Lead Opinion
¶ 1. We accepted this interlocutory appeal to determine whether the Secretary of State may enter into an agreement with a
¶ 2. The material facts are largely undisputed. In preparation for his impending retirement, Governor Howard Dean entered into a memorandum of understanding with the Secretary of State regarding the archival storage of his gubernatorial papers. The memorandum, signed in early January 2003 by the Governor, the Secretary of State, and the Attorney General, states that its purpose “is to establish clear guidelines to govern public access to ‘the official correspondence of the Governor’” under 3 V.S.A. § 4(a),
¶ 3. Although the trial court made no specific findings on the volume of the records at issue, it was undisputed that the state archives acquired approximately 320 cubic feet of records from Governor Dean (one cubic foot is the equivalent of one standard-size storage box), of which approximately 150 cubic feet were designated as containing privileged material. The Governor later reduced the number of sealed gubernatorial records to approximately 93 cubic feet.
¶ 5. Plaintiff subsequently moved for judgment on the pleadings. The State opposed the motion, arguing that plaintiff had failed to demonstrate as a matter of law that the memorandum of understanding was invalid, and asserting that the case should be decided on the basis of summary judgment following additional factual development. The trial court issued an initial decision in February 2004, concluding that the Archives Act did not authorize the Secretary to restrict access to records deemed to be privileged by Governor Dean; that the records in question were governed by the PRA; and that, as this Court has recognized, a prima facie claim of executive privilege under the Act’s exception for “common law privilege,” 1 V.S.A. § 317(c)(4), requires a showing specifically identifying the document in question and the basis for the privilege. See New England Coalition v. Office of the Governor,
¶ 6. The State moved for reconsideration of the court’s decision or, in the alternative, for permission to file an interlocutory appeal. The State also submitted a memorandum addressed to the proposed process for adjudicating executive privilege claims. The State’s memorandum included a request for an order requiring plaintiff to pay the estimated $18,900 in staff costs that would be incurred in creating a guide to the sealed documents, and the estimated $168,750 in costs for summarizing
¶ 7. While we recognize the competing public-policy interests vigorously advanced by the parties in this case, the issue — in our view — turns principally on statutory language and meaning. See In re Huntley,
¶ 8. It is axiomatic that “ [i]n construing conflicting statutes that deal with the same subject matter, the more specific provision controls over the more general one.” Stevenson v. Capital Fire Mut. Aid Sys., Inc.,
¶ 9. Our reading of the statutory text finds additional support in two external sources. See In re Hinsdale Farm,
¶ 10. A second consideration in our interpretation of the statutes is the Secretary of State’s longstanding construction and implementation of the Archives Act. “Absent compelling indications of error, interpretations of administrative regulations or statutes by the agency respon
¶ 11. Thus, since its inception, the Secretary of State’s practice under the Archives Act has been to accept gubernatorial papers subject to special terms or conditions broadly and independently limiting access to materials designated by the outgoing governor as privileged. The administering agency’s interpretation of the statute is consistent with its plain language and legislative history, and is therefore entitled to substantial deference. See State v. Int’l Collection Serv., Inc.,
¶ 12. Plaintiff’s several arguments to the contrary are not persuasive. First, plaintiff argues that giving effect to the memorandum of understanding would contravene decisional law from Vermont and across the country. The argument is premised on cases holding that confidentiality provisions in litigation settlement agreements or collective bargaining contracts cannot override public records acts.
¶ 13. Plaintiff further contends that the memorandum of understanding encroaches on the authority of the legislative and judicial branches, in violation of the constitutional principle of separation of powers. Vt. Const. ch. II, § 5. The contention assumes that the PRA controls the disposition of a retiring governor’s official correspondence, an argument that we have rejected. Plaintiff also relies on the language of the Archives Act, asserting that the phrase “special terms or conditions of law” in 3 V.S.A. § 117(g)(9) refers solely to pre-existing “legal” or statutory restrictions on access to documents set forth in the PRA or other statutes. Thus, plaintiff asserts that only a properly adjudicated claim of executive privilege under the PRA qualifies as a “special term or condition of law.”
¶ 14. Plaintiff’s argument requires reading the statute to create two essentially identical types of restriction: “special terms” of law, and “conditions of law.” Plaintiff offers no explanation, however, as to why the Legislature would create a superfluous category. See In re Dunnett,
¶ 15. The trial court also relied on a provision in the memorandum of understanding stating that the sealed documents would be made accessible in limited circumstances, including “[pjursuant to a valid court order.” The court inferred that the exception was intended to incorporate the adjudicative requirements for establishing an executive-privilege claim under the PRA. See New England Coalition,
¶ 16. Finally, plaintiff asserts that a construction of the Archives Act permitting retiring governors to broadly restrict access to official correspondence that would otherwise have been open to the public during their terms of office (subject to a particularized showing of executive privilege under the PRA) is illogical and absurd. We have recognized the rule of construction that statutes should not be interpreted to produce “absurd or illogical” results. Rhodes,
¶ 17. That is plainly not the case here. Although the legislative history is limited, the Secretary of State’s office — in construing and applying § 117(g)(9) of the Archives Act to permit general restrictions on gubernatorial papers — has consistently maintained that it “strike[s] a balance” between the public interest in preserving a full and complete record of a retiring governor’s administration for the benefit of future historians and the general public, and the governor’s
¶ 18. On a variation of the same theme, plaintiff contends that it would be absurd to construe the Archives Act to permit the ten-year restriction on portions of Governor Dean’s correspondence because the statute, by its terms, does not expressly limit the extent or duration of restrictions by future governors. Thus, plaintiff argues, a future governor could utterly defeat the public interest in disclosure by negotiating a permanent restriction on all of his or her official correspondence. While such a case is not before us, we note that the statute refers to archived records under terms or conditions “restricting” — not prohibiting or foreclosing — their use. See Random House Unabridged Dictionary, supra, at 1642 (defining “restrict” as “to confine or keep within limits”). Moreover, as discussed, the legislative history of the Archives Act suggests that its purpose was to codify past practice based on restrictions of limited scope and duration, and its implementation has been consistent with this purpose. Accordingly, we perceive no basis to speculate that the statute will invite future abuse, although the Legislature obviously remains free to require more
¶ 19. For all of the foregoing reasons, we conclude that the trial court erred in invalidating the special term of the memorandum of understanding restricting access to designated portions of former Governor Dean’s official correspondence in the state archives. Our conclusion renders it unnecessary to address the State’s remaining claims concerning the proper allocation of staff costs for the creation of a document index under the PRA.
Reversed.
Notes
This section provides: “The official correspondence of the governor is the property of the state. Upon retiring from office he or she shall cause such correspondence and an itemized list thereof to be deposited with the secretary of state. The secretary of state shail preserve these records in accordance with professional archival practices recommended by the state archivist.”
This section provides that, in fulfilling the duties of the state archives program, the state archivist shall “permit the public to inspect, examine, and study the archives, provided that any record placed in the keeping of the office of the secretary of state under special terms or conditions of law restricting their use shall be made accessible only in accord with those terms and conditions.”
The agreement provided for a six-year moratorium on public access, subject to exceptions for “a valid court order” or written authorization from Governor Kunin.
See, e.g., Giampapa v. Am. Family Mut. Ins. Co.,
Concurrence Opinion
¶ 20. concurring. I find this a very close case, but I am ultimately persuaded by the history and the legislative history to vote for the result reached by the majority. My unease with the decision, however, is caused by the loose and vague drafting of the statutes upon which we are relying, compounded by the difficulty in responding under the Public Records Act to a request for 550,000 to 600,000 pages of records. I believe the Legislature should act to correct the deficiencies in the State Archives Act and the Public Records Act, and write to express my concerns.
¶ 21. The statute on which our decision relies permits “the public to inspect, examine, and study the archives, provided that any record placed in the keeping of the office of the secretary of state under special terms or conditions of law restricting their use shall be made accessible only in accord with those terms and conditions.” 3 V.S.A. § 117(g)(9). The majority holds that the restrictions on access contained in the memorandum of understanding between the former Governor, the Secretary of State, and the Attorney General are “special terms” within the meaning of the statute.
¶ 22. Nonetheless, the statutory language remains vague and gives little guidance as to what boundaries, if any, this or another court should give to such terms. The records sought by plaintiff are the “property of the state,” and the outgoing Governor is required to make “an itemized list” of the records and deposit them with the Secretary of State. 3 V.S.A. § 4(a). Nothing in that statute states that the outgoing Governor can condition or restrict public access to these state records. See id. Moreover, although in this case Governor Dean and the Secretary of State had an agreement on public access with respect to the records in question, nothing in the words “special terms” suggests an agreement is necessary to restrict access. 3 Y.S.A. § 117(g)(9). Nor
¶ 23. Further, nothing in the statute suggests that there is any limit on the “special terms” that are imposed. The majority suggests that a limit might be found in the words “restricting their use,” apparently on the theory that a prohibition is not a restriction. 3 V.S.A. § 117(g)(9). But under this theory, a long closure period — for example, for fifty years — would be a restriction and not a prohibition. Moreover,, the terminology of this phrase “restricting their use” is itself an example of loose drafting because it speaks of restriction on “use” and not “access.” Id. In fact, it was the wording of this phrase that led the trial judge to rule that 3 V.S.A. § 117(g)(9) does not authorize a. restriction on “access” but only a restriction on “use.”
¶ 24. Nor does the statutory language require a “special term” to implement exceptions to public access under the Public Records Act. In this case, Governor Dean has claimed that the records withheld from public access fall within executive privilege, but nothing in the language of 3 V.S.A. § 117(g)(9) actually requires any documents be subject to executive privilege, or any other special requirement, before special terms can be made to restrict their use. In this case, although Governor Dean claims executive privilege, we have no way of determining the validity of that claim because no review is possible. Certainly, the quantity of records being withheld suggests a great risk that the claim of executive privilege is overbroad. Regardless, even if a record requester could identify a particular record with specificity, and prove an executive privilege claim to be invalid, the agreement would nonetheless continue to prevent public access to the record during the ten-year period because the statutory language does not require that executive privilege actually be applicable. My main point is, however, that under the current statute the Governor could delay access merely to avoid embarrassment, not because he has a legitimate public records exception claim, and that delay would still be valid under the statutory terms.
¶ 25. Finally, while it is tempting to see this dispute as unusual, even unique, the ramifications of our decision are not. The State Archives Act applies to any archival records, defined broadly as public records “which have continuing legal, administrative, or historic value.” Id. § 117(a)(2). Under this, definition, almost any public record is an archival record, whether or not the Governor had anything to do with
¶ 26. There are equally serious deficiencies in the coverage of the Public Records Act. After this decision regarding the State Archives Act, the records requester can avoid possible future access restrictions by simply making a public access request while the Governor is still in office. Given the nature of campaigns for national office, it was apparent at the end of Governor Dean’s term that he would campaign for national office, and the request we are dealing with was initiated by a simple letter. See Herald Ass’n, Inc. v. Dean,
¶ 27. We are dealing with between 550,000 and 600,000 pages of documents. The record doesn’t tell us how many separate documents this represents, but it is obvious the number is staggering. The cost and time of cataloging, describing, and claiming exemption (or not) for these documents is equally staggering. The Deputy Secretary of State estimated that the staff time necessary to catalog and create a summary description of the sealed documents was over 4200 hours. This did not include the time necessary to create the assertion of privilege or exemption for each document or the time to litigate any resulting disputes.
¶ 28. The Public Records Act provides that even in exceptional cases a ruling on a record request must be made within twelve business days.
¶ 29. The State argued here that plaintiff, Judicial Watch, should be required to pay up-front the cost of the staff time to catalog and describe the records, a cost initially estimated to approach $115,000, and then to reimburse the state for the cost of presenting a written justification of each claim of executive privilege. The superior court denied this request because the statute allows the state to “charge and collect the cost of staff time associated with complying with a request for a copy of a public record.” 1 V.S.A. § 316(c). The court held that the statute did not allow the state to charge staff time to resist public access: “Such an expansive interpretation could cripple cumbersome requests with unnecessarily high expenses. That the legislature could not possibly have intended; the Act is designed to encourage access, not to thwart it.”
¶ 30. It is impossible to estimate the time and cost that would be expended to litigate claims of executive privilege and other public access exemptions in records of this type and number. Certainly, our decisions on executive privilege make clear that a complex judgment, affected by a number of factors, must be made on each record. See, e.g., Herald Ass’n, Inc.,
(b) Except as to cases the court considers of greater importance, proceedings before the superior court, as authorized by this section, and appeals therefrom, take precedence on the docket over all cases and shall be assigned for hearing and trial or for argument at the earliest practicable date and expedited in every way.
¶ 31.1 do not think the Legislature has come to grips with a record request of this magnitude. The time limits in the statute are wholly unrealistic for a request of this type, and however we might have ruled on the dispute over funding to comply with the statutory mandate, we would have been extrapolating from the statutory language to a situation not clearly covered by the statute.
¶ 32. It would be easy for us to say that the circumstances that created this dispute are unique and are not likely to recur once we announce this decision. I think such a reaction would be shortsighted and overly optimistic. Indeed, the exposure from this controversy may make future requests and cases more likely. While I agree with the majority decision based on the statutes we are required to implement, I don’t think that the answers in future cases are predictable based on the current state of these statutes. I urge the Legislature to review and clarify them so we have a clear road map for the future.
In spite of the broad definition, most public records end up in the custody of the Commissioner of Buildings and General Services pursuant to chapter 11 of Title 22, 22 V.S.A. §§ 451-457. For example, the vast majority of judiciary case records have gone to the Commissioner and not to the Secretary of State, although they have continuing “legal” value. See Vermont Judicial Records Program: Vermont Archival Judicial Records (ninety-six boxes of Vermont judicial records are archived with the Secretary of State, while 13,500 cubic feet of judicial records are stored at the Vermont Records Center operated by the Commissioner of Buildings and General Services), available at http://vermont-archives.org/recordsArrp/reports/vteomp.htm (last visited Oct. 31, 2005). Presumably, the Public Records Act and, in the case of the judiciary, the Rules for Public Access to Court Records, governs public access to these records. But, even this conclusion is debatable under the vague statutes.
