DocketNumber: No. 87656-8
Citation Numbers: 177 Wash. 2d 417, 327 P.3d 600
Judges: Fairhurst, González, Johnson, Korsmo, Madsen, Owens, Stephens
Filed Date: 5/9/2013
Status: Precedential
Modified Date: 11/16/2024
¶1 This direct appeal concerns the public disclosure of Seattle Housing Authority (SHA) grievance hearing decisions pursuant to the Public Records Act (PRA), chapter 42.56 RCW SHA hearing decisions contain
I. FACTS AND PROCEDURAL HISTORY
¶2 SHA is a local housing authority that provides federally subsidized public housing in Seattle. Disputes between individual tenants and SHA are resolved through a grievance hearing process resulting in a written decision from a hearing officer. Pursuant to applicable federal regulations, an unredacted copy of each decision is placed in the tenant’s file at SHA and a separate redacted copy is placed in a central file. See 24 C.F.R. § 966.57(a). RAC is a group of SHA tenant leaders seeking copies of all SHA grievance hearing decisions dated June 17, 2007, or later. On June 17, 2010, RAC made a request under the PRA for copies of all such hearing decisions and also requested that such copies be provided in electronic format to minimize reproduction costs.
¶3 SHA produced redacted hard copies of the hearing decisions without explanation or comment. RAC then complained that SHA had failed to explain its redactions, that
¶4 RAC then sought relief in superior court under the PRA, seeking costs, fees, and statutory damages, and an injunction requiring SHA to produce copies of the hearing decisions (without any unauthorized redactions and in electronic format). RAC also sought an injunction ordering SHA to establish (1) published procedures for requesting documents, (2) a published list of relevant PRA exemptions, (3) a policy for redacting grievance hearing decisions, (4) a policy for providing explanations for withholding or redacting documents, and (5) a policy of providing records in electronic format when requested. SHA argued in part that the unredacted hearing decisions are not subject to the disclosure or redaction requirements of the PRA and that it already disclosed the redacted decisions in full.
¶5 The trial court granted RAC the relief it requested. The trial court first ordered SHA to produce “all grievance hearing decisions subject to RAC’s request” with “[o]nly names and identifying information of SHA tenants . . . redacted,” with a code or marks to distinguish among redacted items, and in electronic format. Clerk’s Papers at 171. In a subsequent order, the trial court also directed SHA to pay statutory damages at a rate of $25 per day, to publish procedures for requesting records, to publish a list of relevant exemptions, to establish a policy for redacting grievance hearing decisions, to establish a policy for providing written explanations whenever withholding records under the PRA, and to provide electronic records when requested.
¶6 SHA appealed, and the case was certified and transferred to this court. SHA argues (1) that the unredacted
II. STANDARD OF REVIEW
¶7 Agency action taken or challenged under the PRA is reviewed de novo. RCW 42.56.550(3); PAWS II, 125 Wn.2d at 252. The burden is on the agency to establish that an exemption to production applies under the PRA. RCW 42.56.550(1). A trial court’s decision to grant an injunction and its decision regarding the terms of the injunction are reviewed for abuse of discretion. Kucera v. Dep’t of Transp., 140 Wn.2d 200, 209, 995 P.2d 63 (2000).
III. ANALYSIS
¶8 Under the broad provisions of the PRA, SHA’s unredacted hearing decisions must be redacted and produced. SHA operates as a local agency in cooperation with the federal Department of Housing and Urban Development (HUD). Although SHA is subject to limited federal regulations, SHA also remains subject to state laws such as the PRA. The PRA promotes open government by requiring disclosure of public records upon request. The PRA applies to SHA’s unredacted grievance decisions, and thus the trial court properly ordered SHA to redact and produce those documents. The trial court also acted within its discretion
A. Legal Background
1. Local Housing Authorities and Cooperative Federalism
¶9 SHA is a local housing authority that operates within an established framework of federal and state cooperation. The United States Housing Act of 1937 allows for federal assistance to local housing authorities while maintaining and promoting state and local control. See 42 U.S.C. § 1437f(b)(l) (authorizing “annual contributions contracts” with local housing authorities); 42 U.S.C. § 1437(a)(1)(C) (establishing policy of “vest[ing] in public housing agencies that perform well[ ] the maximum amount of responsibility and flexibility in program administration”). This sort of framework, “in which state agencies are given broad responsibility and latitude in administering welfare assistance programs,” has been described as a form of “ ‘cooperative federalism.’ ” Turner v. Perales, 869 F.2d 140, 141 (2d Cir. 1989); see also King v. Smith, 392 U.S. 309, 316-17, 88 S. Ct. 2128, 20 L. Ed. 2d 1118 (1968); Shapiro v. Thompson, 394 U.S. 618, 645, 89 S. Ct. 1322, 22 L. Ed. 2d 600 (1969) (Warren, C.J., dissenting) (“Federal entry into the welfare area can ... be best described as a major experiment in ‘cooperative federalism,’ combining state and federal participation to solve the problems of the depression.” (citation omitted)), overruled on unrelated grounds in Edelman v. Jordan, 415 U.S. 651, 671, 94 S. Ct. 1347, 39 L. Ed. 2d 662 (1974). The Washington State Legislature authorized the creation of local housing authorities such as SHA, see RCW 35.82.040, and also has authorized such local housing authorities to “do any and all things necessary or desirable to secure the financial aid or cooperation of the federal government,” RCW 35.82.200(1). Accordingly, SHA has co
¶10 SHA’s dispute resolution process must comply with relevant federal regulations. Specifically, disputes between individual tenants and SHA must be resolved through a grievance hearing process established pursuant to 42 U.S.C. § 1437d(k) and 24 C.F.R. § 966. Under 24 C.F.R. § 966.57, the secretary of HUD has required public housing authorities (PHAs) such as SHA to ensure that disputes are resolved by hearing officers who must provide written decisions. The federal regulations also require PHAs to ensure that one copy of each written decision is “retain [ed] ... in the tenant’s folder” and another copy “with all names and identifying references deleted” is on file and “made available for inspection by a prospective complainant, his representative, or the hearing panel or hearing officer.” 24 C.F.R. § 966.57(a). A “complainant” is defined as “any tenant whose grievance is presented to the PHA,” and a “grievance” is defined as “any dispute which a tenant may have [under] the individual tenant’s lease or PHA regulations ...” 24 C.F.R. § 966.53(a), (b). Pursuant to these regulations, SHA retains unredacted copies of hearing decisions in individual tenant files and also retains a central file of redacted hearing decisions. The dispute in this case arises out of RAC’s request for disclosure of these documents.
f 11 SHA remains subject to state law. State law establishes local housing authorities in the first place, defines their powers and obligations, and addresses various ancillary matters related to their operation. See ch. 35.82 RCW (housing authorities law). Thus, state law applies to SHA except insofar as federal law has preempted a given state law. See, e.g., PAWS II, 125 Wn.2d at 265.
¶12 The PRA is a “strongly worded mandate for broad disclosure of public records.” Hearst Corp. v. Hoppe, 90 Wn.2d 123, 127, 580 P.2d 246 (1978). The PRA is to be “liberally construed and its exemptions narrowly construed ... to assure that the public interest will be fully protected.” RCW 42.56.030. Our interpretation of the PRA’s provisions will continue to be grounded in the PRA’s underlying policy and standard of construction. We will also avoid absurd results. Hangartner v. City of Seattle, 151 Wn.2d 439, 448, 90 P.3d 26 (2004). In this difficult area of the law, we endeavor to provide clear and workable guidance to agencies insofar as possible. See Bellevue John Does 1-11 v. Bellevue Sch. Dist. No. 405, 164 Wn.2d 199, 218-19, 189 P.3d 139 (2008).
¶13 The PRA requires state and local agencies to “make available for public inspection and copying all public records, unless the record falls within the specific exemptions of [the PRA] or other statute which exempts or prohibits disclosure of specific information or records.” RCW 42.56-.070(1). A “public record” is defined broadly to include “any writing containing information relating to the conduct of government or [a governmental function]” that is “prepared, owned, used, or retained” by any state or local agency. RCW 42.56.010(3); see also Confederated Tribes of Chehalis Reservation v. Johnson, 135 Wn.2d 734, 746-47, 958 P.2d 260 (1998).
¶14 The PRA requires each relevant agency to facilitate the full disclosure of public records to interested parties. An agency must publish its methods of disclosure and the rules that will govern its disclosure of public records. RCW 42.56.040(1). A requester cannot be required to comply with any such rules not published unless the requester receives actual and timely notice. RCW 42.56-.040(2). More generally, an agency’s applicable rules and regulations must be reasonable and must provide full
¶15 The PRA’s mandate for broad disclosure is not absolute. The PRA contains numerous exemptions that protect certain information or records from disclosure, and the PRA also incorporates any “other statute” that prohibits disclosure of information or records. See RCW 42.56.070, .230-.480, .600-.610. The PRA’s exemptions are provided solely to protect relevant privacy rights or vital governmental interests that sometimes outweigh the PRA’s broad policy in favor of disclosing public records. See Limstrom v. Ladenburg, 136 Wn.2d 595, 607, 963 P.2d 869 (1998).
¶16 Exemptions are to be narrowly construed and limited in effect. First, the PRA’s purpose of open government remains paramount, and thus, the PRA directs that its exemptions must be narrowly construed. RCW 42.56.030. Second, the PRA provides that exemptions “are inapplicable to the extent that information, the disclosure of which would violate personal privacy or vital governmental interests, can
¶18 In the case of a categorical exemption, the legislature has established a presumption that the specified type of information or record generally warrants exemption. That presumption can be overcome only if a court finds the exemption is “clearly unnecessary” to protect any privacy rights or vital governmental interests in a particular case. RCW 42.56.210(2). Otherwise, an agency’s application of a categorical exemption must be upheld so long as the agency has accurately identified the nature of the specified information or record. See, e.g., Lindeman v. Kelso Sch. Dist. No. 458, 162 Wn.2d 196, 201, 172 P.3d 329 (2007).
¶19 In the case of a conditional exemption, specified information or records must be protected, but in furtherance of only certain identified interests, and only insofar as those identified interests are demonstrably threatened in a given case. Application of a conditional exemption will be upheld if the agency has accurately identified the nature of the specified information or record and properly determined that an identified interest must be protected in the given case. See, e.g., Bellevue John Does, 164 Wn.2d at 210.
¶21 The blurry distinction between categorical and conditional exemptions should not be surprising, given that the
¶22 In sum, an agency facing a request for disclosure under the PRA should take the following steps: First,
¶24 The foregoing discussion should provide adequate guidance to agencies such as SHA in responding to requests for public records. Taking into consideration both the relevant context of cooperative federalism and the overarching framework of the PRA, we now turn to whether SHA complied with the PRA in responding to RAC’s request for grievance hearing decisions.
B. Application
¶25 SHA violated the PRA. Initially, the silent withholding of the unredacted grievance hearing decisions was a violation. But even beyond SHA’s improper silence, the withholding itself was also in violation of the PRA. The heart of SHA’s position — that the unredacted grievance hearing decisions within tenant files are entirely exempted from redaction or disclosure because they contain personal information of welfare recipients — is untenable. These public records do contain exempted information about welfare
1. PRA Redaction Requirement
¶26 SHA hearing decisions are public records subject to the PRA’s disclosure requirements. The hearing decisions relate to the provision of public housing, and SHA (a local agency) retains the documents in individual tenant files. Thus, the hearing decisions are public records. See RCW 42.56.010(3). SHA is correct that the hearing decisions are exempt from blanket production insofar as they include “[p]ersonal information in . . . files maintained for ... welfare recipients.” RCW 42.56.230(1). The parties do not dispute that the grievance hearing decisions do contain such information. But the PRA requires production of otherwise exempted records insofar as exempt information can be deleted. See RCW 42.56.070(1), .210(1).
¶27 SHA argues that the PRA’s redaction requirement simply does not apply to records containing personal information and maintained in welfare-recipient files. SHA reasons that such information is not subject to redaction because it is exempted categorically, unlike, for example, “[p]ersonal information in files maintained for [public] employees,” which is exempted “to the extent that disclosure would violate their right to privacy.” RCW 42.56-.230(3). SHA’s argument is thus that the PRA’s redaction requirement, which applies only to information “the disclosure of which would violate personal privacy or vital governmental interests,” RCW 42.56.210(1), does not apply to any categorical exemptions and applies only to conditional
¶28 First, SHA ignores that all exemptions, including categorical exemptions, are intended to protect personal privacy and governmental interests. See Limstrom, 136 Wn.2d at 607; RCW 42.56.210(2).
¶29 Second, SHA ignores that the redaction provision in the PRA explicitly lists only two exemptions that are not subject to the PRA’s redaction requirement and the welfare recipient exemption is not on that list. RCW 42.56.210(1).
¶30 Third, the two exemptions listed as not being subject to the redaction requirement are themselves categorical, and explicitly removing those provisions from the scope of the redaction requirement would have been superfluous if SHA’s interpretation were correct.
¶31 Fourth, we already have held that the PRA’s command to redact information “that would violate personal privacy or governmental interests” simply means that an agency must redact to overcome any and all relevant exemptions, insofar as possible. See Hearst, 90 Wn.2d at 132-33; PAWS II, 125 Wn.2d at 261. Requiring anything more or different would be too complicated, unworkable, and time-consuming for agencies operating under the PRA. Insofar as redaction can render all exemptions inapplicable, the PRA requires disclosure.
¶32 Fifth, we already have applied the redaction requirement to numerous categorical exemptions. See Sanders, 169 Wn.2d at 858; Hearst, 90 Wn.2d at 132; see also Prison Legal News, Inc. v. Dep’t of Corr., 154 Wn.2d 628, 645, 115 P.3d 316 (2005). In fact, perhaps most importantly, we already have explained that the redaction requirement applies to the very exemption provision at issue in this case. See Oliver, 94 Wn.2d at 567.
¶34 Seventh, SHA provides no explanation of why the legislature would want to exempt absolutely from disclosure any records initially containing exempt personal information — even if redaction could render the exemption inapplicable. SHA’s reading makes no sense, particularly when considering the wide range of categorical exemptions in the PRA, some of which are quite limited in scope. For example, RCW 42.56.350(1) exempts certain “federal Social Security number [s] . . . maintained in the files of the department of health,” and under SHA’s interpretation, any record containing such a Social Security number would be absolutely exempted from production, notwithstanding the fact that the Social Security number could simply be redacted. If the legislature actually had been interested in protecting the entire records in question, presumably it would have said so.
¶35 SHA’s suggested approach to exemption and redaction is untenable. If redaction sufficiently protects privacy and governmental interests — that is, if redaction can render all exemptions inapplicable — disclosure is required. Thus, SHA’s unredacted grievance hearing decisions are not absolutely exempt from production and remain subject to the PRA’s redaction requirement.
2. Federal Exemption or Preemption
¶36 Having rejected SHA’s untenable interpretation of the PRA, we now consider the significance of applicable federal regulations because SHA’s grievance hearing decisions are created pursuant to federal law. The applicable federal regulations do not exempt the unredacted
¶37 Applicable federal regulations do not exempt the grievance hearing decisions from public disclosure. This inquiry is relevant because the PRA exempts from disclosure records that are protected by federal regulations. See Ameriquest Mortg. Co. v. Office of Att’y Gen., 170 Wn.2d 418, 439-40, 241 P.3d 1245 (2010); RCW 42.56.070. In this case, applicable federal regulations establish only procedural mínimums, requiring each housing authority to provide redacted copies of prior decisions to assist tenants facing imminent adverse action — the regulations do not prohibit or otherwise regulate disclosure of public records. Specifically, 24 C.F.R. § 966.57(a) provides that each written hearing decision “shall be sent to . . . the PHA,” and the PHA “shall retain a copy of the decision in the tenant’s folder” and retain another copy “with all names and identifying references deleted” on file and “made available for inspection by a prospective complainant, his representative, or the hearing panel or hearing officer.” This regulation does not prohibit disclosure in any way; it merely ensures a limited form of disclosure to a limited class of persons in order to promote fairness within each housing authority’s grievance hearing process. In the context of cooperative federalism, this minimum requirement allows each state agency to conduct the rest of its disclosure practices in accordance with relevant state law. See 42 U.S.C. § 1437(a)(1)(C). In some states, disclosure of such materials might be entirely prohibited; in that case, the federal regulation ensures a certain type of disclosure to further the grievance hearing process while allowing the state agency to otherwise restrict access, thus causing a minimal intrusion upon state and local laws. By the same token, the regulation does not
¶38 Nor do the applicable federal regulations preempt the PRA. Federal preemption occurs only if (1) federal law expressly preempts state law, (2) Congress has occupied an entire field of regulation to the exclusion of any state laws, or (3) state law conflicts with federal law due to either impossibility of joint compliance or state law acting as an obstacle to the accomplishment of a federal purpose. See PAWS II, 125 Wn.2d at 265. In this case there is no express preemption and, given the nature of cooperative federalism, no field preemption either. There is also no conflict preemption, given that the applicable regulations do not prohibit disclosure of the unredacted grievance hearing decisions and the PRA does not act as an obstacle to any federal purpose. There is a strong presumption against finding that federal law has preempted state law. State v.
¶39 In sum, SHA’s unredacted grievance hearing decisions are subject to disclosure under the PRA. The documents are public records that are subject to the PRA’s redaction requirement. Applicable federal regulations neither exempt the documents from disclosure nor preempt the operation of the PRA. Thus, SHA is obligated to produce the grievance hearing decisions, redacted to exclude only personal information of welfare recipients for whom the documents are maintained.
3. Injunctive Relief
¶40 The trial court did not abuse its discretion in ordering injunctive relief. The trial court ordered SHA to produce properly redacted copies of the grievance hearing decisions in electronic format. The trial court also ordered SHA to publish procedures regarding public records requests; to publish a list of applicable exemptions; and to establish policies governing redaction, explanations of withholding, and electronic records. The trial court acted within its “broad discretionary power to shape and fashion injunctive relief to fit the particular facts, circumstances, and equities of the case before it.” Brown v. Voss, 105 Wn.2d 366, 372, 715 P.2d 514 (1986) (emphasis omitted).
¶41 An injunction is a remedy that “ ‘should be used sparingly and only in a clear and plain case.’ ” Kucera, 140 Wn.2d at 209 (quoting 42 Am. Jur. 2d Injunctions § 2, at 728 (1969)). A party seeking an injunction must show (1) a clear legal or equitable right, (2) a well-grounded fear of imme
¶42 The trial court did not abuse its discretion. RAC has a clear right to appropriate production of requested documents, SHA has refused to produce those documents, and RAC remains without the public records it has requested. On numerous occasions we have allowed detailed “disclosure orders” in PRA cases to remedy an agency’s failure to comply with the PRA. In re Rosier, 105 Wn.2d 606, 618, 717 P.2d 1353 (1986); see also, e.g.,PAWS II, 125 Wn.2d at 250; Brouillet v. Cowles Publ’g Co., 114 Wn.2d 788, 792, 801, 791 P.2d 526 (1990).
¶43 Ordering SHA to undertake particular redactions and then to produce the redacted documents in a particular format was a legitimate way for the trial court to resolve the precise controversy before it, which arose out of RAC’s request for the documents in question and SHA’s failure to respond appropriately. RAC has continued to express its preference for electronic copies, and SHA has acknowledged that producing electronic copies costs SHA no more than producing hard copies.
¶44 Neither party challenges the trial court’s instructions regarding the precise redactions to be made in this case. Thus, without directly addressing that issue, we affirm the trial court’s decision that under the PRA, SHA must redact the names and identifying information of all SHA tenants from the grievance hearing decisions.
¶45 The trial court also acted within its discretion in ordering SHA to publish procedures regarding public records requests; to publish a list of applicable exemptions;
¶46 In sum, the trial court acted within its discretion in ordering SHA to properly redact and electronically produce the grievance hearing decisions that RAC has requested and to establish needed policies and procedures to govern proper disclosure of public records.
4. Statutory Damages and Fees
¶47 We affirm the trial court’s award of statutory damages. SHA does not dispute the amount of that award, only whether statutory damages were authorized at all. Because SHA did violate the PRA, the award of statutory damages was indeed authorized. See RCW 42.56.550(4).
¶48 We also award RAC its attorney fees on appeal. Under the PRA, any person who “prevails against an agency” in seeking the right to inspect or copy records “shall be awarded all costs, including reasonable attorney fees, incurred in connection with such legal action.” Id. This applies to fees incurred on appeal. See, e.g., PAWS II, 125 Wn.2d at 271.
IV. CONCLUSION
¶49 We uphold the trial court’s orders requiring SHA to redact and disclose the grievance hearing decisions in
After modification, further reconsideration denied January 10, 2014.
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