedom of Information Commission, 136 Conn. App. 496, 508–509, 46 A.3d 291 (2012).
In the present case, we conclude, following our own in camera review of the log and our review of the commission‘s findings, which are not disputed by the parties, that the log includes “information relating to the conduct of the public‘s business . . . .”
Our determination is also supported by the hearing testimony of the town manager, who confirmed that he was given the log by the town employee and that it contains revelations about the conduct of
B
Having determined that the contents of the log relate to the conduct of the public‘s business, we next address whether the log was “prepared, owned, used, received or retained by a public agency . . . .”
We first note that the act does not define the word “receive” for purposes of
The commission made the following relevant findings in its decision, which support a determination that the log was received by the town for purposes of the act. After the town manager was made aware of the employee‘s log, the town manager told the employee that the town attorney wanted to review the log. As a result of that request, the employee gave the log dirеctly to the town manager, who made a copy of it; the town manager then gave the copy to the
The plaintiffs have provided no authority for their argument that “received” under the statute means that the document must be “given to a public agency for the agency‘s retention.” Such a reading of the statute would be redundant, as the statute includes whether a document was “retained” by the public agency as a separate ground for finding that it is a public record. It is a principle of statutory interpretation that statutes shall be interpreted, whenever possible, to avoid redundancy. See Yeager v. Alvarez, 134 Conn. App. 112, 121–22, 38 A.3d 1224 (2012) (“[i]t is a basic tenet of statutory construction that the legislature [does] not intend to enact meaningless provisions. . . . Because [e]very word and phrase [of a statute] is presumed to have meaning . . . [a statute] must be construed, if possible, such that no clause, sentence or word shall be superfluous, void or insignificant.” (Citation omitted; internal quotation marks omitted.)).
The plaintiffs’ argument that the log was not received by the town because the town manager merely served as a “conduit” to deliver the log to the town attorney is equally unavailing. Again, the plaintiffs cite no authority in their appellate briefs for this assertion. The town attorney in this case is an agent of the town. See, e.g., First Selectman v. Freedom of Information Commission, Superior Court, judicial district of New Britain, Docket No. CV-00-0501055-S (November 28, 2000) (29 Conn. L. Rptr. 27, 29) (holding that transcripts prepared by stenographer and delivered directly to town‘s attorney, and not town, were public records because “[t]he transcripts . . . were received and used by the [t]own‘s attorney as the [t]own‘s agent“); see generally National Groups, LLC v. Nardi, 145 Conn. App. 189, 201, 75 A.3d 68 (2013) (noting that “an attorney is the client‘s agent“). Furthermore, towns cannot be permitted “to circumvent their statutory obligations relating to disclosure of ‘public records’ by simply delivering the records to their attorney.” First Selectman v. Freedom of Information Commission, supra, 29. Accord-ingly, the fact that the town manager provided the log to the town attorney does not change the fact that the town “received” the log for purposes of the act.
Therefore, because the log relates to the conduct of the public‘s business and was received by the town, the commission correctly determined that the log constitutes a public record under
II
The plaintiffs next argue that, even if the log constitutes a public record for purposes of the act, it is exempt from disclosure pursuant to the attorney-client privilege under
The following legal principles guide our analysis of this claim.
“The attorney-client privilege applies to oral and written communications. See, e.g., E. Prescott, Tait‘s Handbook of Connecticut Evidence (6th Ed. 2019) § 5.16.1 (b), p. 262 ([c]ommunications between an attorney and a client can be written as well as oral); see also 1 Restatement (Third), The Law Governing Lawyers § 69, comment (b), p. 525 (2000) (A communication can be in any form. Most confidential client communications to a lawyer are written or spoken words . . . .). The present case involves documents, and our analysis will focus on that form of communication. The privilege must be established for each document separately considered and must be narrowly applied and strictly construed. . . . The burden of establishing the applicability of the privilege rests with the party invoking it . . . .” (Citations omitted; internal quotation marks omitted.) State v. Kosuda-Bigazzi, 335 Conn. 327, 341–43, 250 A.3d 617 (2020).
Exemptions under the act are also narrowly construed. “[T]he overarching legislative policy of [the act] is one that favors the open conduct of government and free public access to government records. . . . [I]t is well established that the general rule under the [act] is disclosure, and any exception to that rule will be narrowly construed in light of the general policy of openness expressed in the [act]. . . . [Thus] [t]he burden of proving the applicability of an exception [to disclosure under the act] rests upon the party claiming it. . . .
“When a claim of attorney-client privilege is invoked in an administrative proceeding, [appellate] review of a determination as to whether that privilege applies is governed by the [act] . . . . Judicial review of an administrative agency decision requires a court to determine whether there is substantial evidence in the administrative record to support the agency‘s findings of basic fact and whether the conclusions drawn from those facts are reasonable. . . . Neither this court nor the trial court may retry the case or substitute its own judgment for that of the administrative agency on the weight of the evidence or questions of fact. . . . Our ultimate duty is to determine, in view of all of the evidence, whether the agency, in issuing its order, acted unreasonably, arbitrarily, illegally or in abuse of its discretion.” (Citation omitted; internal quotation marks omitted.) Harrington v. Freedom of Information Commission, supra, 323 Conn. 13.
In Shew v. Freedom of Information Commission, 245 Conn. 149, 714 A.2d 664 (1998), our Supreme Court considered the issue of “whether the attorney-client privilege protects communications in circumstances where the client is a corporate or municipal entity, rather than an individual . . . .” Id., 158. In concluding that it does protect such communications, the court adopted the following test: “[C]ommunications to an attorney for a public agency are protected from disclosure by privilege if the following conditions are met: (1) the attorney must be acting in a professional capacity for the agency, (2) the communications
In the present case, the commission did not specifically cite to Shew in its decision9 but, rather, relied on our Supreme Court‘s recent decision in State v. Kosuda-Bigazzi, supra, 335 Conn. 327, in which the court set forth three ways to establish the attorney-client privilege with regard to documents. Specifically, in Kosuda-Bigazzi, the court explained: “First, a party can establish that a document is privileged by showing that the
document is itself the record or memorialization of a communication between the client and the attorney. . . . [Second] [i]f the document is not a record of a communication, a party can still establish privilege by showing that (1) the document was created with the intent to communicate the contents to an attorney, and (2) the client actually communicated the contents to the attorney.” (Citations omitted.) Id., 343. The third way for a party to establish that a document is protected by thе attorney-client privilege is “by showing transformation of a preexisting document into a communication for the purpose of seeking legal advice and that the document was communicated to or intended to be communicated to an attorney. Preexisting documents are documents that are not a record of a communication and were not created for the purpose of seeking legal advice. . . . [Preexisting] documents that are not in themselves communications . . . are treated in different ways, depending on how the attorney acquired them. . . . A preexisting document does not become privileged merely because it is transferred to or routed through an attorney. . . . However, a preexisting document could become
On appeal, the plaintiffs argue that the commission errеd by not considering or applying the test set forth in Shew for determining whether a communication between a public employee and an attorney is privileged. Relying on Shew, the plaintiffs argue that “the notes in this case were given to the [town attorney] for the sole purpose of providing legal advice . . . [and] [a]s such, the notes are exempt from disclosure pursuant to the attorney-client privilege.”10 The commission counters that Shew, which “specifically addresses the issue of records that memorialize communications between counsel and public employees . . . does not address the issue [in the present case]” and that the commission properly determined that the plaintiffs failed to demonstrate one of the three criteria set forth in Kosuda-Bigazzi for establishing that a document is privileged. Sastre makes an argument similar to that of the commission and argues further that, even under the test set forth in Shew, the plaintiffs failed to meet their burden of demonstrating that the attorney-client privilege applies. We conclude that, under either test, the plaintiffs failed to meet their burden of establishing that
the log is exempt from disclosure pursuant to
In its final decision, the commission made the following factual findings regarding the plaintiffs’ attorney-client privilege claim. The commission “found that the . . . town manager is not an attorney and that the employee was not seeking legal advice from him. Rather . . . the employеe was seeking the . . . town manager‘s guidance on how to deal with [Chief Rinaldo] regarding the incidents that the employee had observed. . . . [F]ollowing [their] November, 2019 meeting . . . the . . . town manager contacted [the town attorney] in order to obtain legal advice regarding the incidents the town employee had described to him. . . . [T]he . . . town manager relayed to [the town attorney] the incidents that had been described to him by the employee. . . . [A]t such time, the town [attorney] asked the . . . town manager to inquire of the employee as to whether the employee had any documentation or personal notes concerning the incidents involving [Chief Rinaldo]. . . .
“[T]he . . . town manager contacted the employee and first learned that the employee had created a log detailing the underlying incidents. . . . [T]he . . . town manager informed the employee that the town [attorney] wished to review the log. . . . [T]he employee provided the log to the . . . town manager, who made a copy of the log, provided the copy to the town [attorney], and returned the log to the employee.”
On the basis of those uncontested facts, as found by the commission, and following its in camera review of the log, the commission found that the log “[does] not constitute a record of communication between the client and the attorney.” The commission further found that the log was “not created with the intent to communicate the contents to an attorney.” The commission
We conclude, on the basis of our thorough review of the record, including an in camera review of the log, that the record contains substantial evidence to support the commission‘s findings that (1) the log contains personal observations of the employee relating to the conduct of Chief Rinaldo, (2) the employee created the log for his own personal use, (3) the log was not created for the purpose of seeking legal advice or with the intent to communicate its contents to an attorney, (4) the employee met with the town manager, who is not an attorney, to discuss the employee‘s concerns about Chief Rinaldo‘s conduct and to seek “guidance on how to deal with [Chief Rinaldo] regarding the incidents that the employee had observed,” and (5) the log does not constitute a record of communication between a client and an attorney, as there was no evidence in the record showing that the employee who created the log ever spoke with the town attorney. We first note that those findings relate to the second and third parts of the Shew test; therefore, the court, in effect, applied the test in Shew when it analyzed the plaintiffs’ claim of attorney-client privilege. Moreover, those findings support a conclusion that the plaintiffs failed to meet their burden of establishing that the log is exempt from disclosure under the attorney-client privilege, either under the Shew test or the first two of the three ways to establish the attorney-client privilege with regard to documents as set forth by our Supreme Court in Kosuda-Bigazzi. See Harrington v. Freedom of Information Commission, supra, 323 Conn. 16 (“[I]t is not enough for the party invoking the privilege to show that a communication to legal counsel relayed information that might become relevant to the future rendering of legal advice. Instead, the communication must also either explicitly or implicitly seek specific legal advice about that factual information.” (Internal quotation marks omitted.)).
Furthermore, the commission‘s finding “that the log is a preexisting document, in that it was in existence before the town [manager] sought legal advice from the town attorney,” is also supported by the substantial evidence in the record concerning the log, demonstrating that it is not a record of a communication and was not created for the purpose of seeking legal advice. See State v. Kosuda-Bigazzi, supra, 335 Conn. 344. As our Supreme Court has stated, such documents can become privileged if the documents “were somehow transformed for the purpose of seeking legal advice and communicated or intended to be communicated to an attorney.” Id., 345. In the present case, the commission specifically found “that the employee did not later create a typed compilation and/or summary of the log for the purpose of securing counsel.” There is, therefore, no evidence in the record demonstrating a transformation of the log for the purpose
In summary, we conclude that the log constitutes a public record subject to disclosure under the act and that the commission‘s determination that it is not exempt from disclosure under the act pursuant to the attorney-client privilege resulted from a correct application of the law to the facts found. Accordingly, the court properly rendered judgment dismissing the plaintiffs’ administrative appeal.
The judgment is affirmed.
In this opinion the other judges concurred.
SEELEY, J.
