Kaleb Lee BASEY, Appellant, v. STATE of Alaska, DEPARTMENT OF PUBLIC SAFETY, DIVISION OF ALASKA STATE TROOPERS, BUREAU OF INVESTIGATIONS, Appellee.
Supreme Court No. S-16609
Supreme Court of Alaska.
December 29, 2017
1173
John J. Novak, Assistant Attorney General, Anchorage, and Jahna Lindemuth, Attorney General, Juneau, for Appellee.
Before: Stowers, Chief Justice, Winfree, Maassen, Bolger and Carney, Justices.
OPINION
BOLGER, Justice.
I. INTRODUCTION
In this appeal, Kaleb Basey argues the Alaska State Troopers (AST) must comply with his requests for certain public records. The State contends the requested records are statutorily exempt from disclosure because the records pertain to currently pending federal cases: a criminal case against Basey and a related civil suit he brought against various state employees. We conclude the State has not established that disclosure of these records “could reasonably be expected to interfere with enforcement proceedings”1 or that either of these pending actions “involv[es] a public agency”2 as required by the statutory exceptions the State cites.
II. FACTS AND PROCEEDINGS
Basey was the subject of a joint criminal investigation conducted by AST and the Fort Wainwright Criminal Investigation Division. He is now a party to two federal cases stemming from that investigation. First, Basey was indicted by a federal grand jury in December 2014 and is the defendant in a federal criminal case.3 Second, Basey brought a federal civil rights lawsuit in January 2016 against more than a dozen named individuals, including AST officers, based on their alleged actions during the investigation and his arrest.4
Basey subsequently filed a complaint in superior court to compel AST to produce the records. The State filed a motion to dismiss, asserting that two statutory exceptions justified the denial of Basey‘s requests. First, the State claimed that “[
Basey opposed the motion, challenging the State‘s characterizations of the cited statutory exceptions. Citing Brady v. State7 and an attorney general opinion,8 he argued that the
Without holding a hearing, the superior court dismissed the case with prejudice “[b]ased upon the reasoning in [the State‘s] Motion to Dismiss.”
III. STANDARD OF REVIEW
The State did not indicate the procedural basis for its motion to dismiss, nor did the superior court do so in granting the motion. We construe the motion as one to dismiss for failure to state a claim pursuant to
IV. DISCUSSION
“[T]here is a strong commitment in Alaska ‘to ensuring broad public access to government records.‘”15 Consequently, “[e]very person has a right to inspect a public record in the state,” subject to certain exceptions set forth in statute.16 These exceptions are “narrowly construe[d]” in order to further the legislative policy of broad access,17 and the State generally bears the burden of showing that a record is not subject to disclosure.18 Throughout this case, the State has relied on only two exceptions to justify AST‘s nondisclosure of the requested records: the
A. Litigation Exception (AS 40.25.122 )
Alaska Statute 40.25.122 provides that documents relating to litigation involving a “public agency”19 are subject to disclosure, with one exception:
A public record that is subject to disclosure and copying under
AS 40.25.110 -40.25.120 remains a public record subject to disclosure and copying even if the record is used for, included in, or relevant to litigation, including law enforcement proceedings, involving a public agency, except that with respect to a person involved in litigation, the records sought shall be disclosed in accordance with the rules of procedure applicable in a court or an administrative adjudication. In this section, “involved in litigation” means a party to litigation or representing a party to litigation, including obtaining public records for the party.
Basey was unquestionably “involved in litigation” when he submitted his records requests, but he asserts that the exception does not apply because he was not involved in litigation with a public agency. Rather, he was involved in litigation with individual state officers he sued in their personal capacity. The State responds that the exception applies but does not cite any authority for its position or otherwise develop its argument.20
Both Basey‘s narrow reading of the litigation exception and the State‘s broad reading are plausible on the face of
The history of the litigation exception confirms this interpretation. The apparent precursor to
The legislature took up this issue eight years later in 1990 when it enacted House Bill (H.B.) 405, a significant overhaul of the Public Records Act.26 According to Assistant Attorney General Jeff Bush, who testified in support of H.B. 405, the Department of Law “worked closely” with the bill‘s sponsor, Representative Kay Brown, in coming to a final version of the bill.27 The bill did not contain a litigation exception when it first passed the House.28 But Representative Brown suggested in a memorandum to Pat Pourchot, the Chair of the Senate State Affairs Committee, that “a provision relating to public records involved in litigation” be added.29 The pro-
The foregoing history shows that the litigation exception was initially conceived to protect the State during litigation—to ensure that the State receives the protections afforded by the rules of discovery. Attorney General Condon cited this purpose when he presented former
Former Attorney General Bruce Botelho reached the same conclusion in a 1994 informal opinion.38 He referred to the legislative history, citing Attorney General Baily‘s bill review letter and former
When the state is involved in the litigation, requiring the discovery rules to apply to documents sought by the other side ensures that the state is not disadvantaged in litigation by its public records statutes. . . . [I]t ensures equal footing for the state. This analysis simply does not apply when the state isn‘t a party to the litigation.40
Attorney General Botelho briefly addressed this issue again in a formal opinion to the Commissioner of the Department of Public Safety on “requests for public release of . . . law enforcement records.”41 There too he concluded that the litigation exception applies only to “records sought in conjunction with litigation involving the State.”42 He explained that the purpose of the exception was to “ensure[] that the state and its agencies are given the same protections afforded all litigants by the court rules governing
Finally, we note that we endorsed Basey‘s narrow interpretation of
The litigation exception in
The State requested that the superior court take judicial notice of Basey‘s civil case,51 but no public agency is a party to that case either. Rather, Basey‘s civil complaint names a number of individual state officials as defendants, and explicitly states Basey is suing them “[i]n their individual capacities.”52 Basey brought his complaint pursuant to
The State has not argued that Basey‘s civil or criminal case “involv[es] a public agency” in some way other than a public agency being a party to the case, and we do not address this possibility. In other words, we decline to decide whether a public agency might be involved in litigation for the purpose of
B. Law-Enforcement-Interference Exception (AS 40.25.120(a)(6)(A) )
The State invokes an additional exception to the Public Records Act. Alaska Statute 40.25.120(a)(6)(A) provides that law enforcement records are not subject to production under the Public Records Act if disclosing them “could reasonably be expected to interfere with enforcement proceedings.” Although Basey is involved in an enforcement proceeding as a defendant in a federal criminal action, he contends the State failed to show that disclosure of the requested records could reasonably be expected to interfere with the federal proceeding. Echoing the argument that it made in the superior court, the State responds—without elaboration—that
We need not decide today precisely what kind of showing the State must make to invoke
Based on the record before the court, dismissing Basey‘s complaint pursuant to
V. CONCLUSION
Because the State failed to show that the litigation exception or the law-enforcement-interference exception applies, we REVERSE the superior court‘s grant of the State‘s motion to dismiss and REMAND for further proceedings consistent with this opinion.
