KALEB LEE BASEY v. STATE OF ALASKA, DEPARTMENT OF PUBLIC SAFETY, DIVISION OF ALASKA STATE TROOPERS, BUREAU OF INVESTIGATIONS
Supreme Court No. S-17099
THE SUPREME COURT OF THE STATE OF ALASKA
April 24, 2020
7446
Superior Court No. 4FA-16-02509 CI
Notice: This opinion is subject to correction before publication in the PACIFIC REPORTER. Readers are requested to bring errors to the attention of the Clerk of the Appellate Courts, 303 K Street, Anchorage, Alaska 99501, phone (907) 264-0608, fax (907) 264-0878, email corrections@akcourts.us.
OPINION
Appeal from the Superior Court of the State of Alaska, Fourth Judicial District, Fairbanks, Douglas Blankenship, Judge.
Appearances: Kaleb Lee Basey, pro se, Lexington, Kentucky, Appellant. John J. Novak and Kimberly D. Rodgers, Assistant Attorneys General, Anchorage, and Kevin G. Clarkson, Attorney General, Juneau, for Appellee. D. John McKay, Law Office of D. John McKay, Anchorage, for Amici Curiae Gray Television, Inc., d/b/a KTUU-TV and KTVF-TV; Anchorage Daily News; and Reporters Committee for Freedom of the Press. Susan Orlansky, ACLU Cooperating Attorney, Reeves Amodio LLC, Anchorage, and Stephen Koteff and Joshua A. Decker, ACLU of Alaska Foundation, Anchorage, for Amicus Curiae ACLU of Alaska Foundation. Khalial Withen and Kevin Dougherty, Alaska District Council of Laborers, Anchorage, for Amici Curiae Public Employees Local 71 and APEA/AFT.
Before: Bolger, Chief Justice, Winfree, Stowers, Maassen, and Carney, Justices.
I. INTRODUCTION
The question in this appeal is whether state employee disciplinary records are confidential “personnel records” under the State Personnel Act and therefore not subject to disclosure under the Alaska Public Records Act. We conclude that, with one express statutory exception not relevant to this case, the answer is “yes.”
II. FACTS AND PROCEEDINGS
A. Basey‘s Initial Public Records Requests, Their Denial, And Basey‘s Initial Superior Court Proceeding
Kaleb Lee Basey, who was convicted of federal crimes,1 filed a federal civil rights lawsuit in January 2016 against several state troopers based on their actions during his investigation and arrest.2 In September Basey submitted two public records requests to the Alaska State Troopers.3 Basey‘s records requests sought various documents related to the investigation of his case, including two troopers’ disciplinary records.
Basey‘s requests were promptly denied on the ground that the information pertained to pending litigation.4 Basey appealed to the agency head.5 The requests again were promptly denied. The denial letter stated that because the records pertained to Basey‘s pending litigation, under
Basey filed a complaint for injunctive relief in October, seeking an order directing the requested records’ disclosure.6 The State responded by seeking dismissal of the lawsuit, arguing that
B. Previous Appeal
Basey — self-represented — appealed.9 In December 2017 we reversed the superior court‘s dismissal order, holding that neither disclosure exception the State had cited applied to Basey‘s request.10 We concluded that “[t]he litigation exception in
C. Motion To Compel
Basey moved to compel production of the requested records in January 2018. The State responded by agreeing to produce certain records, denying the existence of others, and asserting that the requested disciplinary records were private personnel records exempt from disclosure under
The superior court held a hearing on Basey‘s motion in May 2018. The court stated its view that only information listed in
D. New Appeal; Invitation To Amici Curiae
Basey — self-represented — again appeals. After the initial briefing, we invited various organizations to participate as amici curiae and submit briefs discussing the following two questions:
1. As a matter of statutory interpretation, are state employee disciplinary records confidential “personnel records” under AS 39.25.080(a) of the State Personnel Act, not subject to disclosure under the Alaska Public Records Act?2. If the records are not confidential “personnel records” under
AS 39.25.080(a) of the State Personnel Act, do state employees have a state constitutional privacy interest playing a role in whether those records might be produced under the Alaska Public Records Act? If so, what should be the balancing considerations?17
A brief filed jointly by Gray Television, Inc., Anchorage Daily News, and Reporters Committee for Freedom of the Press (collectively Press Amici) and a brief filed by the American Civil Liberties Union of Alaska Foundation (ACLU) support Basey‘s position. Two local public employees’ unions — Public Employees Local 71 and Alaska Public Employees’ Association/Alaska Federation of Teachers — filed a joint brief supporting the State‘s position.18 Basey and the State filed supplemental briefs responding to the amici curiae‘s arguments.
III. DISCUSSION
A. Waiver Rule For Public Records Act; Law Of The Case
1. Per se waiver
Basey first contends that the superior court erred by failing to hold that the State had waived its right to assert an additional disclosure exemption following the case‘s remand to the superior court. He argues that we should adopt a waiver rule similar to the rule for federal Freedom of Information Act (FOIA) cases. He acknowledges that no timeliness rule for asserting exemptions under Alaska‘s Public Records Act has been adopted by either us or the legislature, but he contends that we should follow the lead of several federal courts and “judicially establish[] such a rule.”
The D.C. Circuit Court of Appeals has held that, in FOIA cases, “as a general rule, [the government] must assert all exemptions at the same time, in the original district court proceedings.”19 This general waiver rule is based in part on FOIA‘s statutory goals: promoting the “efficient, prompt, and full disclosure of information.”20 Despite similar policy goals in the Public Records Act, we decline to adopt a similar waiver rule in this context.
There is a material difference between FOIA and the statute the State relies on. Most FOIA exemptions are discretionary,21 but Alaska‘s State Personnel Act bars the State from disclosing confidential personnel records.22 Holding that an agency has waived the right to assert a discretionary disclosure exemption is a very different matter from holding that an agency cannot assert its duty to comply with a state law. We cannot adopt a rule requiring the State to violate a law — and possibly prejudicing State employees not involved in the litigation — by disclosing employees’ personnel records because the State failed to timely invoke the relevant statute.
But we also recognize that serial, delayed objections are not consistent with the Public Records Act‘s objectives. We have acknowledged that the Public Records Act “articulate[s]
Though we do not adopt a per se waiver rule, procedural rules may prevent serial objections in some public records cases. For example, the State may be required in its answer to raise all reasons a records request may not be honored.26 And superior courts have broad discretion to both implement special procedures27 and impose sanctions in response to needless delay from serial objections.28
2. Law of the case doctrine
Basey also contends that the “law of the case doctrine” prevents the State from invoking a new disclosure exception. The law of the case doctrine is based on the principle of stare decisis,29 meaning “to stand by things decided“; this principle requires that courts follow previous judicial decisions, known as “precedent,” when the same issues again arise.30 A similar principle, res judicata, bars the same people from bringing a second lawsuit on a claim that was or could have been raised in a prior lawsuit.31 And, like these two doctrines, the law of the case doctrine generally precludes reconsideration of issues that already were adjudicated in a prior appeal.32 The doctrine applies to issues directly addressed in a prior appeal, to issues “necessarily inhering” in a prior appellate decision, and to issues that could have been raised in a prior appeal.33
The law of the case doctrine is inapplicable here. The particular issue being appealed — whether state employee disciplinary records are confidential “personnel records” exempt from disclosure — had not been ruled on by the superior court before the first appeal, and we did not decide it in the first appeal. Because the State did not assert the additional exception until after
B. Statutory Interpretation34
The Alaska Public Records Act establishes a right of every person to inspect public agency records in the state; this right is subject to certain enumerated exceptions, including when the record is “required to be kept confidential by a federal law or regulation or by state law.”35 The State argues that the troopers’ disciplinary records Basey requested are required to be kept confidential under
The issue before us is whether general disciplinary records are “personnel records” under
1. Plain language
Alaska Statute 39.25.080‘s plain language indicates that “personnel records” is meant to be interpreted broadly to include disciplinary records. The term “personnel records” is not defined in the Act, but absent “a definition, we construe statutory terms according to their common meaning.”41 The word “personnel” can mean “[t]he people employed by or active in an organization, business, or service” or “[t]he department of human resources in an organization.”42 Either definition supports including disciplinary records. If the term encompasses any record related to an employee or maintained by a human resources department, then surely it includes disciplinary records.
And — assuming ambiguity — the statutory text as a whole supports giving “personnel records” a broad interpretation. As noted,
(1) the names and position titles of all state employees;
(2) the position held by a state employee;
(3) prior positions held by a state employee;
(4) whether a state employee is in the classified, partially exempt, or exempt service;
(5) the dates of appointment and separation of a state employee;
(6) the compensation authorized for a state employee; and
(7) whether a state employee has been dismissed or disciplined for a violation of
AS 39.25.160(l) (interference or failure to cooperate with the Legislative Budget and Audit Committee).45
If the items listed in subsection (b) were not personnel records, subsection (a) would not prohibit disclosure and there would be no reason for subsection (b)‘s exceptions.
The statute‘s plain language indicates that only the types of personnel records listed in subsection (b) may be disclosed. The expressio unius est exclusio alterius canon of statutory construction “establishes the inference that, where certain things are designated in a statute, ‘all omissions should be understood as exclusions.’ The maxim . . . is essentially an application of common sense and logic.”46 Given that a specific type of disciplinary record may be disclosed,47 the logical inference is that under the statute all disciplinary records are personnel records. Absence of other disciplinary records from the list of disclosable personnel records implies that all other disciplinary records must be confidential.
We are unpersuaded by the ACLU‘s argument, citing Alaska State Commission for Human Rights v. Anderson, that the expressio unius canon is “less persuasive when applied to two acts passed far apart in time.”48 In contrast to the case the ACLU primarily relies on,49 in this case we are required to interpret subsections of the same statute rather than two entirely different statutes. And although subsection (b)(7) — relating to disclosable disciplinary records — was adopted after the rest of the statute, that fact weighs in favor of applying the canon here. The logical reason the legislature singled out one type of disciplinary record as an exception to the general non-disclosure rule is that it believed the records otherwise would be confidential. We also are unconvinced by the ACLU‘s argument that the inclusion of disciplinary records within the scope of
2. Legislative history and purpose
The State convincingly argues that the legislative history and purpose of
Current law provides that the state personnel records are public except for those which the rules require to be kept confidential. . . . The commission decided that it was more appropriate to indicate what materials actually are open to the public, and to make the remaining records confidential. The public materials are listed in subsection (b).51
Memoranda written by the commission‘s administrative and research assistant indicate that the amendments were meant to be consistent with the then-in-effect Personnel Rules, making all except a few specific personnel records confidential.52 These statements support the State‘s argument that
The legislative history also shows that existing practice had been to keep disciplinary records confidential and that the legislature sought to maintain that practice when amending
The State asserts that the Personnel Act‘s purpose also supports the State‘s position. The Act‘s purpose is “to establish a system of personnel administration based upon the merit principle and adapted to the requirements of the state to the end that persons best qualified to perform the functions of the state will be employed, and that an effective career service will be encouraged, developed, and maintained.”55 The State contends that “[c]onfidentiality ‘likely produces candor’ ”56 and that employees more likely will admit mistakes or explain their actions if they do not risk public disclosure and potential embarrassment. The State thus presents a legitimate policy of maintaining employee disciplinary records’ confidentiality as a critical component of the “evaluation and correction process.”
Although the ACLU is correct that “[t]he Public Records Act reflects the legislature‘s commitment to ensure that government affairs
3. Case law
Basey, the ACLU, and the Press Amici argue that our case law supports Basey‘s position that disciplinary records are not “personnel records.” They cite Alaska Wildlife Alliance v. Rue;58 International Ass‘n of Fire Fighters, Local 1264 v. Municipality of Anchorage;59 Jones v. Jennings;60 and Doe v. Alaska Superior Court61 for the proposition that we have narrowly defined “personnel records” to include only those records revealing information about an employee‘s personal life. We reject this argument and interpret the statute according to its plain language.
In Alaska Wildlife Alliance we addressed whether employee time sheets were “personnel records” under
In sum, Alaska Wildlife Alliance looked less at statutory interpretation, where the answer lies, and instead to an unrelated and irrelevant contrast of what could be considered personal and non-personal information. In light of our statutory analysis of
The other cases Basey and the amici cite similarly fail to support Basey‘s argument. Doe concluded that
4. Conclusion
Based on the statute‘s plain language, legislative history, and statutory purpose, we conclude that state employee disciplinary records are confidential “personnel records” under the State Personnel Act. Because disciplinary records are “personnel
IV. CONCLUSION
We AFFIRM the superior court‘s decision.
