MCDOUGALD v. GREENE.
No. 2019-0677
Supreme Court of Ohio
September 2, 2020
Slip Opinion No. 2020-Ohio-4268
DEWINE, J.
[Until this opinion appears in the Ohio Official Reports advance sheets, it may be cited as McDougald v. Greene, Slip Opinion No. 2020-Ohio-4268.]
NOTICE
This slip opinion is subject to formal revision before it is published in an advance sheet of the Ohio Official Reports. Readers are requested to promptly notify the Reporter of Decisions, Supreme Court of Ohio, 65 South Front Street, Columbus, Ohio 43215, of any typographical or other formal errors in the opinion, in order that corrections may be made before the opinion is published.
SLIP OPINION NO. 2020-OHIO-4268
MCDOUGALD v. GREENE.
[Until this opinion appears in the Ohio Official Reports advance sheets, it may be cited as McDougald v. Greene, Slip Opinion No. 2020-Ohio-4268.]
Mandamus—Public Records Act—
(No. 2019-0677—Submitted February 11, 2020—Decided September 2, 2020.)
IN MANDAMUS.
{¶ 1} In this mandamus case, Jerone McDougald, who was an inmate at the Southern Ohio Correctional Facility, requested copies of the prison‘s most recent shift-assignment duty rosters, documents that detailed the assignment of prison guards to various posts within the prison. Larry Greene, the prison‘s public-records custodian, turned over the records, but he redacted almost all the information, leaving only the page headings, dates, and shift-supervisor signature lines. We must decide whether, by redacting almost all of the information in the documents, Greene violated his duties under Ohio‘s Public Records Act,
Background
{¶ 2} In February 2019, McDougald sent Greene a prison kite requesting the prison‘s “most current [shift-assignment] duty rosters” for the first, second, third, and fourth shifts at the prison. A few weeks later, Greene responded that he would provide copies of the records if McDougald paid 40 cents for the copies. But, Greene warned, the records would be heavily redacted, leaving only the “page headings, dates, and shift supervisor signature lines.” Greene also wrote that “the legal basis for these redactions are ‘security record,’ per Ohio Revised Code (RC)
{¶ 3} We ordered Greene to submit unredacted copies of the shift-assignment duty rosters for in camera review. 156 Ohio St.3d 1469, 2019-Ohio-2953, 126 N.E.3d 1184. Each roster is a two-page form. The first page divulges the identity of the captain and lieutenant on duty, the names of officers assigned to various locations around the prison, and the names of officers assigned as “escorts.” The first page also lists names under categories such as “good days” and “other absences.” At the bottom of the page are handwritten notes, which include things like staff announcements, security reminders, or incident updates. The second page provides totals for the number of officers assigned to “permanent posts” and “additional posts.” It also provides tallies related to various reasons for absences and indicates officer shortages or overages. The document is then signed by the shift supervisor.
Analysis
{¶ 4} Under
{¶ 5} The parties do not dispute that the prison is a public office subject to the Public Records Act. But, relevant here, the Public Records Act contains several exemptions that exclude certain records from disclosure. In his briefing, Greene claims that two of those exemptions—the “infrastructure-records exemption,”
Infrastructure Records
{¶ 6} We begin with the infrastructure-records exemption.
{¶ 7} Greene does not meaningfully explain how the assignment of guards to specific areas of the prison satisfies this statutory definition. And it is hard to see how he could. It is not even facially plausible to think that guard assignments constitute the “configuration of a critical system,” id. And guard locations have little similarity to the systems that the statute identifies as examples that fall under this exemption—communication, computer, electrical, mechanical, ventilation, water, and plumbing systems. Nor does the assignment
{¶ 8} Nevertheless, Greene insists that the documents showing the location of the guards are infrastructure records based on an isolated bit of dicta from State ex rel. Rogers v. Dept. of Rehab. & Correction, 155 Ohio St.3d 545, 2018-Ohio-5111, 122 N.E.3d 1208, ¶ 12. Rogers addressed whether security-camera footage of a use-of-force incident was exempt under the infrastructure-records exemption. This court concluded that because the video showed no more than what could have been gleaned from a simple floor plan, the footage was not an infrastructure record. But this court went on to comment that the footage did not “show the location of any fire or other alarms, correctional-officer posts, or the configuration of any other critical system.” (Emphasis added.) Id. From this isolated reference to “correctional-officer posts,” Greene would have us conclude that a document identifying the location of guards in a prison must be an infrastructure record. But Rogers provides no analysis of how or when correctional-officer posts constitute infrastructure records. And picking up isolated bits of dicta and running with them without returning to the statutory text can lead to legal gobbledygook, in much the same way that a game of telephone can lead to miscommunication. Because there is no basis in the statutory text for concluding that the duty rosters are infrastructure records, we reject Greene‘s argument.
Security Records
{¶ 9} Next, we turn to the security-records exemption. Among the items exempt from disclosure are “security records,” which includes “[a]ny record that contains information directly used for protecting or maintaining the security of a public office against attack, interference, or sabotage.”
{¶ 10} To be sure, Greene‘s argument on this front is cursory, at best. Indeed, it consists of a single sentence asserting that the exemption applies. And his supporting affidavit doesn‘t do much to aid his argument. But for the fact that the relevance of the records to the security of the prison is apparent from the face of the documents, we might well reach a different result in this case. But as we have suggested in the past, a public-records custodian may meet his burden when the stated exemption upon which he relies is “based on risks
{¶ 11} This court‘s decision in State ex rel. Besser v. Ohio State Univ., 89 Ohio St.3d 396, 732 N.E.2d 373 (2000), is illustrative. Besser dealt with a request submitted to a state university for records regarding the university‘s acquisition of a hospital. The university asserted that the records constituted trade secrets and were protected from disclosure. This court found that the conclusory statements in the affidavit presented by the university were insufficient to establish that the exemption applied, and the court ordered the university to disclose most of the requested records.
{¶ 12} The dissent relies on Besser for the proposition that a custodian‘s failure to provide additional evidentiary support for a claimed public-records exemption mandates the disclosure of the records. But what the dissent fails to mention is that the evidentiary deficiencies notwithstanding, the court in Besser found that a limited portion of the records constituted trade secrets and were therefore exempt from disclosure, id. at 402, 404. Contrary to the dissent‘s claims, the Besser court did not consider additional evidence regarding the applicability of the trade-secret exemption to these documents. The court simply concluded that the documents “constitute trade secrets and are therefore exempt from disclosure under
{¶ 13} That rule makes sense, especially in this case. After all, the point of the security-records exemption is to protect other important public interests such as the safety and security of the public. And, at least when the applicability of the exemption is obvious from the face of the documents, this court will not sacrifice those interests simply because a party should have done a better job setting forth the obvious.
Conclusion
{¶ 14} For the foregoing reasons, we deny McDougald a writ of mandamus ordering Greene to disclose the records to him. Accordingly, we also deny McDougald‘s request for court costs and statutory damages. McDougald‘s motion to amend his complaint to correct the caption is denied as moot.
Writ denied.
O‘CONNOR, C.J., and FRENCH, FISCHER, and DONNELLY, JJ., concur.
STEWART, J., concurs in judgment only.
KENNEDY, J., dissents, with an opinion.
KENNEDY, J., dissenting.
{¶ 15} I dissent because I must. To meet its burden regarding the applicability of an exception to Ohio‘s Public Records Act,
{¶ 16} When a public-records request is denied,
{¶ 17} Here, respondent, Larry Greene, the public-records custodian at the Southern Ohio Correctional Facility (“SOCF“), denied the public-records request of relator, Jerone McDougald, but he failed to comply with the statutory process for explaining a refusal and ultimately failed to argue and present evidence to prove that the records sought by McDougald fit squarely within an exception to disclosure under
{¶ 18} In this case, Greene gave an insufficient and imprecise response when he initially denied the request from McDougald. And when McDougald filed a petition for a writ of mandamus in this court, Greene abandoned his original legal theory—that the records are security records—for another theory—that the records are infrastructure records. Even the majority agrees that the new theory fails.
{¶ 19} But the majority, playing the roles of evidentiary witness, advocate, and judge, rescues Greene, resuscitating and expanding on his original legal theory, presenting its own evidence showing how information in the shift-assignment duty rosters might be used to jeopardize the prison‘s security, and declaring that Greene has no legal duty to turn over the unredacted records to McDougald. But how McDougald might use the information is beside the point. Whether the security-record exception of
Facts
{¶ 20} In this case, McDougald sought SOCF‘s shift-assignment duty rosters for the first, second, third, and fourth shifts; he made his request in February 2019 and asked for the “most current” shift-assignment duty rosters. Greene responded to the request with shift-assignment duty rosters from March 7, 2019, that were nearly completely redacted. Only the number of the shift, the date, and the shift supervisor‘s signature were visible on all four shift-assignment documents. In a letter sent as part of his response, Greene explained the redactions in one sentence: “The legal basis for these redactions are ‘security record,’ per Ohio Revised Code (RC)
Instead, Greene‘s only developed argument is that the shift-assignment duty rosters are infrastructure records.
The shift-assignment duty rosters are not infrastructure records
{¶ 21} I agree with the majority that the shift-assignment duty rosters are not infrastructure records. Greene cites State ex rel. Rogers v. Dept. of Rehab. & Corr., 155 Ohio St.3d 545, 2018-Ohio-5111, 122 N.E.3d 1208, for the proposition that a list of correctional-officer posts qualifies as an infrastructure record and therefore is exempt from disclosure under
{¶ 22} An infrastructure record is defined as “any record that discloses the configuration of critical systems including, but not limited to, communication, computer, electrical, mechanical, ventilation, water, and plumbing systems, security codes, or the infrastructure or structural configuration of a building.”
{¶ 23} The General Assembly did not define the term configuration, but it did say that an infrastructure record “does not mean a simple floor plan that discloses only the spatial relationship of components of the building.” Id. Therefore, as used in
{¶ 24} The rosters are just that—rosters. They are a list of names and correctional-officers posts, some stated in full and some labeled by abbreviations. There
Greene has not demonstrated that the shift-assignment duty rosters are security records or plans for disturbance control
{¶ 25} If a record “contains information directly used for protecting or maintaining the security of a public office against attack, interference, or sabotage,” it qualifies as a security record under
{¶ 26} In Greene‘s letter to McDougald stating his reasons for the redactions, Greene claimed that the redactions were permissible because the records are security records pursuant to
{¶ 27} As far as the security-records exception is concerned, Greene gave it a cursory mention in one line of his merit brief, concentrating instead on the infrastructure-records exception. As set forth above, Greene‘s sole argument was a single sentence: “Furthermore, by the very definition asserted by the Relator in his Brief, the requested documents constitute a security record pursuant to
{¶ 28} While the majority acknowledges the deficiencies in Greene‘s brief, it nevertheless rescues him by relying on a “suggestion“—not a holding—from Rogers, 155 Ohio St.3d 545, 2018-Ohio-5111, 122 N.E.3d 1208. The actual thrust of this portion of the Rogers opinion is that when the government claims an exception to the release of public records, the government must prove the applicability of the exception. But the majority points to an aside that we made in Rogers to support its point. In Rogers, we said:
In another recent public-records case, we held that records documenting direct threats against the governor kept by the Department of Public Safety met the definition of “security records” under
R.C. 149.433(A) . However, we cautioned that the exception must be proved in each case: “This is not to say that all records involving criminal activity in or near a public building or concerning a public office or official are automatically ‘security records.’ The department and other agencies of state government cannot simply label a criminal or safety record a ‘security record’ and preclude itfrom release under the public-records law, without showing that it falls within the definition in R.C. 149.433 .” [State ex rel. Plunderbund Media, L.L.C. v. Born, 141 Ohio St.3d 422, 2014-Ohio-3679, 25 N.E.3d 988, ¶ 29]. And when a public office claims an exception based on risks that are not apparent within the records themselves, the office must provide more than conclusory statements in affidavits to support its claim. See State ex rel. Besser v. Ohio State Univ., 89 Ohio St.3d 396, 400-401, 732 N.E.2d 373 (2000).
{¶ 29} In Rogers, the point being made was that conclusory statements are not enough to prove an exception to disclosure of a public record. The majority first states that in Rogers, this court “suggested” that “a public-records custodian may meet his burden when the stated exemption upon which he relies is ‘based on risks that are * * * apparent within the records themselves,’ Rogers at ¶ 15.” (Ellipsis added in majority opinion.) Majority opinion at ¶ 10. But several paragraphs later, the majority opinion turns that suggestion into a rule. Id. at ¶ 13 (“That rule makes sense, especially in this case“).
{¶ 30} But taking the “suggestion” language outside the context of Besser is disingenuous. The majority cites no case in which this court has ever held that the applicability of the security-records exception applies when risks are apparent from the face of the records. Certainly, Besser does not stand for that proposition. In Besser, the Ohio State University (“OSU“) responded to a public-records request and provided some responsive records but withheld others due to the belief that the withheld records were exempt as trade secrets, intellectual-property records, and attorney-client privileged material—a security-records exception was not cited as a reason for withholding the records. Id. at 399. When the public-records requester challenged OSU‘s claimed exemptions, OSU made an argument before this court that the records could be withheld because they were either trade secrets or intellectual-property records. Id. at 377-381. We concluded that “OSU‘s reliance on conclusory affidavit statements is insufficient to satisfy its burden to identify and demonstrate that the records withheld and portions of records redacted are included in categories of protected information under
{¶ 31} Our analysis in Besser, 89 Ohio St.3d 396, 732 N.E.2d 373, focused on OSU‘s failure to satisfy its burden to prove that an exception to disclosure applied. OSU bore the burden of proof, and it failed to carry its burden. But here, in contrast, the majority flips the burden of proof and relieves Greene of having to prove that the security-records exception applies. In Besser, OSU at least presented a full argument and an affidavit, albeit
{¶ 32} In his brief before this court, Greene fails to explain why the definition of a security record is applicable to the shift-assignment duty rosters beyond a single sentence. And as recognized by the majority, Greene‘s affidavit does nothing to further that “argument.” Accordingly, this court has no evidence before it as to why the shift-assignment duty rosters are security records. Yet, in contrast to the decisions in Rogers, 155 Ohio St.3d 545, 2018-Ohio-5111, 122 N.E.3d 1208, and Besser, in which this court held the public offices to the burden of proof, the majority allows Greene to succeed in asserting a public-records exception, notwithstanding his failure to argue and prove with supporting evidence that the exception applies. The majority turns the burden of proof on its head.
{¶ 33} While the majority‘s ultimate decision may be well-intended, the unintended consequences of this case, especially its new rule, cannot be overstated. This case eviscerates Ohio‘s Public Records Act and the burden of proof placed on a public-records custodian to delineate the specific exception that applies and why. This case also holds that a public-records custodian need not specifically argue an exception before us or produce evidence upon which we must rely to determine whether an exception applies.
{¶ 34} Inherent in the fundamental policy of Ohio‘s Public Records Act is the promotion of an open government, not a restriction of it. State ex rel. The Miami Student v. Miami University, 79 Ohio St.3d 168, 171, 680 N.E.2d 956 (1997). Consistent with this policy is this court‘s longstanding determination that “[e]xceptions to disclosure must be strictly construed against the public record custodian, and the burden to establish an exception is on the custodian.” State ex rel. McGowan v. Cuyahoga Metro. Hous. Auth., 78 Ohio St.3d 518, 519, 678 N.E.2d 1388 (1997).
{¶ 35} Greene needed to do more. A “department * * * of state government cannot simply label a criminal or safety record a ‘security record’ and preclude it from release under the public-records law, without showing that it falls within the definition of
{¶ 36} The majority selects a rationale for Greene, deciding that the records requested contained “information directly used for protecting or maintaining the security of a public office against attack, interference, or sabotage” under
{¶ 37} The majority suggests that McDougald did not raise the issue of Greene‘s failure to meet his obligation under
{¶ 38} Therefore, I would fully grant McDougald a writ of mandamus and order Greene to provide him with unredacted copies of the shift-assignment duty rosters from March 7, 2019.
Statutory damages
{¶ 39} I would hold that McDougald meets the initial statutory criteria for an award of statutory damages but that he should not ultimately receive any statutory damages. To be eligible for an award of statutory damages, the requester must transmit the public-records request by “hand delivery, electronic submission, or certified mail.”
{¶ 40} Although McDougald is eligible to receive an award of statutory damages because he transmitted his request by hand delivery, that does not end the inquiry. Pursuant to
{¶ 41} A redaction is considered a denial as to the redacted information.
{¶ 42} Statutory damages are calculated at the rate of $100 “for each business day during which the public office or person responsible for the requested public records failed” to comply with an obligation under
{¶ 43} However, a court may reduce or decline to award statutory damages if it finds that based on the law as it existed at the time the public office allegedly failed to comply with
{¶ 44} Based on those reduction factors, I would deny McDougald‘s request for statutory damages because a well-informed person responsible for the requested public records here could have reasonably believed that the shift-assignment duty rosters qualify as security records under
Conclusion
{¶ 45} Through a linguistic sleight of hand, the majority creates a “suggestion” from one of our cases and converts it into a new “rule” not found in Ohio‘s Public Records Act that an exception to the disclosure of a public record might apply based on perceived risks of how a requester might use the information in the record. But that new “rule” runs contrary to the plain language of
{¶ 46} But more distressing, the majority abandons its “role of neutral arbiter of matters the parties present,” Greenlaw v. United States, 554 U.S. 237, 243, 128 S.Ct. 2559, 171 L.Ed.2d 399 (2008), by injecting new arguments into this case and relying on “evidence” that does not exist. “‘The premise of our adversarial system is that appellate courts do not sit as self-directed boards of legal inquiry and research, but [preside] essentially as arbiters of legal questions presented and argued by the parties before them.‘” Natl. Aeronautics & Space Administration v. Nelson, 562 U.S. 134, 147, 131 S.Ct. 746, 178 L.Ed.2d 667 (2011), fn. 10, quoting Carducci v. Regan, 714 F.2d 171, 177 (D.C.Cir.1983). As Judge Richard Posner once explained, “we cannot write a party‘s brief, pronounce ourselves convinced by it, and so rule in the party‘s favor. That‘s not how an adversarial system of adjudication works.” Xue Juan Chen v. Holder, 737 F.3d 1084, 1085 (7th Cir.2013).
{¶ 47} Yet here, the majority willingly accepts the roles of being an evidentiary witness, advocate, and judge in providing an explanation for Greene‘s redactions and purporting to prove the validity of those redactions using its own evidence to decide how McDougald could use the information in the shift-assignment duty rosters. That argument and evidence, by itself, is insufficient, because the security-record exception would apply in this case only if SOCF actually uses the information in the shift-assignment duty rosters to protect or maintain the security of its facilities. Because Greene failed to argue and present evidence to prove that shift-assignment duty rosters fit squarely within that exception or any other, I would order Greene to provide unredacted copies of the shift-assignment duty rosters to McDougald. But I would not award McDougald statutory damages.
Jerone McDougald, pro se.
Dave Yost, Attorney General, and Jared S. Yee, Assistant Attorney General, for respondent.