PRIOR PRINTER'S NOS. 772, 1509, 1553, PRINTER'S NO. 1704 1562, 1583, 1646
No. 1 Session of 2007
INTRODUCED BY PILEGGI, SCARNATI, MELLOW, ORIE, KASUNIC, MUSTO, RAFFERTY, O'PAKE, TOMLINSON, M. WHITE, ERICKSON, WAUGH, FOLMER, COSTA, EARLL, VANCE, BOSCOLA, CORMAN, WONDERLING, GORDNER, RHOADES, D. WHITE, PIPPY, MADIGAN, ARMSTRONG, BAKER, C. WILLIAMS, BRUBAKER, BROWNE, REGOLA, DINNIMAN AND EICHELBERGER, MARCH 29, 2007
SENATE AMENDMENTS TO HOUSE AMENDMENTS, JANUARY 28, 2008
AN ACT 1 Providing for access to public information, for a designated <-- 2 open-records officer in each Commonwealth agency, local 3 agency, judicial agency and legislative agency, for 4 procedure, for appeal of agency determination, for judicial 5 review and for the Pennsylvania Public Records Office; 6 imposing penalties; providing for reporting by State-related 7 institutions; requiring the posting of certain State contract 8 information on the Internet; and making related repeals. 9 PROVIDING FOR ACCESS TO PUBLIC INFORMATION, FOR A DESIGNATED <-- 10 OPEN-RECORDS OFFICER IN EACH COMMONWEALTH AGENCY, LOCAL 11 AGENCY, JUDICIAL AGENCY AND LEGISLATIVE AGENCY, FOR 12 PROCEDURE, FOR APPEAL OF AGENCY DETERMINATION, FOR JUDICIAL 13 REVIEW AND FOR THE OFFICE OF OPEN RECORDS; IMPOSING 14 PENALTIES; PROVIDING FOR REPORTING BY STATE-RELATED 15 INSTITUTIONS; REQUIRING THE POSTING OF CERTAIN STATE CONTRACT 16 INFORMATION ON THE INTERNET; AND MAKING RELATED REPEALS. 17 TABLE OF CONTENTS <-- 18 Chapter 1. Preliminary Provisions 19 Section 101. Short title. 20 Section 102. Definitions. 21 Chapter 3. Requirements and Prohibitions 22 Section 301. Commonwealth agencies.
1 Section 302. Local agencies. 2 Section 303. Legislative agencies. 3 Section 304. Judicial agencies. 4 Section 305. Presumption. 5 Section 306. Nature of document. 6 Chapter 5. Access 7 Section 501. Scope of chapter. 8 Section 502. Open-records officer. 9 Section 503. (Reserved). 10 Section 504. Regulations and policies. 11 Section 505. Uniform form. 12 Section 506. Requests. 13 Section 507. Retention of records. 14 Chapter 7. Procedure 15 Section 701. Access. 16 Section 702. Requests. 17 Section 703. Written requests. 18 Section 704. Electronic access. 19 Section 705. Creation of record. 20 Section 706. Redaction. 21 Section 707. Production of certain records. 22 Section 708. Exceptions for public records. 23 Section 709. Internet access. 24 Chapter 9. Agency Response 25 Section 901. General rule. 26 Section 902. Extension of time. 27 Section 903. Denial. 28 Section 904. Certified copies. 29 Section 905. Administrative denial. 30 Section 906. Record discard. 20070S0001B1704 - 2 -
1 Chapter 11. Appeal of Agency Determination 2 Section 1101. Filing of appeal. 3 Chapter 13. Judicial Review 4 Section 1301. Commonwealth agencies, legislative agencies and 5 judicial agencies. 6 Section 1302. Local agencies. 7 Section 1303. Notice and records. 8 Section 1304. Court costs and attorney fees. 9 Section 1305. Penalties. 10 Section 1306. Immunity. 11 Section 1307. Fee limitations. 12 Section 1308. Prohibition. 13 Section 1309. Practice and procedure. 14 Section 1310. Pennsylvania Public Records Office. 15 Section 1311. Administrative appeals. 16 Chapter 15. State-Related Institutions 17 Section 1501. Definition. 18 Section 1502. Reporting. 19 Section 1503. Contents of report. 20 Section 1504. Copies and posting. 21 Chapter 17. State Contract Information 22 Section 1701. Submission and retention of contracts. 23 Section 1702. Public availability of contracts. 24 Chapter 19. Public Officials 25 Section 1901. Disclosure of affiliation. 26 Chapter 31. Miscellaneous Provisions 27 Section 3101. Applicability. 28 Section 3101.1. Relation to other law or judicial actions. 29 Section 3101.2. Severability. 30 Section 3102. Repeals. 20070S0001B1704 - 3 -
1 Section 3103. References. 2 Section 3104. Effective date. 3 TABLE OF CONTENTS <-- 4 CHAPTER 1. PRELIMINARY PROVISIONS 5 SECTION 101. SHORT TITLE. 6 SECTION 102. DEFINITIONS. 7 CHAPTER 3. REQUIREMENTS AND PROHIBITIONS 8 SECTION 301. COMMONWEALTH AGENCIES. 9 SECTION 302. LOCAL AGENCIES. 10 SECTION 303. LEGISLATIVE AGENCIES. 11 SECTION 304. JUDICIAL AGENCIES. 12 SECTION 305. PRESUMPTION. 13 SECTION 306. NATURE OF DOCUMENT. 14 CHAPTER 5. ACCESS 15 SECTION 501. SCOPE OF CHAPTER. 16 SECTION 502. OPEN-RECORDS OFFICER. 17 SECTION 503. APPEALS OFFICER. 18 SECTION 504. REGULATIONS AND POLICIES. 19 SECTION 505. UNIFORM FORM. 20 SECTION 506. REQUESTS. 21 SECTION 507. RETENTION OF RECORDS. 22 CHAPTER 7. PROCEDURE 23 SECTION 701. ACCESS. 24 SECTION 702. REQUESTS. 25 SECTION 703. WRITTEN REQUESTS. 26 SECTION 704. ELECTRONIC ACCESS. 27 SECTION 705. CREATION OF RECORD. 28 SECTION 706. REDACTION. 29 SECTION 707. PRODUCTION OF CERTAIN RECORDS. 30 SECTION 708. EXCEPTIONS FOR PUBLIC RECORDS. 20070S0001B1704 - 4 -
1 CHAPTER 9. AGENCY RESPONSE 2 SECTION 901. GENERAL RULE. 3 SECTION 902. EXTENSION OF TIME. 4 SECTION 903. DENIAL. 5 SECTION 904. CERTIFIED COPIES. 6 SECTION 905. RECORD DISCARD. 7 CHAPTER 11. APPEAL OF AGENCY DETERMINATION 8 SECTION 1101. FILING OF APPEAL. 9 SECTION 1102. APPEALS OFFICERS. 10 CHAPTER 13. JUDICIAL REVIEW 11 SECTION 1301. COMMONWEALTH AGENCIES, LEGISLATIVE AGENCIES AND 12 JUDICIAL AGENCIES. 13 SECTION 1302. LOCAL AGENCIES. 14 SECTION 1303. NOTICE AND RECORDS. 15 SECTION 1304. COURT COSTS AND ATTORNEY FEES. 16 SECTION 1305. PENALTIES. 17 SECTION 1306. IMMUNITY. 18 SECTION 1307. FEE LIMITATIONS. 19 SECTION 1308. PROHIBITION. 20 SECTION 1309. PRACTICE AND PROCEDURE. 21 SECTION 1310. OFFICE OF OPEN RECORDS. 22 CHAPTER 15. STATE-RELATED INSTITUTIONS 23 SECTION 1501. DEFINITION. 24 SECTION 1502. REPORTING. 25 SECTION 1503. CONTENTS OF REPORT. 26 SECTION 1504. COPIES AND POSTING. 27 CHAPTER 17. STATE CONTRACT INFORMATION 28 SECTION 1701. SUBMISSION AND RETENTION OF CONTRACTS. 29 SECTION 1702. PUBLIC AVAILABILITY OF CONTRACTS. 30 CHAPTER 31. MISCELLANEOUS PROVISIONS 20070S0001B1704 - 5 -
1 SECTION 3101. APPLICABILITY. 2 SECTION 3101.1. RELATION TO OTHER LAW OR JUDICIAL ACTIONS. 3 SECTION 3101.2. SEVERABILITY. 4 SECTION 3102. REPEALS. 5 SECTION 3103. REFERENCES. 6 SECTION 3104. EFFECTIVE DATE. 7 The General Assembly of the Commonwealth of Pennsylvania 8 hereby enacts as follows: 9 CHAPTER 1 <-- 10 PRELIMINARY PROVISIONS 11 Section 101. Short title. 12 This act shall be known and may be cited as the Right-to-Know 13 Law. 14 Section 102. Definitions. 15 The following words and phrases when used in this act shall 16 have the meanings given to them in this section unless the 17 context clearly indicates otherwise: 18 "Administrative proceeding." A proceeding by an agency the 19 outcome of which is required to be based on a record or 20 documentation prescribed by law or in which a statute or 21 regulation is particularized in application to individuals. The 22 term includes an appeal. 23 "Agency." A Commonwealth agency, a local agency, a judicial 24 agency or a legislative agency. 25 "Aggregated data." A tabulation of data which relate to 26 broad classes, groups or categories so that it is not possible 27 to distinguish the properties of individuals within those 28 classes, groups or categories. 29 "Commonwealth agency." Any of the following: 30 (1) Any office, department, authority, board, multistate 20070S0001B1704 - 6 -
1 agency or commission of the executive branch; an independent 2 agency; and a State-affiliated entity. The term includes: 3 (i) The Governor's Office. 4 (ii) The Office of Attorney General, the Department 5 of the Auditor General and the Treasury Department. 6 (iii) An organization established by the 7 Constitution of Pennsylvania, a statute or an executive 8 order which performs or is intended to perform an 9 essential governmental function. 10 (2) The term does not include a judicial or legislative 11 agency. 12 "Confidential proprietary information." Commercial or 13 financial information received by an agency: 14 (1) which is privileged or confidential; and 15 (2) the disclosure of which would cause substantial harm 16 to the competitive position of the person that submitted the 17 information. 18 "Financial record." Includes: 19 (1) Any account, voucher or contract dealing with: 20 (i) the receipt or disbursement of funds by an 21 agency; or 22 (ii) an agency's acquisition, use or disposal of 23 services, supplies, materials, equipment or property. 24 (2) The salary or other payments or expenses paid to an 25 officer or employee of an agency, including the name and 26 title of the officer or employee. 27 (3) Results of a financial audit. 28 (4) Application and database compilation or log of 29 applications by political subdivisions, nonprofit 30 organizations, other entities and individuals for the receipt 20070S0001B1704 - 7 -
1 of State-funded grants awarded on a discretionary basis by a 2 Commonwealth agency, including legislative initiative grants, 3 regardless of whether the applicant receives the grant for 4 which it has applied. For purposes of this paragraph, 5 financial record shall include information regarding: 6 (i) where applicable, the application sequence 7 number; 8 (ii) the date the application was received by the 9 Commonwealth agency; 10 (iii) the applicant name and contact person; 11 (iv) the project description; 12 (v) the project location; 13 (vi) the amount of funding requested; 14 (vii) any notations as to whether the application 15 was complete and consistent with program guidelines; 16 (viii) whether or not the Commonwealth agency had 17 approved the application; 18 (ix) where applicable, the amount of the grant 19 awarded; 20 (x) where applicable, the date on which the 21 Commonwealth agency notified the applicant that it 22 approved the application; 23 (xi) in the case of a legislative initiative grant, 24 the name of any member of the General Assembly who 25 recommends the grantee; and 26 (xii) any other relevant information that qualifies 27 as a public record or financial record under this act. 28 "Homeland security." Governmental actions designed to 29 prevent, detect, respond to and recover from acts of terrorism, 30 major disasters and other emergencies, whether natural or 20070S0001B1704 - 8 -
1 manmade. The term includes activities relating to the following: 2 (1) emergency preparedness and response, including 3 preparedness and response activities by volunteer medical, 4 police, emergency management, hazardous materials and fire 5 personnel; 6 (2) intelligence activities; 7 (3) critical infrastructure protection; 8 (4) border security; 9 (5) ground, aviation and maritime transportation 10 security; 11 (6) biodefense; 12 (7) detection of nuclear and radiological materials; and 13 (8) research on next-generation securities technologies. 14 "Independent agency." Any board, commission or other agency 15 or officer of the Commonwealth, that is not subject to the 16 policy supervision and control of the Governor. The term does 17 not include a legislative or judicial agency. 18 "Judicial agency." A court of the Commonwealth or any other 19 entity or office of the unified judicial system. 20 "Legislative agency." Any of the following: 21 (1) The Senate. 22 (1.1) Political party caucuses of the Senate. 23 (2) The House of Representatives. 24 (2.1) Political party caucuses of the House of 25 Representatives. 26 (3) The Capitol Preservation Committee. 27 (4) The Center for Rural Pennsylvania. 28 (5) The Joint Legislative Air and Water Pollution 29 Control and Conservation Committee. 30 (6) The Joint State Government Commission. 20070S0001B1704 - 9 -
1 (7) The Legislative Budget and Finance Committee. 2 (8) The Legislative Data Processing Committee. 3 (9) The Independent Regulatory Review Commission. 4 (10) The Legislative Reference Bureau. 5 (11) The Local Government Commission. 6 (12) The Pennsylvania Commission on Sentencing. 7 (13) The Legislative Reapportionment Commission. 8 "Legislative initiative grant." A grant that is awarded, in 9 whole or in part, on the basis of a recommendation made by or on 10 behalf of a member of the General Assembly. 11 "Legislative record." Any of the following relating to a 12 legislative agency: 13 (1) A financial record. 14 (2) A bill or resolution that has been introduced and 15 amendments offered thereto in committee or in legislative 16 session, including resolutions to adopt or amend the rules of 17 a chamber. 18 (3) Fiscal notes. 19 (4) A cosponsorship memorandum. 20 (5) The journal of a chamber. 21 (6) The minutes of, record of attendance of members at a 22 public hearing or a public committee meeting and all recorded 23 votes taken in a public committee meeting. 24 (7) The transcript of a public hearing when available. 25 (8) Executive nomination calendars. 26 (9) The rules of a chamber. 27 (10) A record of all recorded votes taken in a 28 legislative session. 29 (11) Any administrative staff manuals or written 30 policies. 20070S0001B1704 - 10 -
1 (12) An audit prepared pursuant to the act of June 30, 2 1970 (P.L.442, No.151) entitled, "An act implementing the 3 provisions of Article VIII, section 10 of the Constitution of 4 Pennsylvania, by designating the Commonwealth officers who 5 shall be charged with the function of auditing the financial 6 transactions after the occurrence thereof of the Legislative 7 and Judicial branches of the government of the Commonwealth, 8 establishing a Legislative Audit Advisory Commission, and 9 imposing certain powers and duties on such commission." 10 (13) Final or annual reports required by law to be 11 submitted to the General Assembly. 12 (14) Legislative Budget and Finance Committee reports. 13 (15) Daily Legislative Session Calendars and marked 14 calendars. 15 (16) A record communicating to an agency the official 16 appointment of a legislative appointee. 17 (17) A record communicating to the appointing authority 18 the resignation of a legislative appointee. 19 (18) Proposed regulations, final-form regulations and 20 final-omitted regulations submitted to a legislative agency. 21 (19) The results of polling contracted for or conducted 22 by a legislative agency and paid for with funds of the 23 legislative agency. 24 "Local agency." Any of the following: 25 (1) Any political subdivision, intermediate unit, 26 charter school or public trade or vocational school. 27 (2) Any local, intergovernmental, regional or municipal 28 agency, authority, council, board, commission or similar 29 governmental entity. 30 "Personal financial information." An individual's personal 20070S0001B1704 - 11 -
1 credit, charge or debit card information; bank account 2 information; bank, credit or financial statements; account or 3 PIN numbers and other information relating to an individual's 4 personal finances. 5 "Privilege." The attorney-work product doctrine, the 6 attorney-client privilege, the doctor-patient privilege or other 7 privilege recognized by a court interpreting the laws of this 8 Commonwealth. 9 "Public record." A record of a Commonwealth or local agency 10 that: 11 (1) is not exempt under section 708; 12 (2) is not exempt from being disclosed under any other 13 Federal or State law or regulation or judicial order or 14 decree; or 15 (3) is not protected by a privilege. 16 "Record." Information, regardless of physical form or 17 characteristics, that documents a transaction or activity of an 18 agency and that is created, received or retained pursuant to law 19 or in connection with a legal transaction, business or activity 20 of the agency. The term includes a document, paper, letter, map, 21 book, tape, photograph, film or sound recording, information 22 stored or maintained electronically and a data-processed or 23 image-processed document. The term includes a financial record, 24 a legislative record and a public record. 25 "Records office." The Pennsylvania Public Records Office 26 established under section 1310. 27 "Requester." A person that is a resident of the United 28 States or a legal entity and requests a record pursuant to this 29 act. The term includes a political subdivision. 30 "Response." Access to a record or an agency's written notice 20070S0001B1704 - 12 -
1 to a requester granting, denying or partially granting and 2 partially denying access to a record. 3 "Social services." Cash assistance and other welfare 4 benefits, medical, mental and other health care services, drug 5 and alcohol treatment, adoption services, vocational and 6 occupational training, education services, counseling services, 7 workers' compensation services and unemployment compensation 8 services, foster care services and services for victims of 9 crimes. 10 "State-affiliated entity." A Commonwealth authority or 11 Commonwealth entity. The term includes the Pennsylvania Gaming 12 Control Board, the Pennsylvania Game Commission, the 13 Pennsylvania Fish and Boat Commission, the Pennsylvania Higher 14 Education Assistance Agency and all nonprofit corporations 15 established thereby, the Pennsylvania Housing Finance Agency, 16 the Pennsylvania Municipal Retirement Board, the State System of 17 Higher Education, a community college, the Pennsylvania Turnpike 18 Commission, the Pennsylvania Public Utility Commission, the 19 Pennsylvania Infrastructure Investment Authority, the State 20 Public School Building Authority, the Pennsylvania 21 Interscholastic Athletic Association and the Pennsylvania 22 Educational Facilities Authority. The term does not include a 23 State-related institution. 24 "Terrorist act." A violent or life-threatening act that 25 violates the criminal laws of the United States or any state and 26 appears to be intended to: 27 (1) intimidate or coerce a civilian population; 28 (2) influence the policy of a government; or 29 (3) affect the conduct of a government by mass 30 destruction, assassination or kidnapping. 20070S0001B1704 - 13 -
1 "Trade secret." Information, including a formula, drawing, 2 pattern, compilation, including a customer list, program, 3 device, method, technique or process that: 4 (1) derives independent economic value, actual or 5 potential, from not being generally known to and not being 6 readily ascertainable by proper means by other persons who 7 can obtain economic value from its disclosure or use; and 8 (2) is the subject of efforts that are reasonable under 9 the circumstances to maintain its secrecy. 10 The term includes data processing software obtained by an agency 11 under a licensing agreement prohibiting disclosure. 12 CHAPTER 3 13 REQUIREMENTS AND PROHIBITIONS 14 Section 301. Commonwealth agencies. 15 (a) Requirement.--A Commonwealth agency shall provide public 16 records in accordance with this act. 17 (b) Prohibition.--A Commonwealth agency may not deny a 18 requester access to a public record due to the intended use of 19 the public record by the requester unless otherwise provided by 20 law. 21 Section 302. Local agencies. 22 (a) Requirement.--A local agency shall provide public 23 records in accordance with this act. 24 (b) Prohibition.--A local agency may not deny a requester 25 access to a public record due to the intended use of the public 26 record by the requester unless otherwise provided by law. 27 Section 303. Legislative agencies. 28 (a) Requirement.--A legislative agency shall provide 29 legislative records in accordance with this act. 30 (b) Prohibition.--A legislative agency may not deny a 20070S0001B1704 - 14 -
1 requester access to a legislative record due to the intended use 2 of the legislative record by the requester. 3 Section 304. Judicial agencies. 4 (a) Requirement.--A judicial agency shall provide financial 5 records in accordance with this act or any rule or order of 6 court providing equal or greater access to the records. 7 (b) Prohibition.--A judicial agency may not deny a requester 8 access to a financial record due to the intended use of the 9 financial record by the requester. 10 Section 305. Presumption. 11 (a) General rule.--A record in the possession of a 12 Commonwealth agency or local agency shall be presumed to be a 13 public record unless: 14 (1) the record is exempt under section 708; 15 (2) the record is protected by a privilege; or 16 (3) the record is exempt from disclosure under any other 17 Federal or State law or regulation or judicial order or 18 decree. 19 (b) Legislative records and financial records.--A 20 legislative record in the possession of a legislative agency and 21 a financial record in the possession of a judicial agency shall 22 be presumed to be available to the public unless: 23 (1) the record is exempt under 708(c) or (d); 24 (2) the record is protected by a privilege; or 25 (3) the record is exempt from disclosure under any other 26 Federal or State law or regulation or judicial order or 27 decree. 28 Section 306. Nature of document. 29 Nothing in this act shall supersede or modify the public or 30 confidential nature of a record or document established in 20070S0001B1704 - 15 -
1 Federal or State law, regulation or judicial order or decree. 2 CHAPTER 5 3 ACCESS 4 Section 501. Scope of chapter. 5 This chapter applies to all agencies. 6 Section 502. Open-records officer. 7 (a) Establishment.-- 8 (1) An agency shall designate an official or employee to 9 act as the open-records officer. 10 (2) For a legislative agency other than the Senate or 11 the House of Representatives, or a political party caucus of 12 the Senate or the House of Representatives the open-records 13 officer designated by the Legislative Reference Bureau shall 14 serve as the open-records officer. 15 (b) Functions.-- 16 (1) The open-records officer shall receive requests 17 submitted to the agency under this act, direct requests to 18 other appropriate persons within the agency or to appropriate 19 persons in another agency, track the agency's progress in 20 responding to requests and issue interim and final responses 21 under this act. 22 (2) Upon receiving a request for a public record, 23 legislative record or financial record, the open-records 24 officer shall do all of the following: 25 (i) Note the date of receipt on the written request. 26 (ii) Compute the day on which the five-day period 27 under section 901 will expire and make a notation of that 28 date on the written request. 29 (iii) Maintain an electronic or paper copy of a 30 written request, including all documents submitted with 20070S0001B1704 - 16 -
1 the request until the request has been fulfilled. If the 2 request is denied, the written request shall be 3 maintained for 30 days or, if an appeal is filed, until a 4 final determination is issued under section 1101(b) or 5 the appeal is deemed denied. 6 (iv) Create a file for the retention of the original 7 request, a copy of the response, a record of written 8 communications with the requester and a copy of other 9 communications. This subparagraph shall only apply to 10 Commonwealth agencies. 11 Section 503. (Reserved). 12 Section 504. Regulations and policies. 13 (a) Authority.--An agency may promulgate regulations, rules 14 or policies necessary for the agency to implement this act. The 15 records office may promulgate regulations relating to appeals 16 involving a Commonwealth agency, legislative agency or local 17 agency. 18 (b) Posting.--The following information shall be posted at 19 each agency and, if the agency maintains an Internet website, on 20 the agency's Internet website: 21 (1) Contact information for the open-records officer. 22 (2) Contact information for the records office or other 23 applicable appeals officer. 24 (3) A form which may be used to file a request. 25 (4) Rules, regulations, policies and procedures of the 26 agency relating to this act. 27 Section 505. Uniform form. 28 (a) Commonwealth agencies and legislative agencies.--The 29 records office shall develop a uniform form which shall be 30 accepted by all Commonwealth agencies, legislative agencies and 20070S0001B1704 - 17 -
1 local agencies in addition to any form used by the agency to 2 file a request under this act. The uniform form shall be 3 published in the Pennsylvania Bulletin and on the record 4 office's Internet website. 5 (b) Judicial agencies.--A judicial agency may develop a form 6 to request financial records or may use a form developed by the 7 Administrative Office of Pennsylvania Courts or the records 8 office. 9 Section 506. Requests. 10 (a) Disruptive requests.-- 11 (1) An agency may deny a requester access to a record if 12 the requester has made repeated requests for that same record 13 which requests have placed an unreasonable burden on the 14 agency. 15 (2) A denial under this subsection shall not restrict 16 the ability to request a different record. 17 (b) Disaster or potential damage.-- 18 (1) An agency may deny a requester access: 19 (i) when timely access is not possible due to fire, 20 flood or other disaster; or 21 (ii) to historical, ancient or rare documents, 22 records, archives and manuscripts when access may, in the 23 professional judgment of the curator or custodian of 24 records, cause physical damage or irreparable harm to the 25 record. 26 (2) To the extent possible, the contents of a record 27 under this subsection shall be made accessible to a requester 28 even when the record is physically unavailable. 29 (c) Agency discretion.--An agency may exercise its 30 discretion to make any otherwise exempt record accessible for 20070S0001B1704 - 18 -
1 inspection and copying under this chapter, if all of the 2 following apply: 3 (1) Disclosure of the record is not prohibited under any 4 of the following: 5 (i) Federal or State law or regulation. 6 (ii) Judicial order or decree. 7 (2) The record is not protected by a privilege. 8 (3) The agency head determines that the public interest 9 favoring access substantially outweighs any individual, 10 agency or public interest that may favor restriction of 11 access. 12 (d) Agency possession.-- 13 (1) A public record that is not in the possession of an 14 agency but is in the possession of a party with whom the 15 agency has contracted to perform a governmental function on 16 behalf of the agency, and which directly relates to the 17 governmental function and is not exempt under section 305, 18 shall be considered a public record of the agency for 19 purposes of this act. 20 (2) Nothing in this act shall be construed to require 21 access to any other record of the party in possession of the 22 public record. 23 (3) A request for a public record in possession of a 24 party other than the agency shall be submitted to the open 25 records officer of the agency. Upon a determination to grant 26 the request, the open records officer shall assess the 27 duplication fee established under section 1307(b) and upon 28 collection shall remit the fee to the party in possession of 29 the record if the party duplicated the record. 30 Section 507. Retention of records. 20070S0001B1704 - 19 -
1 Nothing in this act shall be construed to modify, rescind or 2 supersede any record retention disposition schedule of an agency 3 established pursuant to law, regulation, policy or other 4 directive. 5 CHAPTER 7 6 PROCEDURE 7 Section 701. Access. 8 (a) General rule.--Unless otherwise provided by law, a 9 public record, legislative record or financial record shall be 10 accessible for inspection and duplication in accordance with 11 this act. A record being provided to a requester shall be 12 provided in the medium requested if it exists in that medium; 13 otherwise, it shall be provided in the medium in which it 14 exists. Public records, legislative records or financial records 15 shall be available for access during the regular business hours 16 of an agency. 17 (a.1) Gaming Control Board policies.--All information 18 related to the development of Gaming Control Board policies, 19 regulations, procedures or any other recommendations regarding 20 implementation of 4 Pa.C.S. § 1212 (relating to diversity goals 21 of board) or 1325 (relating to license or permit issuance), 22 including, but not limited to, any documents or other materials 23 prepared for the use of the board, its employees or independent 24 contractors, shall be considered a public record and subject to 25 disclosure. 26 (b) Construction.--Nothing in this act shall be construed to 27 require access to any computer either of an agency or individual 28 employee of an agency. 29 Section 702. Requests. 30 Agencies may fulfill informal verbal, written or anonymous 20070S0001B1704 - 20 -
1 verbal or written requests for access to records under this act. 2 In the event that the requester wishes to pursue the relief and 3 remedies provided for in this act, the requester must initiate 4 such relief with a written request. 5 Section 703. Written requests. 6 A written request for access to records may be submitted in 7 person, by mail, by e-mail, by facsimile or, to the extent 8 provided by agency rules, any other electronic means. A written 9 request shall be addressed to the agency head or open-records 10 officer designated pursuant to section 502. A written request 11 should identify or describe the records sought with sufficient 12 specificity to enable the agency to ascertain which records are 13 being requested and shall include the name and address to which 14 the agency should address its response. A written request need 15 not include any explanation of the requester's reason for 16 requesting or intended use of the records unless otherwise 17 provided by law. 18 Section 704. Electronic access. 19 (a) General rule.--In addition to the requirements of 20 section 701, an agency may make its records available through 21 any publicly accessible electronic means. 22 (b) Response.-- 23 (1) In addition to the requirements of section 701, an 24 agency may respond to a request by notifying the requester 25 that the record is available through publicly accessible 26 electronic means or that the agency will provide access to 27 inspect the record electronically. 28 (2) If the requester is unwilling or unable to access 29 the record electronically, the requester may, within 30 days 30 following receipt of the agency notification, submit a 20070S0001B1704 - 21 -
1 written request to the agency to have the record converted to 2 paper. The agency shall provide the record in printed form 3 within five days of the receipt of the written request for 4 conversion to paper. 5 Section 705. Creation of record. 6 When responding to a request for access, an agency shall not 7 be required to create a record which does not currently exist or 8 to compile, maintain, format or organize a record in a manner in 9 which the agency does not currently compile, maintain, format or 10 organize the record. 11 Section 706. Redaction. 12 If an agency determines that a public record, legislative 13 record or financial record contains information which is subject 14 to access as well as information which is not subject to access, 15 the agency's response shall grant access to the information 16 which is subject to access and deny access to the information 17 which is not subject to access. If the information which is not 18 subject to access is an integral part of the public record, 19 legislative record or financial record and cannot be separated, 20 the agency shall redact from the record the information which is 21 not subject to access, and the response shall grant access to 22 the information which is subject to access. The agency may not 23 deny access to the record if the information which is not 24 subject to access is able to be redacted. Information which an 25 agency redacts in accordance with this subsection shall be 26 deemed a denial under Chapter 9. 27 Section 707. Production of certain records. 28 (a) General rule.--If, in response to a request, an agency 29 produces a record that is not a public record, legislative 30 record or financial record, the agency shall notify any third 20070S0001B1704 - 22 -
1 party that provided the record to the agency, the person that is 2 the subject of the record and the requester. 3 (b) Requests for trade secrets.--An agency shall notify a 4 third party of a request for a record if the third party 5 provided the record and included a written statement signed by a 6 representative of the third party that the record contains a 7 trade secret or confidential proprietary information. 8 Notification shall be provided within five business days of 9 receipt of the request for the record. The third party shall 10 have five business days from receipt of notification from the 11 agency to provide input on the release of the record. The agency 12 shall deny the request for the record or release the record 13 within ten business days of the provision of notice to the third 14 party and shall notify the third party of the decision. 15 (c) Transcripts.-- 16 (1) Prior to an adjudication becoming final, binding and 17 nonappealable, a transcript of an administrative proceeding 18 shall be provided to a requester by the agency stenographer 19 or a court reporter, in accordance with agency procedure or 20 an applicable contract. 21 (2) Following an adjudication becoming final, binding 22 and nonappealable, a transcript of an administrative 23 proceeding shall be provided to a requester in accordance 24 with the duplication rates established in section 1307(b). 25 Section 708. Exceptions for public records. 26 (a) Burden of proof.-- 27 (1) The burden of proving that a public record is exempt 28 from public access shall be on the agency receiving a request 29 by a preponderance of the evidence. 30 (2) The burden of proving that a legislative record is 20070S0001B1704 - 23 -
1 exempt from public access shall be on the legislative agency 2 receiving a request, by a preponderance of the evidence. 3 (3) The burden of proving that a financial record of a 4 judicial agency is exempt from public access shall be on the 5 judicial agency receiving a request, by a preponderance of 6 the evidence. 7 (b) Exceptions.--In the case of a public record, unless 8 disclosure is otherwise required or authorized by law, the 9 following are exempt from access by a requester under this act: 10 (1) A record the disclosure of which: 11 (i) would result in the loss of Federal or State 12 funds by an agency or the Commonwealth; or 13 (ii) would be reasonably likely to result in a 14 substantial and demonstrable risk of physical harm to an 15 individual. 16 (2) A record maintained by an agency in connection with 17 the military, homeland security, national defense, law 18 enforcement or other public safety activity that if disclosed 19 would be reasonably likely to jeopardize or threaten public 20 safety or preparedness or public protection activity or a 21 record that is designated classified by an appropriate 22 Federal or State military authority. 23 (3) A record, the disclosure of which creates a 24 reasonable likelihood of endangering the safety or the 25 physical security of a building, public utility, resource, 26 infrastructure, facility or information storage system, which 27 may include: 28 (i) documents or data relating to computer hardware, 29 source files, software and system networks that could 30 jeopardize computer security by exposing a vulnerability 20070S0001B1704 - 24 -
1 in preventing, protecting against, mitigating or 2 responding to a terrorist act; 3 (ii) lists of infrastructure, resources and 4 significant special events, including those defined by 5 the Federal Government in the National Infrastructure 6 Protections, which are deemed critical due to their 7 nature and which result from risk analysis; threat 8 assessments; consequences assessments; antiterrorism 9 protective measures and plans; counterterrorism measures 10 and plans; and security and response needs assessments; 11 and 12 (iii) building plans or infrastructure records that 13 expose or create vulnerability through disclosure of the 14 location, configuration or security of critical systems, 15 including public utility systems, structural elements, 16 technology, communication, electrical, fire suppression, 17 ventilation, water, wastewater, sewage and gas systems. 18 (4) A record regarding computer hardware, software and 19 networks, including administrative or technical records, 20 which, if disclosed, would be reasonably likely to jeopardize 21 computer security. 22 (5) A record of an individual's medical, psychiatric or 23 psychological history or disability status, including 24 evaluation, consultation, a prescription, diagnosis or 25 treatment; results of tests, including drug tests; enrollment 26 in a health care program or program designed for 27 participation by persons with disabilities, including 28 vocation rehabilitation, workers' compensation and 29 unemployment compensation; or related information that would 30 disclose individually identifiable health information. 20070S0001B1704 - 25 -
1 (6) (i) The following personal identification 2 information: 3 (A) A record containing all or part of a 4 person's Social Security number; date of birth; 5 driver's license number; personal financial 6 information of an individual; telephone numbers; 7 personal e-mail addresses; employee numbers; or other 8 confidential personal identification numbers. 9 (B) A spouse's name; marital status, beneficiary 10 or dependent information. 11 (ii) Nothing in this paragraph shall: 12 (A) Prevent an agency from providing access to 13 the date of birth of a deceased person for 14 genealogical purposes. 15 (B) Preclude the release of the name, position, 16 salary, actual compensation or other payments or 17 expenses, employment contract, employment-related 18 contract or agreement and length of service of a 19 public official or an agency employee. 20 (iii) An agency may redact the name or other 21 identifying information relating to an individual 22 performing an undercover or covert law enforcement 23 activity from a record. 24 (7) The following records relating to an agency 25 employee: 26 (i) A letter of reference or recommendation 27 pertaining to the character or qualifications of an 28 identifiable individual, unless it was prepared in 29 relation to the appointment of an individual to fill a 30 vacancy in an elected office or an appointed office 20070S0001B1704 - 26 -
1 requiring Senate confirmation. 2 (ii) A performance rating or review. 3 (iii) The result of a civil service or similar test 4 administered by a Commonwealth agency, legislative agency 5 or judicial agency. The result of a civil service or 6 similar test administered by a local agency shall not be 7 disclosed if restricted by a collective bargaining 8 agreement. Only test scores of individuals who obtained a 9 passing score on a test administered by a local agency 10 may be disclosed. 11 (iv) The employment application of an individual who 12 is not hired by the agency. 13 (v) Workplace support services program information. 14 (vi) Written criticisms of an employee. 15 (vii) Grievance material, including documents 16 related to discrimination or sexual harassment. 17 (viii) (A) Information regarding discipline, 18 demotion or discharge contained in a personnel file. 19 (B) This subparagraph shall not apply to the 20 final action of an agency that results in demotion or 21 discharge. 22 (8) (i) A record pertaining to strategy or negotiations 23 relating to labor relations or collective bargaining or 24 arbitration proceedings. 25 (ii) An arbitration opinion and award, any exhibits 26 entered into evidence at an arbitration proceeding and 27 any transcript of an arbitration proceeding. 28 (iii) This paragraph does not apply to any final or 29 executed contract or agreement between the parties or to 30 any final order in an arbitration proceeding. 20070S0001B1704 - 27 -
1 (9) The draft of a bill, resolution, regulation, 2 statement of policy, management directive, ordinance or 3 amendment thereto prepared by or for an agency. 4 (10) (i) A record that reflects: 5 (A) The internal, predecisional deliberations of 6 an agency, its members, employees or officials or 7 predecisional deliberations between agency members, 8 employees or officials and members, employees or 9 officials of another agency, including predecisional 10 deliberations relating to a budget recommendation, 11 legislative proposal, legislative amendment, 12 contemplated or proposed policy or course of action 13 or any research, memos or other documents used in the 14 predecisional deliberations. 15 (B) The strategy to be used to develop or 16 achieve the successful adoption of a budget, 17 legislative proposal or regulation. 18 (ii) This paragraph applies to: 19 (A) The Governor's Office, the head of a 20 Commonwealth agency and the staff of the Governor or 21 agency. 22 (B) The chief executive officer or governing 23 body of a local agency, or a member or staff of the 24 local agency prior to the presentation of the 25 decision, policy, proposal or course of action to a 26 quorum of the governing body at a meeting subject to 27 65 Pa.C.S. Ch. 7 (relating to open meetings). 28 (iii) This paragraph does not apply to a written 29 application or other document used to request 30 Commonwealth funds. 20070S0001B1704 - 28 -
1 (11) A record that constitutes or reveals a trade secret 2 or confidential proprietary information. 3 (12) Notes and working papers prepared by or for a 4 public official or agency employee used solely for that 5 official's or employee's own personal use, including 6 telephone message slips, routing slips and other materials 7 that do not have an official purpose. 8 (13) Records that would disclose the identity of an 9 individual who lawfully makes a donation to an agency unless 10 the donation is intended for or restricted to providing 11 remuneration or personal tangible benefit to a named public 12 official or employee of the agency, including lists of 13 potential donors compiled by an agency to pursue donations, 14 donor profile information or personal identifying information 15 relating to a donor. 16 (14) Unpublished lecture notes, unpublished manuscripts, 17 unpublished articles, creative works in progress, research- 18 related material and scholarly correspondence of a community 19 college or an institution of the State System of Higher 20 Education or a faculty member, staff employee, guest speaker 21 or student thereof. 22 (15) Examination questions, scoring keys or answers to 23 an examination. 24 (16) A record of an agency relating to or resulting in a 25 criminal investigation, including: 26 (i) Complaints of potential criminal conduct other 27 than a private criminal complaint. 28 (ii) Investigative materials, notes, correspondence, 29 videos and reports. 30 (iii) A record that includes the identity of a 20070S0001B1704 - 29 -
1 confidential source or the identity of a suspect who has 2 not been charged with an offense to whom confidentiality 3 has been promised. 4 (iv) A record that includes information made 5 confidential by law or court order. 6 (v) Victim information, including any information 7 that would jeopardize the safety of the victim. 8 (vi) A record that, if disclosed, would do any of 9 the following: 10 (A) Reveal the institution, progress or result 11 of a criminal investigation, except the filing of 12 criminal charges. 13 (B) Deprive a person of the right to a fair 14 trial or an impartial adjudication. 15 (C) Impair the ability to locate a defendant or 16 codefendant. 17 (D) Hinder an agency's ability to secure an 18 arrest, prosecution or conviction. 19 (E) Endanger the life or physical safety of an 20 individual. 21 This paragraph shall not apply to information contained in a 22 police blotter as defined in 18 Pa.C.S. § 9102 (relating to 23 definitions) or in a traffic report. 24 (17) A record of an agency relating to a noncriminal 25 investigation, including: 26 (i) Complaints submitted to an agency. 27 (ii) Investigative materials, notes, correspondence 28 and reports. 29 (iii) A record that includes the identity of a 30 confidential source, including individuals subject to the 20070S0001B1704 - 30 -
1 act of December 12, 1986 (P.L.1559, No.169), known as the 2 Whistleblower Law. 3 (iv) A record that includes information made 4 confidential by law. 5 (v) Work papers underlying an audit. 6 (vi) A record that, if disclosed, would do any of 7 the following: 8 (A) Reveal the institution, progress or result 9 of an agency investigation, except the imposition of 10 a fine or civil penalty or the suspension, 11 modification or revocation of a license, permit, 12 registration, certification or similar authorization 13 issued by an agency. 14 (B) Deprive a person of the right to an 15 impartial adjudication. 16 (C) Constitute an unwarranted invasion of 17 privacy. 18 (D) Hinder an agency's ability to secure an 19 administrative or civil sanction. 20 (E) Endanger the life or physical safety of an 21 individual. 22 (18) Records or parts of records pertaining to audio 23 recordings, telephone or radio transmissions received by 24 emergency dispatch personnel, including 911 recordings. 25 However, a transcript of a recording may be released when the 26 agency or a court determines that the public interest in 27 disclosure outweighs the interest in nondisclosure. 28 (19) DNA records. 29 (20) An autopsy record of a coroner or medical examiner 30 and any audiotape of a postmortem examination or autopsy, or 20070S0001B1704 - 31 -
1 a copy, reproduction or facsimile of an autopsy report, a 2 photograph, negative or print, including a photograph or 3 videotape of the body or any portion of the body of a 4 deceased person at the scene of death or in the course of a 5 postmortem examination or autopsy taken or made by or caused 6 to be taken or made by the coroner or medical examiner. This 7 exception shall not limit the reporting of the name of the 8 deceased individual and the cause and manner of death to all 9 persons interested therein in accordance with section 1251 of 10 the act of August 9, 1955 (P.L.323, No.130), known as The 11 County Code. 12 (21) Draft minutes of any meeting of an agency and 13 minutes of an executive session and any record of discussions 14 held in executive session. 15 (22) (i) The contents of real estate appraisals, 16 engineering or feasibility estimates, environmental 17 reviews, audits or evaluations made for or by an agency 18 relative to the following: 19 (A) The leasing, acquiring or disposing of real 20 property. 21 (B) The purchase of public supplies or equipment 22 included in the real estate transaction. 23 (C) Construction projects. 24 (ii) This paragraph does not apply once the decision 25 is made to proceed with the lease, acquisition or 26 disposal of real property or the purchase of public 27 supply or construction project. 28 (23) Library and archive circulation and order records 29 of an identifiable individual or groups of individuals. 30 (24) Library archived and museum materials, or valuable 20070S0001B1704 - 32 -
1 or rare book collections or documents contributed by gift, 2 grant, bequest or devise, to the extent of any limitations 3 imposed by the donor as a condition of the contribution. 4 (25) A record identifying the location of an 5 archeological site or an endangered or threatened plant or 6 animal species if not already known to the general public. 7 (26) A proposal pertaining to agency procurement or 8 disposal of supplies, services or construction prior to the 9 award of the contract or prior to the opening and rejection 10 of all bids; financial information of a bidder or offeror 11 requested in an invitation for bid or request for proposals 12 to demonstrate the bidder's or offeror's economic capability; 13 or the identity of members, notes and other records of agency 14 proposal evaluation committees established under 62 Pa.C.S. § 15 513 (relating to competitive sealed proposals). 16 (27) A record or information relating to a communication 17 between an agency and its insurance carrier, administrative 18 service organization or risk management office. This 19 paragraph does not apply to a contract with an insurance 20 carrier, administrative service organization or risk 21 management office or to financial records relating to the 22 provision of insurance. 23 (28) A record or information: 24 (i) identifying an individual who applies for or 25 receives social services; 26 (ii) relating to the following: 27 (A) the type of social services received by an 28 individual; 29 (B) an individual's application to receive 30 social services, including a record or information 20070S0001B1704 - 33 -
1 related to an agency decision to grant, deny, reduce 2 or restrict benefits, including a quasi-judicial 3 decision of the agency and the identity of a 4 caregiver or others who provide services to the 5 individual; or 6 (C) eligibility to receive social benefits, 7 including the individual's income, assets, physical 8 or mental health, age, disability, family 9 circumstances or record of abuse; or 10 (iii) identifying a person that requests assistance 11 or constituent services from a member of the General 12 Assembly. 13 (c) Financial records.--With respect to financial records, 14 the exceptions set forth in subsection (b)(1), (2), (3), (4) or 15 (5) shall apply. Information described in paragraph (4) of the 16 definition of "financial record" relating to individuals and 17 protected under subsection (b)(28) shall also be exempt from 18 access by a requester under this act. An agency shall redact 19 that portion of a financial record which would disclose 20 information protected under subsection (b)(6) or disclose the 21 identity of a crime victim, confidential source or an individual 22 performing an undercover or covert law enforcement activity 23 protected under subsection (b)(16) or (17). 24 (d) Aggregated data.--The exceptions set forth in subsection 25 (b)(1), (2), (3), (4) or (5) shall apply to aggregated data, 26 maintained or received by an agency. 27 Section 709. Internet access. 28 The Department of Community and Economic Development shall 29 post on its Internet website a list of community revitalization 30 grants by legislative and senatorial districts. 20070S0001B1704 - 34 -
1 CHAPTER 9 2 AGENCY RESPONSE 3 Section 901. General rule. 4 Upon receipt of a written request for access to a record, an 5 agency shall make a good faith effort to determine if the record 6 requested is a public record, legislative record or financial 7 record and whether the agency has possession, custody or control 8 of the identified record, and to respond as promptly as possible 9 under the circumstances existing at the time of the request. The 10 response shall include a notice of applicable fees. The time for 11 response shall not exceed five business days from the date the 12 written request is received by the agency head or open-records 13 officer for an agency. If the agency fails to send the response 14 within five business days of receipt of the written request for 15 access, the written request for access shall be deemed denied. 16 Section 902. Extension of time. 17 (a) Determination.--Upon receipt of a written request for 18 access, the open-records officer for an agency shall determine 19 if one of the following applies: 20 (1) the request for access requires redaction of a 21 record in accordance with section 706; 22 (2) the request for access requires the retrieval of a 23 record stored in a remote location; 24 (3) a timely response to the request for access cannot 25 be accomplished due to bona fide and specified staffing 26 limitations; 27 (4) a legal review is necessary to determine whether the 28 record is a record subject to access under this act; 29 (5) the requester has not complied with the Commonwealth 30 agency's policies regarding access to records; 20070S0001B1704 - 35 -
1 (6) the requester refuses to pay applicable fees 2 authorized by this act; or 3 (7) the extent or nature of the request precludes a 4 response within the required time period. 5 (b) Notice.-- 6 (1) Upon a determination that one of the factors listed 7 in subsection (a) applies, the open-records officer shall 8 send written notice to the requester within five business 9 days of receipt of the request for access under subsection 10 (a). 11 (2) The notice shall include a statement notifying the 12 requester that the request for access is being reviewed, the 13 reason for the review and a reasonable date that a response 14 is expected to be provided. If the date that a response is 15 expected to be provided is in excess of 30 days, following 16 the five business days allowed for in section 901, the 17 request for access shall be deemed denied unless the 18 requester has agreed in writing for an extension to the date 19 specified in the notice. 20 (3) If the requester agrees to the extension, the 21 request shall be deemed denied on the day following the date 22 specified in the notice if the agency has not provided a 23 response by that date. 24 Section 903. Denial. 25 If an agency's response is a denial of a written request for 26 access, whether in whole or in part, a written response shall be 27 issued and include: 28 (1) A description of the record requested. 29 (2) The specific reasons for the denial, including a 30 citation of supporting legal authority. 20070S0001B1704 - 36 -
1 (3) The typed or printed name, title, business address, 2 business telephone number and signature of the agency head or 3 open-records officer on whose authority the denial is issued. 4 (4) Date of the response. 5 (5) The procedure to appeal the denial of access under 6 this act. 7 Section 904. Certified copies. 8 If an agency's response grants a request for access, the 9 agency shall, upon request, provide the requester with a 10 certified copy of the record if the requester pays the 11 applicable fees pursuant to section 1307. 12 Section 905. Administrative denial. 13 The following shall apply: 14 (1) An agency may deny access to a public record, 15 legislative record or financial record due to the failure of 16 the requester to pay the applicable fee. 17 (2) An agency may deny access to a public record, 18 legislative record or financial record due to the failure of 19 the requester to pay any fee associated with a previous 20 request made by the requester to the same agency. 21 Section 906. Record discard. 22 If an agency response to a requester provides that the 23 requested records are available for delivery at the office of an 24 agency and the requester fails to retrieve the records within 60 25 days of the agency's response, the agency shall send a written 26 notice to the requester specifying that the requested copies 27 will be held for an additional 30 days, within which time the 28 requester may return to the agency to retrieve the records. 29 Thereafter, the agency may dispose of any copies which have not 30 been retrieved and retain any fees paid to date. 20070S0001B1704 - 37 -
1 CHAPTER 11 2 APPEAL OF AGENCY DETERMINATION 3 Section 1101. Filing of appeal. 4 (a) Authorization.-- 5 (1) If a written request for access is denied or deemed 6 denied, the requester may file an appeal with the records 7 office within 15 business days of the mailing date of the 8 agency's response or within 15 business days of a deemed 9 denial. The appeal shall state the grounds upon which the 10 requester asserts that the record is a public record, 11 legislative record or financial record and shall address any 12 grounds stated by the agency for delaying or denying the 13 request. 14 (2) In the case of an appeal of a decision by an agency, 15 the records office shall review the denial. 16 (b) Determination.-- 17 (1) Unless the requester agrees otherwise, the records 18 office shall make a final determination which shall be mailed 19 to the requester and the agency within 30 days of receipt of 20 the appeal filed under subsection (a). 21 (2) If the records office fails to issue a final 22 determination within 30 days, the appeal is deemed denied. 23 (3) Prior to issuing a final determination, a hearing 24 may be conducted. The determination by the records office 25 shall be a final order. The records office shall provide a 26 written explanation of the reason for the decision to the 27 requester and the agency. 28 (c) Direct interest.-- 29 (1) A person other than the agency or requester with a 30 direct interest in the record subject to an appeal under this 20070S0001B1704 - 38 -
1 section may, within 15 calendar days following receipt of 2 actual knowledge of the appeal but no later than the date the 3 records office issues an order, file a written request to 4 provide information or appear before the records office or to 5 file information in support of the requester's or agency's 6 position. 7 (2) The records office may grant the request if: 8 (i) no hearing has been held; 9 (ii) the office has not yet issued its order; and 10 (iii) the records office believes the information 11 will be probative. 12 (3) Copies of the written request shall be sent to the 13 agency and the requester. 14 CHAPTER 13 15 JUDICIAL REVIEW 16 Section 1301. Commonwealth agencies, legislative agencies and 17 judicial agencies. 18 (a) General rule.--Within 30 days of the mailing date of the 19 final determination of the records office relating to a decision 20 of a Commonwealth agency, a legislative agency or a judicial 21 agency issued under section 1101(b) or the date a request for 22 access is deemed denied, a requester or the agency may file a 23 petition for review or other document as might be required by 24 rule of court with the Commonwealth Court. The decision of the 25 court shall contain findings of fact and conclusions of law 26 based upon the evidence as a whole. The decision shall clearly 27 and concisely explain the rationale for the decision. 28 (b) Stay.--An appeal under this section shall stay the 29 release of documents until a decision under subsection (a) is 30 issued. 20070S0001B1704 - 39 -
1 Section 1302. Local agencies. 2 (a) General rule.--Within 30 days of the mailing date of the 3 final determination of the records office relating to a decision 4 of a local agency issued under section 1101(b) or of the date a 5 request for access is deemed denied, a requester or local agency 6 may file a petition for review or other document as required by 7 rule of court with the court of common pleas for the county 8 where the local agency is located. The decision of the court 9 shall contain findings of fact and conclusions of law based upon 10 the evidence as a whole. The decision shall clearly and 11 concisely explain the rationale for the decision. 12 (b) Stay.--An appeal under this section shall stay the 13 release of documents until a decision under subsection (a) is 14 issued. 15 Section 1303. Notice and records. 16 (a) Notice.--An agency, the requester and the appeals 17 officer shall be served notice of actions commenced in 18 accordance with section 1301 or 1302 and shall have an 19 opportunity to respond in accordance with applicable court 20 rules. 21 (b) Record on appeal.--The record before a court shall 22 consist of the request, the agency's response, the appeal filed 23 under section 1101, the hearing transcript, if any, and the 24 final written determination of the records office. 25 Section 1304. Court costs and attorney fees. 26 (a) Reversal of agency determination.--If a court reverses 27 the final determination of the records office or grants access 28 after a request for access was deemed denied, the court may 29 award reasonable attorney fees and costs of litigation or an 30 appropriate portion thereof to a requester if the court finds 20070S0001B1704 - 40 -
1 either of the following: 2 (1) the agency receiving the original request willfully 3 or with wanton disregard deprived the requester of access to 4 a public record subject to access or otherwise acted in bad 5 faith under the provisions of this act; or 6 (2) the exemptions, exclusions or defenses asserted by 7 the agency in its final determination were not based on a 8 reasonable interpretation of law. 9 (b) Sanctions for frivolous requests or appeals.--The court 10 may award reasonable attorney fees and costs of litigation or an 11 appropriate portion thereof to an agency or the requester if the 12 court finds that the legal challenge under this chapter was 13 frivolous. 14 (c) Other sanctions.--Nothing in this act shall prohibit a 15 court from imposing penalties and costs in accordance with 16 applicable rules of court. 17 Section 1305. Civil penalty. 18 (a) Denial of access.--A court may impose a civil penalty of 19 not more than $1,000 if an agency denied access to a public 20 record in bad faith. 21 (b) Failure to comply with court order.--An agency or public 22 official who does not promptly comply with a court order under 23 this act is subject to a civil penalty of not more than $500 per 24 day until the public records are provided. 25 Section 1306. Immunity. 26 (a) General rule.--Except as provided in sections 1304 and 27 1305 and other statutes governing the release of records, no 28 agency, public official or public employee shall be liable for 29 civil penalties resulting from compliance or failure to comply 30 with this act. 20070S0001B1704 - 41 -
1 (b) Schedules.--No agency, public official or public 2 employee shall be liable for civil or criminal damages or 3 penalties under this act for complying with any written public 4 record retention and disposition schedule. 5 Section 1307. Fee limitations. 6 (a) Postage.--Fees for postage may not exceed the actual 7 cost of mailing. 8 (b) Duplication.-- 9 (1) Fees for duplication by photocopying, printing from 10 electronic media or microfilm, copying onto electronic media, 11 transmission by facsimile or other electronic means and other 12 means of duplication shall be established by the records 13 office. 14 (2) (i) The fees must be reasonable and based on 15 prevailing fees for comparable duplication services 16 provided by local business entities. 17 (ii) Fees for copying data, collections of data and 18 compiled data, including, but not limited to, geographic 19 information systems and property lists, may be based on 20 consideration of the reasonable market value of same or 21 closely comparable data, collections of data or compiled 22 data. 23 (3) Fees for local agencies may reflect regional price 24 differences and shall be subject to review by the 25 clearinghouse as provided in section 1310(a)(8). 26 (c) Certification.--An agency may impose reasonable fees for 27 official certification of copies if the certification is at the 28 behest of the requester and for the purpose of legally verifying 29 the public record. 30 (d) Conversion to paper.--If a record is only maintained 20070S0001B1704 - 42 -
1 electronically or in other nonpaper media, duplication fees 2 shall be limited to the lesser of the fee for duplication on 3 paper or the fee for duplication in the original media as 4 provided by subsection (b) unless the requester specifically 5 requests for the record to be duplicated in the more expensive 6 medium. 7 (e) Enhanced electronic access.--If an agency offers 8 enhanced electronic access to records in addition to making the 9 records accessible for inspection and duplication by a requester 10 as required by this act, the agency may establish user fees 11 specifically for the provision of the enhanced electronic 12 access, but only to the extent that the enhanced electronic 13 access is in addition to making the records accessible for 14 inspection and duplication by a requester as required by this 15 act. The user fees for enhanced electronic access may be a flat 16 rate, a subscription fee for a period of time, a per-transaction 17 fee, a fee based on the cumulative time of system access or any 18 other reasonable method and any combination thereof. The user 19 fees for enhanced electronic access must be reasonable, must be 20 approved by the clearinghouse and may not be established with 21 the intent or effect of excluding persons from access to records 22 or duplicates thereof or of creating profit for the agency. 23 (f) Waiver of fees.--An agency may waive the fees for 24 duplication of a record, including, but not limited to, when: 25 (1) the requester duplicates the record; or 26 (2) the agency deems it is in the public interest to do 27 so. 28 (g) Limitations.--Except as otherwise provided by statute, 29 no other fees may be imposed unless the agency necessarily 30 incurs costs for complying with the request, including costs 20070S0001B1704 - 43 -
1 associated with legal reviews of records or record requests 2 requiring the contracting or procuring of legal counsel outside 3 the agency. Such fees must be reasonable. An agency shall not 4 charge a requester any fee for any of the following costs: 5 (1) Costs related to reviewing a record to determine if 6 it is a public record. 7 (2) Costs related to redacting exempt information from a 8 record. 9 (3) Personnel costs for copying a record. 10 (4) Personnel costs for preparing a record for delivery. 11 (5) Personnel costs for observing a requester who is 12 reviewing or copying a record. 13 (6) For use of agency computers, viewers or other 14 equipment necessary for gaining access to examining a record. 15 (7) Costs for agency personnel to instruct a requester 16 on the use of agency equipment used to view a record. 17 (8) Any other processing costs not specifically 18 permitted under this section. 19 (h) Prepayment.--Prior to granting a request for access in 20 accordance with this act, an agency may require a requester to 21 prepay an estimate of the fees authorized under this section if 22 the fees required to fulfill the request are expected to exceed 23 $100. The agency may require a certified check, money order or 24 other form of verified payment of funds when requiring open 25 records request fees to be prepaid. 26 Section 1308. Prohibition. 27 A policy, rule or regulation adopted under this act may not 28 include any of the following: 29 (1) A limitation on the number of records which may be 30 requested or made available for inspection or duplication. 20070S0001B1704 - 44 -
1 (2) A requirement to disclose the purpose or motive in 2 requesting access to records. 3 Section 1309. Practice and procedure. 4 The provisions of 2 Pa.C.S. (relating to administrative law 5 and procedure) shall not apply to this act unless specifically 6 adopted by rule or regulation. 7 Section 1310. Pennsylvania Public Records Office. 8 (a) Establishment.--The Pennsylvania Public Records Office 9 is established within the State Ethics Commission, which shall 10 appoint an executive director of the public records office who 11 shall hire other staff as necessary to operate the office. 12 (b) Powers and duties.--The director of the public records 13 office has the following powers and duties: 14 (1) To receive and respond to requests for information 15 from persons who have been denied access to public records by 16 a Commonwealth agency, a local agency, the General Assembly 17 or a legislative agency under this act. 18 (2) To receive and respond to requests for information 19 from a Commonwealth agency, a local agency, the General 20 Assembly or a legislative agency regarding compliance with 21 this act. 22 (3) To order a Commonwealth agency, a local agency, the 23 General Assembly or a legislative agency to comply with 24 provisions of this act upon finding that a request for access 25 to a public record was properly made. 26 (4) To issue advisory opinions on compliance with this 27 act. 28 (5) To request information from Commonwealth agencies, 29 local agencies, the General Assembly and legislative agencies 30 in order to make compliance determinations under this act. 20070S0001B1704 - 45 -
1 All information supplied by a Commonwealth agency, a local 2 agency, the General Assembly or a legislative agency which is 3 relevant to a request shall be subject to confidentiality 4 under subsection (c). 5 (6) To guide and oversee the compliance with this act by 6 all Commonwealth agencies, local agencies, the General 7 Assembly and legislative agencies. 8 (7) To provide a list to any requesting agency or 9 individual of Federal and State laws that exempt certain 10 types of records from disclosure. 11 (8) To make its advisory opinions and written decisions 12 available for review. 13 (9) To conduct training for public officials, public 14 employees and third parties relating to the Commonwealth's 15 access laws with assistance from the Department of Community 16 and Economic Development's Center for Local Government. 17 (10) To issue a report semi-annually to the General 18 Assembly and to the Governor, which report shall include, but 19 not be limited to: 20 (i) The number of requests to review denials from 21 persons making public record requests. 22 (ii) The number of public record requests which were 23 determined, upon review of the access office, to have 24 been improperly denied. 25 (iii) The number of requests made by agencies 26 seeking clarification on compliance with this act. 27 (iv) The number of orders issued by the public 28 records office directing an agency to comply with this 29 act. 30 (v) The number of advisory opinions issued by the 20070S0001B1704 - 46 -
1 public records office. 2 (vi) The number of requests for the list of Federal 3 and State exemptions to public access of records. 4 (vii) The number of training sessions conducted for 5 public officials, public employees and third parties 6 relating to public access of records, including the 7 number of persons attending such training sessions. 8 (11) To make available in electronic form to persons 9 making requests for public records, examples of previous 10 requests for public records by other persons and the 11 documents to which the other persons were given access. In 12 performing this duty, the office may not reveal any 13 information relating to the identity of the persons who made 14 the previous requests. 15 (12) To promulgate any regulations necessary to 16 administer this act. 17 (13) Set a schedule for the requester and agency to 18 submit documents in support of their positions. 19 (14) To review all information filed relating to a 20 request. The public records office may hold a hearing, but 21 the decision to hold or not to hold a hearing is not 22 appealable. The public records office may admit into evidence 23 testimony, evidence and documents it believes to be 24 reasonably probative and relevant to an issue in dispute. The 25 public records office may limit the nature and extent of 26 evidence to be cumulative. 27 (c) Confidentiality.--All information requested by the 28 public records office from an agency in order to make a 29 determination of whether an agency is complying with this act 30 shall remain confidential and shall not be subject to public 20070S0001B1704 - 47 -
1 access. 2 (d) Fees.--The following shall apply: 3 (1) The public records office may impose a reasonable 4 filing fee for an appeal made under section 1101, and any 5 fees collected under this subsection shall be deposited in a 6 restricted account in the General Fund which is established 7 for the public records office. The money from this account 8 shall be appropriated as necessary for the operation of the 9 public records office. 10 (2) The public records office may waive the filing fee 11 if the person requesting access to the public record is 12 unable to afford the fee based on guidelines established by 13 the public records office. 14 Section 1311. Administrative appeals. 15 (a) General rule.--Notwithstanding any other provision of 16 law, a party aggrieved by a denial or deemed denial of access to 17 a public record by a Commonwealth agency, local agency, the 18 General Assembly or a legislative agency may, within 30 days 19 after a request is denied or deemed denied, appeal to the public 20 records office by forwarding to the office a copy of the request 21 and the written explanation for the denial, if any, provided by 22 the Commonwealth agency, local agency, the General Assembly or 23 legislative agency, and requesting a review of the matter. 24 (b) Ruling.-- 25 (1) Within 30 business days after receipt of the appeal, 26 the public records office shall rule either that the denial 27 or deemed denial of access to the record by the Commonwealth 28 agency, local agency, the General Assembly or legislative 29 agency is upheld or that the decision to deny access to the 30 record was improper, and a Commonwealth agency, the local 20070S0001B1704 - 48 -
1 agency, the General Assembly or legislative agency must 2 provide access to the record. The public records office may 3 hold a private hearing on the matter and may review the 4 record. 5 (2) The 30-business-day period may be extended by 6 agreement of the parties. If the parties do not agree to an 7 extension or the public records office does not issue a 8 ruling within 30 business days after the date of the appeal, 9 the denial from the Commonwealth agency, local agency, the 10 General Assembly or legislative agency shall be deemed 11 affirmed. 12 (c) Explanation.--If the public records office upholds the 13 decision of the Commonwealth agency, local agency, the General 14 Assembly or legislative agency to deny access to the public 15 record, the office shall fully explain in writing to the person 16 requesting the public record the reason for the denial. If the 17 public records office rules that the Commonwealth agency, local 18 agency, the General Assembly or legislative agency shall provide 19 access to the public record, it shall order the Commonwealth 20 agency, local agency, the General Assembly or legislative agency 21 to provide the individual with access to the record and shall 22 fully explain in writing the reason access must be provided. 23 (d) Other appeals.--Costs or attorney fees shall not be 24 awarded under this section for administrative appeal to the 25 public records office under this section. 26 CHAPTER 15 27 STATE-RELATED INSTITUTIONS 28 Section 1501. Definition. 29 As used in this chapter, "State-related institution" means 30 any of the following: 20070S0001B1704 - 49 -
1 (1) Temple University. 2 (2) The University of Pittsburgh. 3 (3) The Pennsylvania State University. 4 (4) Lincoln University. 5 Section 1502. Reporting. 6 No later than May 30 of each year, a State-related 7 institution shall file with the Governor's Office, the General 8 Assembly, the Auditor General and the State Library the 9 information set forth in section 1503. 10 Section 1503. Contents of report. 11 The report required under section 1502 shall include the 12 following: 13 (1) Except as provided in paragraph (4), all information 14 required by Form 990 or an equivalent form, of the United 15 States Department of the Treasury, Internal Revenue Service, 16 entitled the Return of Organization Exempt From Income Tax, 17 regardless of whether the State-related institution is 18 required to file the form by the Federal Government. 19 (2) The salaries of all officers and directors of the 20 State-related institution. 21 (3) The highest 25 salaries paid to employees of the 22 institution that are not included under paragraph (2). 23 (4) The report shall not include information relating to 24 individual donors. 25 Section 1504. Copies and posting. 26 A State-related institution shall maintain, for at least 27 seven years, a copy of the report in the institution's library 28 and shall provide free access to the report on the institution's 29 Internet website. 30 CHAPTER 17 20070S0001B1704 - 50 -
1 STATE CONTRACT INFORMATION 2 Section 1701. Submission and retention of contracts. 3 (a) General rule.--Whenever any Commonwealth agency, 4 legislative agency or judicial agency shall enter into any 5 contract involving any property, real, personal or mixed of any 6 kind or description or any contract for personal services where 7 the consideration involved in the contract is $5,000 or more, a 8 copy of the contract shall be furnished to the Treasury 9 Department within ten days after the contract is executed on 10 behalf of the Commonwealth agency, legislative agency or 11 judicial agency or otherwise becomes an obligation of the 12 Commonwealth agency, legislative agency or judicial agency. The 13 provisions of this subsection shall not apply to contracts for 14 services protected by a privilege. The following shall apply: 15 (1) Each Commonwealth agency, legislative agency and 16 judicial agency shall submit contracts in a form and 17 structure mutually agreed upon by the Commonwealth agency, 18 legislative agency or judicial agency and the State 19 Treasurer. 20 (2) The Treasury Department may require each 21 Commonwealth agency, legislative agency or judicial agency to 22 provide a summary with each contract, which shall include the 23 following: 24 (i) Date of execution. 25 (ii) Amount of the contract. 26 (iii) Beginning date of the contract. 27 (iv) End date of the contract, if applicable. 28 (v) Name of the agency entering into the contract. 29 (vi) The name and business address of all parties 30 executing the contract. 20070S0001B1704 - 51 -
1 (vii) Subject matter of the contract. 2 Each agency shall create and maintain the data under this 3 paragraph in an ASCII-delimited text file, spreadsheet file 4 or other file provided by Treasury Department regulation. 5 (b) Retention.--Every contract filed pursuant to subsection 6 (a) shall remain on file with the Treasury Department for a 7 period of not less than four years after the end date of the 8 contract. 9 (c) Accuracy.--Each Commonwealth agency, legislative agency 10 and judicial agency is responsible for verifying the accuracy 11 and completeness of the information that it submits to the State 12 Treasurer. The contract provided to the Treasury Department 13 pursuant to this chapter shall be redacted in accordance with 14 applicable provisions of this act by the agency providing the 15 contract to the Treasury Department. 16 (d) Contracts provided pursuant to The Fiscal Code.--The 17 copy of a contract provided to the Treasury Department pursuant 18 to section 1701 shall be in addition to any copy of the contract 19 provided to the Treasury Department under the act of April 9, 20 1929 (P.L.343, No.176), known as The Fiscal Code. Copies of 21 contracts received by the Treasury Department, Office of Auditor 22 General, or Department of Revenue from an agency pursuant to The 23 Fiscal Code shall not be made available to a requester by the 24 State Treasurer, Auditor General or the Department of Revenue. 25 Section 1702. Public availability of contracts. 26 (a) General rule.-- Except as otherwise provided in this 27 chapter, a request for a copy of a contract shall only be made 28 to an agency who is a party to the contract. 29 (b) Posting.--The Treasury Department shall make each 30 contract filed pursuant to section 1701 available for public 20070S0001B1704 - 52 -
1 inspection either by posting a copy of the contract on the 2 Treasury Department's publicly accessible Internet website or by 3 posting a contract summary on the department's publicly 4 accessible Internet website. The Treasury Department shall post 5 the information received pursuant to this chapter in a way that 6 allows the public to search contracts or contract summaries by 7 the categories enumerated in section 1701(a)(2). 8 (c) Request to review or receive copy of contract.--The 9 Treasury Department shall maintain a page on its publicly 10 accessible Internet website with instructions on how to request 11 to review a contract and how to request a copy of a contract. 12 Requests to review or receive a copy of a contract shall be 13 allowed by letter, facsimile or e-mail. Additionally, both 14 requests shall be honored within five days of the submission of 15 the request and in the case of a request for a copy of a 16 contract it shall be provided to the individual at cost. The 17 Treasury Department may offer to provide a copy of the requested 18 contract electronically to the requester at no cost. 19 CHAPTER 19 20 PUBLIC OFFICIALS 21 Section 1901. Disclosure of affiliation. 22 (a) Scope.--This section applies to: 23 (1) an individual who is elected or appointed to an 24 office of the Commonwealth; and 25 (2) the spouse of an individual under paragraph (1). 26 (b) Requirement.--Annually, each individual subject to 27 subsection (a) shall submit to the clearinghouse for Internet 28 website publication under section 1310(a)(7) disclosure as to a 29 business relationship between a Commonwealth agency and: 30 (1) the individual; 20070S0001B1704 - 53 -
1 (2) a partnership in which the individual is a partner; 2 (3) an association in which the individual is an officer 3 or a director; 4 (4) a corporation in which the individual is an officer 5 or a director; or 6 (5) a corporation in which the individual has an equity 7 interest of at least 5%. 8 CHAPTER 31 9 MISCELLANEOUS PROVISIONS 10 Section 3101. Applicability. 11 This act applies as follows: 12 (1) This act shall apply to requests for information 13 made on or after December 31, 2008. 14 (2) With respect to an agency as defined under section 15 102, this act shall apply prospectively. 16 (3) In addition to paragraph (2), with respect only to 17 an agency which was an agency as defined under the former act 18 of June 21, 1957 (P.L.390, No.212), referred to as the Right- 19 to-Know Law, this act shall apply retroactively. 20 (4) Chapter 15 shall apply to fiscal years beginning 21 after June 30, 2008. 22 (5) Chapter 17 shall apply to contracts entered into or 23 renewed after June 30, 2008. 24 (6) Section 3102(1)(ii)(B) shall apply to bids submitted 25 on or after June 30, 2008. 26 (7) If a provision of this act regarding access to a 27 record conflicts with any other Federal or State statute, 28 regulation or judicial order or decree, the provision of this 29 act shall not control. 30 Section 3101.1. Relation to other law or judicial actions. 20070S0001B1704 - 54 -
1 If the provisions of this act regarding access to public 2 records conflict with any Federal or State statute, the 3 provisions of this act shall not apply. 4 Section 3101.2. Severability. 5 All provisions of this act are severable. 6 Section 3102. Repeals. 7 Repeals are as follows: 8 (1) (i) General Assembly declares that the repeals 9 under subparagraph (ii) are necessary to effectuate this 10 act. 11 (ii) The following acts and parts of acts are 12 repealed: 13 (A) The act of June 21, 1957 (P.L.390, No.212), 14 referred to as the Right-to-Know Law. 15 (B) 62 Pa.C.S. § 106. 16 (2) (i) The General Assembly declares that the repeal 17 under subparagraph (ii) is necessary to effectuate 18 Chapter 17. 19 (ii) Section 1104 of the act of April 9, 1929 20 (P.L.177, No.175), known as The Administrative Code of 21 1929, is repealed. 22 Section 3103. References. 23 A reference in a statute, regulation or judicial order or 24 decree to the act of June 21, 1957 (P.L.390, No.212), referred 25 to as the Right-to-Know Law, shall be deemed a reference to this 26 act. 27 Section 3104. Effective date. 28 This act shall take effect as follows: 29 (1) Sections 101, 102, 1310, 3101 and 3102(1)(i) and 30 (ii)(B) and (2) shall take effect July 1, 2008. 20070S0001B1704 - 55 -
1 (2) This section shall take effect immediately. 2 (3) The remainder of this act shall take effect January 3 1, 2009. 4 CHAPTER 1 <-- 5 PRELIMINARY PROVISIONS 6 SECTION 101. SHORT TITLE. 7 THIS ACT SHALL BE KNOWN AND MAY BE CITED AS THE RIGHT-TO-KNOW 8 LAW. 9 SECTION 102. DEFINITIONS. 10 THE FOLLOWING WORDS AND PHRASES WHEN USED IN THIS ACT SHALL 11 HAVE THE MEANINGS GIVEN TO THEM IN THIS SECTION UNLESS THE 12 CONTEXT CLEARLY INDICATES OTHERWISE: 13 "ADMINISTRATIVE PROCEEDING." A PROCEEDING BY AN AGENCY THE 14 OUTCOME OF WHICH IS REQUIRED TO BE BASED ON A RECORD OR 15 DOCUMENTATION PRESCRIBED BY LAW OR IN WHICH A STATUTE OR 16 REGULATION IS PARTICULARIZED IN APPLICATION TO INDIVIDUALS. THE 17 TERM INCLUDES AN APPEAL. 18 "AGENCY." A COMMONWEALTH AGENCY, A LOCAL AGENCY, A JUDICIAL 19 AGENCY OR A LEGISLATIVE AGENCY. 20 "AGGREGATED DATA." A TABULATION OF DATA WHICH RELATE TO 21 BROAD CLASSES, GROUPS OR CATEGORIES SO THAT IT IS NOT POSSIBLE 22 TO DISTINGUISH THE PROPERTIES OF INDIVIDUALS WITHIN THOSE 23 CLASSES, GROUPS OR CATEGORIES. 24 "APPEALS OFFICER." AS FOLLOWS: 25 (1) FOR A COMMONWEALTH AGENCY OR A LOCAL AGENCY, THE 26 APPEALS OFFICER DESIGNATED UNDER SECTION 503(A). 27 (2) FOR A JUDICIAL AGENCY, THE INDIVIDUAL DESIGNATED 28 UNDER SECTION 503(B). 29 (3) FOR A LEGISLATIVE AGENCY, THE INDIVIDUAL DESIGNATED 30 UNDER SECTION 503(C). 20070S0001B1704 - 56 -
1 "COMMONWEALTH AGENCY." ANY OF THE FOLLOWING: 2 (1) ANY OFFICE, DEPARTMENT, AUTHORITY, BOARD, MULTISTATE 3 AGENCY OR COMMISSION OF THE EXECUTIVE BRANCH; AN INDEPENDENT 4 AGENCY; AND A STATE-AFFILIATED ENTITY. THE TERM INCLUDES: 5 (I) THE GOVERNOR'S OFFICE. 6 (II) THE OFFICE OF ATTORNEY GENERAL, THE DEPARTMENT 7 OF THE AUDITOR GENERAL AND THE TREASURY DEPARTMENT. 8 (III) AN ORGANIZATION ESTABLISHED BY THE 9 CONSTITUTION OF PENNSYLVANIA, A STATUTE OR AN EXECUTIVE 10 ORDER WHICH PERFORMS OR IS INTENDED TO PERFORM AN 11 ESSENTIAL GOVERNMENTAL FUNCTION. 12 (2) THE TERM DOES NOT INCLUDE A JUDICIAL OR LEGISLATIVE 13 AGENCY. 14 "CONFIDENTIAL PROPRIETARY INFORMATION." COMMERCIAL OR 15 FINANCIAL INFORMATION RECEIVED BY AN AGENCY: 16 (1) WHICH IS PRIVILEGED OR CONFIDENTIAL; AND 17 (2) THE DISCLOSURE OF WHICH WOULD CAUSE SUBSTANTIAL HARM 18 TO THE COMPETITIVE POSITION OF THE PERSON THAT SUBMITTED THE 19 INFORMATION. 20 "FINANCIAL RECORD." INCLUDES: 21 (1) ANY ACCOUNT, VOUCHER OR CONTRACT DEALING WITH: 22 (I) THE RECEIPT OR DISBURSEMENT OF FUNDS BY AN 23 AGENCY; OR 24 (II) AN AGENCY'S ACQUISITION, USE OR DISPOSAL OF 25 SERVICES, SUPPLIES, MATERIALS, EQUIPMENT OR PROPERTY. 26 (2) THE SALARY OR OTHER PAYMENTS OR EXPENSES PAID TO AN 27 OFFICER OR EMPLOYEE OF AN AGENCY, INCLUDING THE NAME AND 28 TITLE OF THE OFFICER OR EMPLOYEE. 29 (3) RESULTS OF A FINANCIAL AUDIT. 30 "HOMELAND SECURITY." GOVERNMENTAL ACTIONS DESIGNED TO 20070S0001B1704 - 57 -
1 PREVENT, DETECT, RESPOND TO AND RECOVER FROM ACTS OF TERRORISM, 2 MAJOR DISASTERS AND OTHER EMERGENCIES, WHETHER NATURAL OR 3 MANMADE. THE TERM INCLUDES ACTIVITIES RELATING TO THE FOLLOWING: 4 (1) EMERGENCY PREPAREDNESS AND RESPONSE, INCLUDING 5 PREPAREDNESS AND RESPONSE ACTIVITIES BY VOLUNTEER MEDICAL, 6 POLICE, EMERGENCY MANAGEMENT, HAZARDOUS MATERIALS AND FIRE 7 PERSONNEL; 8 (2) INTELLIGENCE ACTIVITIES; 9 (3) CRITICAL INFRASTRUCTURE PROTECTION; 10 (4) BORDER SECURITY; 11 (5) GROUND, AVIATION AND MARITIME TRANSPORTATION 12 SECURITY; 13 (6) BIODEFENSE; 14 (7) DETECTION OF NUCLEAR AND RADIOLOGICAL MATERIALS; AND 15 (8) RESEARCH ON NEXT-GENERATION SECURITIES TECHNOLOGIES. 16 "INDEPENDENT AGENCY." ANY BOARD, COMMISSION OR OTHER AGENCY 17 OR OFFICER OF THE COMMONWEALTH, THAT IS NOT SUBJECT TO THE 18 POLICY SUPERVISION AND CONTROL OF THE GOVERNOR. THE TERM DOES 19 NOT INCLUDE A LEGISLATIVE OR JUDICIAL AGENCY. 20 "JUDICIAL AGENCY." A COURT OF THE COMMONWEALTH OR ANY OTHER 21 ENTITY OR OFFICE OF THE UNIFIED JUDICIAL SYSTEM. 22 "LEGISLATIVE AGENCY." ANY OF THE FOLLOWING: 23 (1) THE SENATE. 24 (2) THE HOUSE OF REPRESENTATIVES. 25 (3) THE CAPITOL PRESERVATION COMMITTEE. 26 (4) THE CENTER FOR RURAL PENNSYLVANIA. 27 (5) THE JOINT LEGISLATIVE AIR AND WATER POLLUTION 28 CONTROL AND CONSERVATION COMMITTEE. 29 (6) THE JOINT STATE GOVERNMENT COMMISSION. 30 (7) THE LEGISLATIVE BUDGET AND FINANCE COMMITTEE. 20070S0001B1704 - 58 -
1 (8) THE LEGISLATIVE DATA PROCESSING COMMITTEE. 2 (9) THE INDEPENDENT REGULATORY REVIEW COMMISSION. 3 (10) THE LEGISLATIVE REFERENCE BUREAU. 4 (11) THE LOCAL GOVERNMENT COMMISSION. 5 (12) THE PENNSYLVANIA COMMISSION ON SENTENCING. 6 (13) THE LEGISLATIVE REAPPORTIONMENT COMMISSION. 7 (14) THE LEGISLATIVE OFFICE OF RESEARCH LIAISON. 8 "LEGISLATIVE RECORD." ANY OF THE FOLLOWING RELATING TO A 9 LEGISLATIVE AGENCY OR A STANDING COMMITTEE, SUBCOMMITTEE OR 10 CONFERENCE COMMITTEE OF A LEGISLATIVE AGENCY: 11 (1) A FINANCIAL RECORD. 12 (2) A BILL OR RESOLUTION THAT HAS BEEN INTRODUCED AND 13 AMENDMENTS OFFERED THERETO IN COMMITTEE OR IN LEGISLATIVE 14 SESSION, INCLUDING RESOLUTIONS TO ADOPT OR AMEND THE RULES OF 15 A CHAMBER. 16 (3) FISCAL NOTES. 17 (4) A COSPONSORSHIP MEMORANDUM. 18 (5) THE JOURNAL OF A CHAMBER. 19 (6) THE MINUTES OF, RECORD OF ATTENDANCE OF MEMBERS AT A 20 PUBLIC HEARING OR A PUBLIC COMMITTEE MEETING AND ALL RECORDED 21 VOTES TAKEN IN A PUBLIC COMMITTEE MEETING. 22 (7) THE TRANSCRIPT OF A PUBLIC HEARING WHEN AVAILABLE. 23 (8) EXECUTIVE NOMINATION CALENDARS. 24 (9) THE RULES OF A CHAMBER. 25 (10) A RECORD OF ALL RECORDED VOTES TAKEN IN A 26 LEGISLATIVE SESSION. 27 (11) ANY ADMINISTRATIVE STAFF MANUALS OR WRITTEN 28 POLICIES. 29 (12) AN AUDIT PREPARED PURSUANT TO THE ACT OF JUNE 30, 30 1970 (P.L.442, NO.151) ENTITLED, "AN ACT IMPLEMENTING THE 20070S0001B1704 - 59 -
1 PROVISIONS OF ARTICLE VIII, SECTION 10 OF THE CONSTITUTION OF 2 PENNSYLVANIA, BY DESIGNATING THE COMMONWEALTH OFFICERS WHO 3 SHALL BE CHARGED WITH THE FUNCTION OF AUDITING THE FINANCIAL 4 TRANSACTIONS AFTER THE OCCURRENCE THEREOF OF THE LEGISLATIVE 5 AND JUDICIAL BRANCHES OF THE GOVERNMENT OF THE COMMONWEALTH, 6 ESTABLISHING A LEGISLATIVE AUDIT ADVISORY COMMISSION, AND 7 IMPOSING CERTAIN POWERS AND DUTIES ON SUCH COMMISSION." 8 (13) FINAL OR ANNUAL REPORTS REQUIRED BY LAW TO BE 9 SUBMITTED TO THE GENERAL ASSEMBLY. 10 (14) LEGISLATIVE BUDGET AND FINANCE COMMITTEE REPORTS. 11 (15) DAILY LEGISLATIVE SESSION CALENDARS AND MARKED 12 CALENDARS. 13 (16) A RECORD COMMUNICATING TO AN AGENCY THE OFFICIAL 14 APPOINTMENT OF A LEGISLATIVE APPOINTEE. 15 (17) A RECORD COMMUNICATING TO THE APPOINTING AUTHORITY 16 THE RESIGNATION OF A LEGISLATIVE APPOINTEE. 17 (18) PROPOSED REGULATIONS, FINAL-FORM REGULATIONS AND 18 FINAL-OMITTED REGULATIONS SUBMITTED TO A LEGISLATIVE AGENCY. 19 (19) THE RESULTS OF PUBLIC OPINION SURVEYS, POLLS, FOCUS 20 GROUPS, MARKETING RESEARCH OR SIMILAR EFFORTS DESIGNED TO 21 MEASURE PUBLIC OPINION FUNDED BY A LEGISLATIVE AGENCY. 22 "LOCAL AGENCY." ANY OF THE FOLLOWING: 23 (1) ANY POLITICAL SUBDIVISION, INTERMEDIATE UNIT, 24 CHARTER SCHOOL, CYBER CHARTER SCHOOL OR PUBLIC TRADE OR 25 VOCATIONAL SCHOOL. 26 (2) ANY LOCAL, INTERGOVERNMENTAL, REGIONAL OR MUNICIPAL 27 AGENCY, AUTHORITY, COUNCIL, BOARD, COMMISSION OR SIMILAR 28 GOVERNMENTAL ENTITY. 29 "OFFICE OF OPEN RECORDS." THE OFFICE OF OPEN RECORDS 30 ESTABLISHED IN SECTION 1310. 20070S0001B1704 - 60 -
1 "PERSONAL FINANCIAL INFORMATION." AN INDIVIDUAL'S PERSONAL 2 CREDIT, CHARGE OR DEBIT CARD INFORMATION; BANK ACCOUNT 3 INFORMATION; BANK, CREDIT OR FINANCIAL STATEMENTS; ACCOUNT OR 4 PIN NUMBERS AND OTHER INFORMATION RELATING TO AN INDIVIDUAL'S 5 PERSONAL FINANCES. 6 "PRIVILEGE." THE ATTORNEY-WORK PRODUCT DOCTRINE, THE 7 ATTORNEY-CLIENT PRIVILEGE, THE DOCTOR-PATIENT PRIVILEGE OR OTHER 8 PRIVILEGE RECOGNIZED BY A COURT INTERPRETING THE LAWS OF THIS 9 COMMONWEALTH. 10 "PUBLIC RECORD." A RECORD OF A COMMONWEALTH OR LOCAL AGENCY 11 THAT: 12 (1) IS NOT EXEMPT UNDER SECTION 708; 13 (2) IS NOT EXEMPT FROM BEING DISCLOSED UNDER ANY OTHER 14 FEDERAL OR STATE LAW OR REGULATION OR JUDICIAL ORDER OR 15 DECREE; OR 16 (3) IS NOT PROTECTED BY A PRIVILEGE. 17 "RECORD." INFORMATION, REGARDLESS OF PHYSICAL FORM OR 18 CHARACTERISTICS, THAT DOCUMENTS A TRANSACTION OR ACTIVITY OF AN 19 AGENCY AND THAT IS CREATED, RECEIVED OR RETAINED PURSUANT TO LAW 20 OR IN CONNECTION WITH A TRANSACTION, BUSINESS OR ACTIVITY OF THE 21 AGENCY. THE TERM INCLUDES A DOCUMENT, PAPER, LETTER, MAP, BOOK, 22 TAPE, PHOTOGRAPH, FILM OR SOUND RECORDING, INFORMATION STORED OR 23 MAINTAINED ELECTRONICALLY AND A DATA-PROCESSED OR IMAGE- 24 PROCESSED DOCUMENT. 25 "REQUESTER." A PERSON THAT IS A LEGAL RESIDENT OF THE UNITED 26 STATES AND REQUESTS A RECORD PURSUANT TO THIS ACT. THE TERM 27 INCLUDES A POLITICAL SUBDIVISION. 28 "RESPONSE." ACCESS TO A RECORD OR AN AGENCY'S WRITTEN NOTICE 29 TO A REQUESTER GRANTING, DENYING OR PARTIALLY GRANTING AND 30 PARTIALLY DENYING ACCESS TO A RECORD. 20070S0001B1704 - 61 -
1 "SOCIAL SERVICES." CASH ASSISTANCE AND OTHER WELFARE 2 BENEFITS, MEDICAL, MENTAL AND OTHER HEALTH CARE SERVICES, DRUG 3 AND ALCOHOL TREATMENT, ADOPTION SERVICES, VOCATIONAL AND 4 OCCUPATIONAL TRAINING, EDUCATION SERVICES, COUNSELING SERVICES, 5 WORKERS' COMPENSATION SERVICES AND UNEMPLOYMENT COMPENSATION 6 SERVICES, FOSTER CARE SERVICES AND SERVICES FOR VICTIMS OF 7 CRIMES. 8 "STATE-AFFILIATED ENTITY." A COMMONWEALTH AUTHORITY OR 9 COMMONWEALTH ENTITY. THE TERM INCLUDES THE PENNSYLVANIA HIGHER 10 EDUCATION ASSISTANCE AGENCY AND ANY ENTITY ESTABLISHED THEREBY, 11 THE PENNSYLVANIA GAMING CONTROL BOARD, THE PENNSYLVANIA GAME 12 COMMISSION, THE PENNSYLVANIA FISH AND BOAT COMMISSION, THE 13 PENNSYLVANIA HOUSING FINANCE AGENCY, THE PENNSYLVANIA MUNICIPAL 14 RETIREMENT BOARD, THE STATE SYSTEM OF HIGHER EDUCATION, A 15 COMMUNITY COLLEGE, THE PENNSYLVANIA TURNPIKE COMMISSION, THE 16 PENNSYLVANIA PUBLIC UTILITY COMMISSION, THE PENNSYLVANIA 17 INFRASTRUCTURE INVESTMENT AUTHORITY, THE STATE PUBLIC SCHOOL 18 BUILDING AUTHORITY, THE PENNSYLVANIA INTERSCHOLASTIC ATHLETIC 19 ASSOCIATION AND THE PENNSYLVANIA EDUCATIONAL FACILITIES 20 AUTHORITY. THE TERM DOES NOT INCLUDE A STATE-RELATED 21 INSTITUTION. 22 "STATE-RELATED INSTITUTION." INCLUDES: 23 (1) TEMPLE UNIVERSITY. 24 (2) THE UNIVERSITY OF PITTSBURGH. 25 (3) THE PENNSYLVANIA STATE UNIVERSITY. 26 (4) LINCOLN UNIVERSITY. 27 "TERRORIST ACT." A VIOLENT OR LIFE-THREATENING ACT THAT 28 VIOLATES THE CRIMINAL LAWS OF THE UNITED STATES OR ANY STATE AND 29 APPEARS TO BE INTENDED TO: 30 (1) INTIMIDATE OR COERCE A CIVILIAN POPULATION; 20070S0001B1704 - 62 -
1 (2) INFLUENCE THE POLICY OF A GOVERNMENT; OR 2 (3) AFFECT THE CONDUCT OF A GOVERNMENT BY MASS 3 DESTRUCTION, ASSASSINATION OR KIDNAPPING. 4 "TRADE SECRET." INFORMATION, INCLUDING A FORMULA, DRAWING, 5 PATTERN, COMPILATION, INCLUDING A CUSTOMER LIST, PROGRAM, 6 DEVICE, METHOD, TECHNIQUE OR PROCESS THAT: 7 (1) DERIVES INDEPENDENT ECONOMIC VALUE, ACTUAL OR 8 POTENTIAL, FROM NOT BEING GENERALLY KNOWN TO AND NOT BEING 9 READILY ASCERTAINABLE BY PROPER MEANS BY OTHER PERSONS WHO 10 CAN OBTAIN ECONOMIC VALUE FROM ITS DISCLOSURE OR USE; AND 11 (2) IS THE SUBJECT OF EFFORTS THAT ARE REASONABLE UNDER 12 THE CIRCUMSTANCES TO MAINTAIN ITS SECRECY. 13 THE TERM INCLUDES DATA PROCESSING SOFTWARE OBTAINED BY AN AGENCY 14 UNDER A LICENSING AGREEMENT PROHIBITING DISCLOSURE. 15 CHAPTER 3 16 REQUIREMENTS AND PROHIBITIONS 17 SECTION 301. COMMONWEALTH AGENCIES. 18 (A) REQUIREMENT.--A COMMONWEALTH AGENCY SHALL PROVIDE PUBLIC 19 RECORDS IN ACCORDANCE WITH THIS ACT. 20 (B) PROHIBITION.--A COMMONWEALTH AGENCY MAY NOT DENY A 21 REQUESTER ACCESS TO A PUBLIC RECORD DUE TO THE INTENDED USE OF 22 THE PUBLIC RECORD BY THE REQUESTER UNLESS OTHERWISE PROVIDED BY 23 LAW. 24 SECTION 302. LOCAL AGENCIES. 25 (A) REQUIREMENT.--A LOCAL AGENCY SHALL PROVIDE PUBLIC 26 RECORDS IN ACCORDANCE WITH THIS ACT. 27 (B) PROHIBITION.--A LOCAL AGENCY MAY NOT DENY A REQUESTER 28 ACCESS TO A PUBLIC RECORD DUE TO THE INTENDED USE OF THE PUBLIC 29 RECORD BY THE REQUESTER UNLESS OTHERWISE PROVIDED BY LAW. 30 SECTION 303. LEGISLATIVE AGENCIES. 20070S0001B1704 - 63 -
1 (A) REQUIREMENT.--A LEGISLATIVE AGENCY SHALL PROVIDE 2 LEGISLATIVE RECORDS IN ACCORDANCE WITH THIS ACT. 3 (B) PROHIBITION.--A LEGISLATIVE AGENCY MAY NOT DENY A 4 REQUESTER ACCESS TO A LEGISLATIVE RECORD DUE TO THE INTENDED USE 5 OF THE LEGISLATIVE RECORD BY THE REQUESTER. 6 SECTION 304. JUDICIAL AGENCIES. 7 (A) REQUIREMENT.--A JUDICIAL AGENCY SHALL PROVIDE FINANCIAL 8 RECORDS IN ACCORDANCE WITH THIS ACT OR ANY RULE OR ORDER OF 9 COURT PROVIDING EQUAL OR GREATER ACCESS TO THE RECORDS. 10 (B) PROHIBITION.--A JUDICIAL AGENCY MAY NOT DENY A REQUESTER 11 ACCESS TO A FINANCIAL RECORD DUE TO THE INTENDED USE OF THE 12 FINANCIAL RECORD BY THE REQUESTER. 13 SECTION 305. PRESUMPTION. 14 (A) GENERAL RULE.--A RECORD IN THE POSSESSION OF A 15 COMMONWEALTH AGENCY OR LOCAL AGENCY SHALL BE PRESUMED TO BE A 16 PUBLIC RECORD. THE PRESUMPTION SHALL NOT APPLY IF: 17 (1) THE RECORD IS EXEMPT UNDER SECTION 708; 18 (2) THE RECORD IS PROTECTED BY A PRIVILEGE; OR 19 (3) THE RECORD IS EXEMPT FROM DISCLOSURE UNDER ANY OTHER 20 FEDERAL OR STATE LAW OR REGULATION OR JUDICIAL ORDER OR 21 DECREE. 22 (B) LEGISLATIVE RECORDS AND FINANCIAL RECORDS.--A 23 LEGISLATIVE RECORD IN THE POSSESSION OF A LEGISLATIVE AGENCY AND 24 A FINANCIAL RECORD IN THE POSSESSION OF A JUDICIAL AGENCY SHALL 25 BE PRESUMED TO BE AVAILABLE IN ACCORDANCE WITH THIS ACT. THE 26 PRESUMPTION SHALL NOT APPLY IF: 27 (1) THE RECORD IS EXEMPT UNDER SECTION 708; 28 (2) THE RECORD IS PROTECTED BY A PRIVILEGE; OR 29 (3) THE RECORD IS EXEMPT FROM DISCLOSURE UNDER ANY OTHER 30 FEDERAL OR STATE LAW, REGULATION OR JUDICIAL ORDER OR DECREE. 20070S0001B1704 - 64 -
1 SECTION 306. NATURE OF DOCUMENT. 2 NOTHING IN THIS ACT SHALL SUPERSEDE OR MODIFY THE PUBLIC OR 3 NONPUBLIC NATURE OF A RECORD OR DOCUMENT ESTABLISHED IN FEDERAL 4 OR STATE LAW, REGULATION OR JUDICIAL ORDER OR DECREE. 5 CHAPTER 5 6 ACCESS 7 SECTION 501. SCOPE OF CHAPTER. 8 THIS CHAPTER APPLIES TO ALL AGENCIES. 9 SECTION 502. OPEN-RECORDS OFFICER. 10 (A) ESTABLISHMENT.-- 11 (1) AN AGENCY SHALL DESIGNATE AN OFFICIAL OR EMPLOYEE TO 12 ACT AS THE OPEN-RECORDS OFFICER. 13 (2) FOR A LEGISLATIVE AGENCY OTHER THAN THE SENATE OR 14 THE HOUSE OF REPRESENTATIVES, THE OPEN-RECORDS OFFICER 15 DESIGNATED BY THE LEGISLATIVE REFERENCE BUREAU SHALL SERVE AS 16 THE OPEN-RECORDS OFFICER. A POLITICAL PARTY CAUCUS OF A 17 LEGISLATIVE AGENCY MAY APPOINT AN OPEN-RECORDS OFFICER UNDER 18 THIS SECTION. 19 (B) FUNCTIONS.-- 20 (1) THE OPEN-RECORDS OFFICER SHALL RECEIVE REQUESTS 21 SUBMITTED TO THE AGENCY UNDER THIS ACT, DIRECT REQUESTS TO 22 OTHER APPROPRIATE PERSONS WITHIN THE AGENCY OR TO APPROPRIATE 23 PERSONS IN ANOTHER AGENCY, TRACK THE AGENCY'S PROGRESS IN 24 RESPONDING TO REQUESTS AND ISSUE INTERIM AND FINAL RESPONSES 25 UNDER THIS ACT. 26 (2) UPON RECEIVING A REQUEST FOR A PUBLIC RECORD, 27 LEGISLATIVE RECORD OR FINANCIAL RECORD, THE OPEN-RECORDS 28 OFFICER SHALL DO ALL OF THE FOLLOWING: 29 (I) NOTE THE DATE OF RECEIPT ON THE WRITTEN REQUEST. 30 (II) COMPUTE THE DAY ON WHICH THE FIVE-DAY PERIOD 20070S0001B1704 - 65 -
1 UNDER SECTION 901 WILL EXPIRE AND MAKE A NOTATION OF THAT 2 DATE ON THE WRITTEN REQUEST. 3 (III) MAINTAIN AN ELECTRONIC OR PAPER COPY OF A 4 WRITTEN REQUEST, INCLUDING ALL DOCUMENTS SUBMITTED WITH 5 THE REQUEST UNTIL THE REQUEST HAS BEEN FULFILLED. IF THE 6 REQUEST IS DENIED, THE WRITTEN REQUEST SHALL BE 7 MAINTAINED FOR 30 DAYS OR, IF AN APPEAL IS FILED, UNTIL A 8 FINAL DETERMINATION IS ISSUED UNDER SECTION 1101(B) OR 9 THE APPEAL IS DEEMED DENIED. 10 (IV) CREATE A FILE FOR THE RETENTION OF THE ORIGINAL 11 REQUEST, A COPY OF THE RESPONSE, A RECORD OF WRITTEN 12 COMMUNICATIONS WITH THE REQUESTER AND A COPY OF OTHER 13 COMMUNICATIONS. THIS SUBPARAGRAPH SHALL ONLY APPLY TO 14 COMMONWEALTH AGENCIES. 15 SECTION 503. APPEALS OFFICER. 16 (A) COMMONWEALTH AGENCIES AND LOCAL AGENCIES.--EXCEPT AS 17 PROVIDED IN SUBSECTION (D), THE OFFICE OF OPEN RECORDS 18 ESTABLISHED UNDER SECTION 1310 SHALL DESIGNATE AN APPEALS 19 OFFICER UNDER SECTION 1101(A)(2) FOR ALL: 20 (1) COMMONWEALTH AGENCIES; AND 21 (2) LOCAL AGENCIES. 22 (B) JUDICIAL AGENCIES.--A JUDICIAL AGENCY SHALL DESIGNATE AN 23 APPEALS OFFICER TO HEAR APPEALS UNDER CHAPTER 11. 24 (C) LEGISLATIVE AGENCIES.-- 25 (1) EXCEPT AS SET FORTH IN PARAGRAPH (2), THE 26 LEGISLATIVE REFERENCE BUREAU SHALL DESIGNATE AN APPEALS 27 OFFICER TO HEAR APPEALS UNDER CHAPTER 11 FOR ALL LEGISLATIVE 28 AGENCIES. 29 (2) EACH OF THE FOLLOWING SHALL DESIGNATE AN APPEALS 30 OFFICER TO HEAR APPEALS UNDER CHAPTER 11: 20070S0001B1704 - 66 -
1 (I) THE SENATE. 2 (II) THE HOUSE OF REPRESENTATIVES. 3 (D) LAW ENFORCEMENT RECORDS AND STATEWIDE OFFICIALS.-- 4 (1) THE ATTORNEY GENERAL, STATE TREASURER AND AUDITOR 5 GENERAL SHALL EACH DESIGNATE AN APPEALS OFFICER TO HEAR 6 APPEALS UNDER CHAPTER 11. 7 (2) THE DISTRICT ATTORNEY OF A COUNTY SHALL DESIGNATE 8 ONE OR MORE APPEALS OFFICERS TO HEAR APPEALS UNDER CHAPTER 11 9 RELATING TO ACCESS TO CRIMINAL INVESTIGATIVE RECORDS IN 10 POSSESSION OF A LOCAL AGENCY OF THAT COUNTY. THE APPEALS 11 OFFICER DESIGNATED BY THE DISTRICT ATTORNEY SHALL DETERMINE 12 IF THE RECORD REQUESTED IS A CRIMINAL INVESTIGATIVE RECORD. 13 SECTION 504. REGULATIONS AND POLICIES. 14 (A) AUTHORITY.--AN AGENCY MAY PROMULGATE REGULATIONS AND 15 POLICIES NECESSARY FOR THE AGENCY TO IMPLEMENT THIS ACT. THE 16 OFFICE OF OPEN RECORDS MAY PROMULGATE REGULATIONS RELATING TO 17 APPEALS INVOLVING A COMMONWEALTH AGENCY OR LOCAL AGENCY. 18 (B) POSTING.--THE FOLLOWING INFORMATION SHALL BE POSTED AT 19 EACH AGENCY AND, IF THE AGENCY MAINTAINS AN INTERNET WEBSITE, ON 20 THE AGENCY'S INTERNET WEBSITE: 21 (1) CONTACT INFORMATION FOR THE OPEN-RECORDS OFFICER. 22 (2) CONTACT INFORMATION FOR THE OFFICE OF OPEN RECORDS 23 OR OTHER APPLICABLE APPEALS OFFICER. 24 (3) A FORM WHICH MAY BE USED TO FILE A REQUEST. 25 (4) REGULATIONS, POLICIES AND PROCEDURES OF THE AGENCY 26 RELATING TO THIS ACT. 27 SECTION 505. UNIFORM FORM. 28 (A) COMMONWEALTH AND LOCAL AGENCIES.--THE OFFICE OF OPEN 29 RECORDS SHALL DEVELOP A UNIFORM FORM WHICH SHALL BE ACCEPTED BY 30 ALL COMMONWEALTH AND LOCAL AGENCIES IN ADDITION TO ANY FORM USED 20070S0001B1704 - 67 -
1 BY THE AGENCY TO FILE A REQUEST UNDER THIS ACT. THE UNIFORM FORM 2 SHALL BE PUBLISHED IN THE PENNSYLVANIA BULLETIN AND ON THE 3 OFFICE OF OPEN RECORD'S INTERNET WEBSITE. 4 (B) JUDICIAL AGENCIES.--A JUDICIAL AGENCY OR THE 5 ADMINISTRATIVE OFFICE OF PENNSYLVANIA COURTS MAY DEVELOP A FORM 6 TO REQUEST FINANCIAL RECORDS OR MAY ACCEPT A FORM DEVELOPED BY 7 THE OFFICE OF OPEN RECORDS. 8 (C) LEGISLATIVE AGENCIES.--A LEGISLATIVE AGENCY MAY DEVELOP 9 A FORM TO REQUEST LEGISLATIVE RECORDS OR MAY ACCEPT THE FORM 10 DEVELOPED BY THE OFFICE OF OPEN RECORDS. 11 SECTION 506. REQUESTS. 12 (A) DISRUPTIVE REQUESTS.-- 13 (1) AN AGENCY MAY DENY A REQUESTER ACCESS TO A RECORD IF 14 THE REQUESTER HAS MADE REPEATED REQUESTS FOR THAT SAME RECORD 15 AND THE REPEATED REQUESTS HAVE PLACED AN UNREASONABLE BURDEN 16 ON THE AGENCY. 17 (2) A DENIAL UNDER THIS SUBSECTION SHALL NOT RESTRICT 18 THE ABILITY TO REQUEST A DIFFERENT RECORD. 19 (B) DISASTER OR POTENTIAL DAMAGE.-- 20 (1) AN AGENCY MAY DENY A REQUESTER ACCESS: 21 (I) WHEN TIMELY ACCESS IS NOT POSSIBLE DUE TO FIRE, 22 FLOOD OR OTHER DISASTER; OR 23 (II) TO HISTORICAL, ANCIENT OR RARE DOCUMENTS, 24 RECORDS, ARCHIVES AND MANUSCRIPTS WHEN ACCESS MAY, IN THE 25 PROFESSIONAL JUDGMENT OF THE CURATOR OR CUSTODIAN OF 26 RECORDS, CAUSE PHYSICAL DAMAGE OR IRREPARABLE HARM TO THE 27 RECORD. 28 (2) TO THE EXTENT POSSIBLE, THE CONTENTS OF A RECORD 29 UNDER THIS SUBSECTION SHALL BE MADE ACCESSIBLE TO A REQUESTER 30 EVEN WHEN THE RECORD IS PHYSICALLY UNAVAILABLE. 20070S0001B1704 - 68 -
1 (C) AGENCY DISCRETION.--AN AGENCY MAY EXERCISE ITS 2 DISCRETION TO MAKE ANY OTHERWISE EXEMPT RECORD ACCESSIBLE FOR 3 INSPECTION AND COPYING UNDER THIS CHAPTER, IF ALL OF THE 4 FOLLOWING APPLY: 5 (1) DISCLOSURE OF THE RECORD IS NOT PROHIBITED UNDER ANY 6 OF THE FOLLOWING: 7 (I) FEDERAL OR STATE LAW OR REGULATION. 8 (II) JUDICIAL ORDER OR DECREE. 9 (2) THE RECORD IS NOT PROTECTED BY A PRIVILEGE. 10 (3) THE AGENCY HEAD DETERMINES THAT THE PUBLIC INTEREST 11 FAVORING ACCESS OUTWEIGHS ANY INDIVIDUAL, AGENCY OR PUBLIC 12 INTEREST THAT MAY FAVOR RESTRICTION OF ACCESS. 13 (D) AGENCY POSSESSION.-- 14 (1) A PUBLIC RECORD THAT IS NOT IN THE POSSESSION OF AN 15 AGENCY BUT IS IN THE POSSESSION OF A PARTY WITH WHOM THE 16 AGENCY HAS CONTRACTED TO PERFORM A GOVERNMENTAL FUNCTION ON 17 BEHALF OF THE AGENCY, AND WHICH DIRECTLY RELATES TO THE 18 GOVERNMENTAL FUNCTION AND IS NOT EXEMPT UNDER THIS ACT, SHALL 19 BE CONSIDERED A PUBLIC RECORD OF THE AGENCY FOR PURPOSES OF 20 THIS ACT. 21 (2) NOTHING IN THIS ACT SHALL BE CONSTRUED TO REQUIRE 22 ACCESS TO ANY OTHER RECORD OF THE PARTY IN POSSESSION OF THE 23 PUBLIC RECORD. 24 (3) A REQUEST FOR A PUBLIC RECORD IN POSSESSION OF A 25 PARTY OTHER THAN THE AGENCY SHALL BE SUBMITTED TO THE OPEN 26 RECORDS OFFICER OF THE AGENCY. UPON A DETERMINATION THAT THE 27 RECORD IS SUBJECT TO ACCESS UNDER THIS ACT, THE OPEN RECORDS 28 OFFICER SHALL ASSESS THE DUPLICATION FEE ESTABLISHED UNDER 29 SECTION 1307(B) AND UPON COLLECTION SHALL REMIT THE FEE TO 30 THE PARTY IN POSSESSION OF THE RECORD IF THE PARTY DUPLICATED 20070S0001B1704 - 69 -
1 THE RECORD. 2 SECTION 507. RETENTION OF RECORDS. 3 NOTHING IN THIS ACT SHALL BE CONSTRUED TO MODIFY, RESCIND OR 4 SUPERSEDE ANY RECORD RETENTION POLICY OR DISPOSITION SCHEDULE OF 5 AN AGENCY ESTABLISHED PURSUANT TO LAW, REGULATION, POLICY OR 6 OTHER DIRECTIVE. 7 CHAPTER 7 8 PROCEDURE 9 SECTION 701. ACCESS. 10 (A) GENERAL RULE.--UNLESS OTHERWISE PROVIDED BY LAW, A 11 PUBLIC RECORD, LEGISLATIVE RECORD OR FINANCIAL RECORD SHALL BE 12 ACCESSIBLE FOR INSPECTION AND DUPLICATION IN ACCORDANCE WITH 13 THIS ACT. A RECORD BEING PROVIDED TO A REQUESTER SHALL BE 14 PROVIDED IN THE MEDIUM REQUESTED IF IT EXISTS IN THAT MEDIUM; 15 OTHERWISE, IT SHALL BE PROVIDED IN THE MEDIUM IN WHICH IT 16 EXISTS. PUBLIC RECORDS, LEGISLATIVE RECORDS OR FINANCIAL RECORDS 17 SHALL BE AVAILABLE FOR ACCESS DURING THE REGULAR BUSINESS HOURS 18 OF AN AGENCY. 19 (B) CONSTRUCTION.--NOTHING IN THIS ACT SHALL BE CONSTRUED TO 20 REQUIRE ACCESS TO ANY COMPUTER EITHER OF AN AGENCY OR INDIVIDUAL 21 EMPLOYEE OF AN AGENCY. 22 SECTION 702. REQUESTS. 23 AGENCIES MAY FULFILL VERBAL, WRITTEN OR ANONYMOUS VERBAL OR 24 WRITTEN REQUESTS FOR ACCESS TO RECORDS UNDER THIS ACT. IF THE 25 REQUESTER WISHES TO PURSUE THE RELIEF AND REMEDIES PROVIDED FOR 26 IN THIS ACT, THE REQUEST FOR ACCESS TO RECORDS MUST BE A WRITTEN 27 REQUEST. 28 SECTION 703. WRITTEN REQUESTS. 29 A WRITTEN REQUEST FOR ACCESS TO RECORDS MAY BE SUBMITTED IN 30 PERSON, BY MAIL, BY E-MAIL, BY FACSIMILE OR, TO THE EXTENT 20070S0001B1704 - 70 -
1 PROVIDED BY AGENCY RULES, ANY OTHER ELECTRONIC MEANS. A WRITTEN 2 REQUEST MUST BE ADDRESSED TO THE OPEN-RECORDS OFFICER DESIGNATED 3 PURSUANT TO SECTION 502. EMPLOYEES OF AN AGENCY SHALL BE 4 DIRECTED TO FORWARD REQUESTS FOR RECORDS TO THE OPEN-RECORDS 5 OFFICER. A WRITTEN REQUEST SHOULD IDENTIFY OR DESCRIBE THE 6 RECORDS SOUGHT WITH SUFFICIENT SPECIFICITY TO ENABLE THE AGENCY 7 TO ASCERTAIN WHICH RECORDS ARE BEING REQUESTED AND SHALL INCLUDE 8 THE NAME AND ADDRESS TO WHICH THE AGENCY SHOULD ADDRESS ITS 9 RESPONSE. A WRITTEN REQUEST NEED NOT INCLUDE ANY EXPLANATION OF 10 THE REQUESTER'S REASON FOR REQUESTING OR INTENDED USE OF THE 11 RECORDS UNLESS OTHERWISE REQUIRED BY LAW. 12 SECTION 704. ELECTRONIC ACCESS. 13 (A) GENERAL RULE.--IN ADDITION TO THE REQUIREMENTS OF 14 SECTION 701, AN AGENCY MAY MAKE ITS RECORDS AVAILABLE THROUGH 15 ANY PUBLICLY ACCESSIBLE ELECTRONIC MEANS. 16 (B) RESPONSE.-- 17 (1) IN ADDITION TO THE REQUIREMENTS OF SECTION 701, AN 18 AGENCY MAY RESPOND TO A REQUEST BY NOTIFYING THE REQUESTER 19 THAT THE RECORD IS AVAILABLE THROUGH PUBLICLY ACCESSIBLE 20 ELECTRONIC MEANS OR THAT THE AGENCY WILL PROVIDE ACCESS TO 21 INSPECT THE RECORD ELECTRONICALLY. 22 (2) IF THE REQUESTER IS UNWILLING OR UNABLE TO ACCESS 23 THE RECORD ELECTRONICALLY, THE REQUESTER MAY, WITHIN 30 DAYS 24 FOLLOWING RECEIPT OF THE AGENCY NOTIFICATION, SUBMIT A 25 WRITTEN REQUEST TO THE AGENCY TO HAVE THE RECORD CONVERTED TO 26 PAPER. THE AGENCY SHALL PROVIDE ACCESS TO THE RECORD IN 27 PRINTED FORM WITHIN FIVE DAYS OF THE RECEIPT OF THE WRITTEN 28 REQUEST FOR CONVERSION TO PAPER. 29 SECTION 705. CREATION OF RECORD. 30 WHEN RESPONDING TO A REQUEST FOR ACCESS, AN AGENCY SHALL NOT 20070S0001B1704 - 71 -
1 BE REQUIRED TO CREATE A RECORD WHICH DOES NOT CURRENTLY EXIST OR 2 TO COMPILE, MAINTAIN, FORMAT OR ORGANIZE A RECORD IN A MANNER IN 3 WHICH THE AGENCY DOES NOT CURRENTLY COMPILE, MAINTAIN, FORMAT OR 4 ORGANIZE THE RECORD. 5 SECTION 706. REDACTION. 6 IF AN AGENCY DETERMINES THAT A PUBLIC RECORD, LEGISLATIVE 7 RECORD OR FINANCIAL RECORD CONTAINS INFORMATION WHICH IS SUBJECT 8 TO ACCESS AS WELL AS INFORMATION WHICH IS NOT SUBJECT TO ACCESS, 9 THE AGENCY'S RESPONSE SHALL GRANT ACCESS TO THE INFORMATION 10 WHICH IS SUBJECT TO ACCESS AND DENY ACCESS TO THE INFORMATION 11 WHICH IS NOT SUBJECT TO ACCESS. IF THE INFORMATION WHICH IS NOT 12 SUBJECT TO ACCESS IS AN INTEGRAL PART OF THE PUBLIC RECORD, 13 LEGISLATIVE RECORD OR FINANCIAL RECORD AND CANNOT BE SEPARATED, 14 THE AGENCY SHALL REDACT FROM THE RECORD THE INFORMATION WHICH IS 15 NOT SUBJECT TO ACCESS, AND THE RESPONSE SHALL GRANT ACCESS TO 16 THE INFORMATION WHICH IS SUBJECT TO ACCESS. THE AGENCY MAY NOT 17 DENY ACCESS TO THE RECORD IF THE INFORMATION WHICH IS NOT 18 SUBJECT TO ACCESS IS ABLE TO BE REDACTED. INFORMATION WHICH AN 19 AGENCY REDACTS IN ACCORDANCE WITH THIS SUBSECTION SHALL BE 20 DEEMED A DENIAL UNDER CHAPTER 9. 21 SECTION 707. PRODUCTION OF CERTAIN RECORDS. 22 (A) GENERAL RULE.--IF, IN RESPONSE TO A REQUEST, AN AGENCY 23 PRODUCES A RECORD THAT IS NOT A PUBLIC RECORD, LEGISLATIVE 24 RECORD OR FINANCIAL RECORD, THE AGENCY SHALL NOTIFY ANY THIRD 25 PARTY THAT PROVIDED THE RECORD TO THE AGENCY, THE PERSON THAT IS 26 THE SUBJECT OF THE RECORD AND THE REQUESTER. 27 (B) REQUESTS FOR TRADE SECRETS.--AN AGENCY SHALL NOTIFY A 28 THIRD PARTY OF A REQUEST FOR A RECORD IF THE THIRD PARTY 29 PROVIDED THE RECORD AND INCLUDED A WRITTEN STATEMENT SIGNED BY A 30 REPRESENTATIVE OF THE THIRD PARTY THAT THE RECORD CONTAINS A 20070S0001B1704 - 72 -
1 TRADE SECRET OR CONFIDENTIAL PROPRIETARY INFORMATION. 2 NOTIFICATION SHALL BE PROVIDED WITHIN FIVE BUSINESS DAYS OF 3 RECEIPT OF THE REQUEST FOR THE RECORD. THE THIRD PARTY SHALL 4 HAVE FIVE BUSINESS DAYS FROM RECEIPT OF NOTIFICATION FROM THE 5 AGENCY TO PROVIDE INPUT ON THE RELEASE OF THE RECORD. THE AGENCY 6 SHALL DENY THE REQUEST FOR THE RECORD OR RELEASE THE RECORD 7 WITHIN TEN BUSINESS DAYS OF THE PROVISION OF NOTICE TO THE THIRD 8 PARTY AND SHALL NOTIFY THE THIRD PARTY OF THE DECISION. 9 (C) TRANSCRIPTS.-- 10 (1) PRIOR TO AN ADJUDICATION BECOMING FINAL, BINDING AND 11 NONAPPEALABLE, A TRANSCRIPT OF AN ADMINISTRATIVE PROCEEDING 12 SHALL BE PROVIDED TO A REQUESTER BY THE AGENCY STENOGRAPHER 13 OR A COURT REPORTER, IN ACCORDANCE WITH AGENCY PROCEDURE OR 14 AN APPLICABLE CONTRACT. 15 (2) FOLLOWING AN ADJUDICATION BECOMING FINAL, BINDING 16 AND NONAPPEALABLE, A TRANSCRIPT OF AN ADMINISTRATIVE 17 PROCEEDING SHALL BE PROVIDED TO A REQUESTER IN ACCORDANCE 18 WITH THE DUPLICATION RATES ESTABLISHED IN SECTION 1307(B). 19 SECTION 708. EXCEPTIONS FOR PUBLIC RECORDS. 20 (A) BURDEN OF PROOF.-- 21 (1) THE BURDEN OF PROVING THAT A RECORD OF A 22 COMMONWEALTH AGENCY OR LOCAL AGENCY IS EXEMPT FROM PUBLIC 23 ACCESS SHALL BE ON THE COMMONWEALTH AGENCY OR LOCAL AGENCY 24 RECEIVING A REQUEST BY A PREPONDERANCE OF THE EVIDENCE. 25 (2) THE BURDEN OF PROVING THAT A LEGISLATIVE RECORD IS 26 EXEMPT FROM PUBLIC ACCESS SHALL BE ON THE LEGISLATIVE AGENCY 27 RECEIVING A REQUEST BY A PREPONDERANCE OF THE EVIDENCE. 28 (3) THE BURDEN OF PROVING THAT A FINANCIAL RECORD OF A 29 JUDICIAL AGENCY IS EXEMPT FROM PUBLIC ACCESS SHALL BE ON THE 30 JUDICIAL AGENCY RECEIVING A REQUEST BY A PREPONDERANCE OF THE 20070S0001B1704 - 73 -
1 EVIDENCE. 2 (B) EXCEPTIONS.--EXCEPT AS PROVIDED IN SUBSECTIONS (C) AND 3 (D), THE FOLLOWING ARE EXEMPT FROM ACCESS BY A REQUESTER UNDER 4 THIS ACT: 5 (1) A RECORD THE DISCLOSURE OF WHICH: 6 (I) WOULD RESULT IN THE LOSS OF FEDERAL OR STATE 7 FUNDS BY AN AGENCY OR THE COMMONWEALTH; OR 8 (II) WOULD BE REASONABLY LIKELY TO RESULT IN A 9 SUBSTANTIAL AND DEMONSTRABLE RISK OF PHYSICAL HARM TO AN 10 INDIVIDUAL. 11 (2) A RECORD MAINTAINED BY AN AGENCY IN CONNECTION WITH 12 THE MILITARY, HOMELAND SECURITY, NATIONAL DEFENSE, LAW 13 ENFORCEMENT OR OTHER PUBLIC SAFETY ACTIVITY THAT IF DISCLOSED 14 WOULD BE REASONABLY LIKELY TO JEOPARDIZE OR THREATEN PUBLIC 15 SAFETY OR PREPAREDNESS OR PUBLIC PROTECTION ACTIVITY OR A 16 RECORD THAT IS DESIGNATED CLASSIFIED BY AN APPROPRIATE 17 FEDERAL OR STATE MILITARY AUTHORITY. 18 (3) A RECORD, THE DISCLOSURE OF WHICH CREATES A 19 REASONABLE LIKELIHOOD OF ENDANGERING THE SAFETY OR THE 20 PHYSICAL SECURITY OF A BUILDING, PUBLIC UTILITY, RESOURCE, 21 INFRASTRUCTURE, FACILITY OR INFORMATION STORAGE SYSTEM, WHICH 22 MAY INCLUDE: 23 (I) DOCUMENTS OR DATA RELATING TO COMPUTER HARDWARE, 24 SOURCE FILES, SOFTWARE AND SYSTEM NETWORKS THAT COULD 25 JEOPARDIZE COMPUTER SECURITY BY EXPOSING A VULNERABILITY 26 IN PREVENTING, PROTECTING AGAINST, MITIGATING OR 27 RESPONDING TO A TERRORIST ACT; 28 (II) LISTS OF INFRASTRUCTURE, RESOURCES AND 29 SIGNIFICANT SPECIAL EVENTS, INCLUDING THOSE DEFINED BY 30 THE FEDERAL GOVERNMENT IN THE NATIONAL INFRASTRUCTURE 20070S0001B1704 - 74 -
1 PROTECTIONS, WHICH ARE DEEMED CRITICAL DUE TO THEIR 2 NATURE AND WHICH RESULT FROM RISK ANALYSIS; THREAT 3 ASSESSMENTS; CONSEQUENCES ASSESSMENTS; ANTITERRORISM 4 PROTECTIVE MEASURES AND PLANS; COUNTERTERRORISM MEASURES 5 AND PLANS; AND SECURITY AND RESPONSE NEEDS ASSESSMENTS; 6 AND 7 (III) BUILDING PLANS OR INFRASTRUCTURE RECORDS THAT 8 EXPOSE OR CREATE VULNERABILITY THROUGH DISCLOSURE OF THE 9 LOCATION, CONFIGURATION OR SECURITY OF CRITICAL SYSTEMS, 10 INCLUDING PUBLIC UTILITY SYSTEMS, STRUCTURAL ELEMENTS, 11 TECHNOLOGY, COMMUNICATION, ELECTRICAL, FIRE SUPPRESSION, 12 VENTILATION, WATER, WASTEWATER, SEWAGE AND GAS SYSTEMS. 13 (4) A RECORD REGARDING COMPUTER HARDWARE, SOFTWARE AND 14 NETWORKS, INCLUDING ADMINISTRATIVE OR TECHNICAL RECORDS, 15 WHICH, IF DISCLOSED, WOULD BE REASONABLY LIKELY TO JEOPARDIZE 16 COMPUTER SECURITY. 17 (5) A RECORD OF AN INDIVIDUAL'S MEDICAL, PSYCHIATRIC OR 18 PSYCHOLOGICAL HISTORY OR DISABILITY STATUS, INCLUDING AN 19 EVALUATION, CONSULTATION, PRESCRIPTION, DIAGNOSIS OR 20 TREATMENT; RESULTS OF TESTS, INCLUDING DRUG TESTS; ENROLLMENT 21 IN A HEALTH CARE PROGRAM OR PROGRAM DESIGNED FOR 22 PARTICIPATION BY PERSONS WITH DISABILITIES, INCLUDING 23 VOCATION REHABILITATION, WORKERS' COMPENSATION AND 24 UNEMPLOYMENT COMPENSATION; OR RELATED INFORMATION THAT WOULD 25 DISCLOSE INDIVIDUALLY IDENTIFIABLE HEALTH INFORMATION. 26 (6) (I) THE FOLLOWING PERSONAL IDENTIFICATION 27 INFORMATION: 28 (A) A RECORD CONTAINING ALL OR PART OF A 29 PERSON'S SOCIAL SECURITY NUMBER; DRIVER'S LICENSE 30 NUMBER; PERSONAL FINANCIAL INFORMATION; HOME, 20070S0001B1704 - 75 -
1 CELLULAR OR PERSONAL TELEPHONE NUMBERS; PERSONAL E- 2 MAIL ADDRESSES; EMPLOYEE NUMBER OR OTHER CONFIDENTIAL 3 PERSONAL IDENTIFICATION NUMBER. 4 (B) A SPOUSE'S NAME; MARITAL STATUS, BENEFICIARY 5 OR DEPENDENT INFORMATION. 6 (C) THE HOME ADDRESS OF A LAW ENFORCEMENT 7 OFFICER OR JUDGE. 8 (II) NOTHING IN THIS PARAGRAPH SHALL PRECLUDE THE 9 RELEASE OF THE NAME, POSITION, SALARY, ACTUAL 10 COMPENSATION OR OTHER PAYMENTS OR EXPENSES, EMPLOYMENT 11 CONTRACT, EMPLOYMENT-RELATED CONTRACT OR AGREEMENT AND 12 LENGTH OF SERVICE OF A PUBLIC OFFICIAL OR AN AGENCY 13 EMPLOYEE. 14 (III) AN AGENCY MAY REDACT THE NAME OR OTHER 15 IDENTIFYING INFORMATION RELATING TO AN INDIVIDUAL 16 PERFORMING AN UNDERCOVER OR COVERT LAW ENFORCEMENT 17 ACTIVITY FROM A RECORD. 18 (7) THE FOLLOWING RECORDS RELATING TO AN AGENCY 19 EMPLOYEE: 20 (I) A LETTER OF REFERENCE OR RECOMMENDATION 21 PERTAINING TO THE CHARACTER OR QUALIFICATIONS OF AN 22 IDENTIFIABLE INDIVIDUAL, UNLESS IT WAS PREPARED IN 23 RELATION TO THE APPOINTMENT OF AN INDIVIDUAL TO FILL A 24 VACANCY IN AN ELECTED OFFICE OR AN APPOINTED OFFICE 25 REQUIRING SENATE CONFIRMATION. 26 (II) A PERFORMANCE RATING OR REVIEW. 27 (III) THE RESULT OF A CIVIL SERVICE OR SIMILAR TEST 28 ADMINISTERED BY A COMMONWEALTH AGENCY, LEGISLATIVE AGENCY 29 OR JUDICIAL AGENCY. THE RESULT OF A CIVIL SERVICE OR 30 SIMILAR TEST ADMINISTERED BY A LOCAL AGENCY SHALL NOT BE 20070S0001B1704 - 76 -
1 DISCLOSED IF RESTRICTED BY A COLLECTIVE BARGAINING 2 AGREEMENT. ONLY TEST SCORES OF INDIVIDUALS WHO OBTAINED A 3 PASSING SCORE ON A TEST ADMINISTERED BY A LOCAL AGENCY 4 MAY BE DISCLOSED. 5 (IV) THE EMPLOYMENT APPLICATION OF AN INDIVIDUAL WHO 6 IS NOT HIRED BY THE AGENCY. 7 (V) WORKPLACE SUPPORT SERVICES PROGRAM INFORMATION. 8 (VI) WRITTEN CRITICISMS OF AN EMPLOYEE. 9 (VII) GRIEVANCE MATERIAL, INCLUDING DOCUMENTS 10 RELATED TO DISCRIMINATION OR SEXUAL HARASSMENT. 11 (VIII) INFORMATION REGARDING DISCIPLINE, DEMOTION OR 12 DISCHARGE CONTAINED IN A PERSONNEL FILE. THIS 13 SUBPARAGRAPH SHALL NOT APPLY TO THE FINAL ACTION OF AN 14 AGENCY THAT RESULTS IN DEMOTION OR DISCHARGE. 15 (IX) AN ACADEMIC TRANSCRIPT. 16 (8) (I) A RECORD PERTAINING TO STRATEGY OR NEGOTIATIONS 17 RELATING TO LABOR RELATIONS OR COLLECTIVE BARGAINING AND 18 RELATED ARBITRATION PROCEEDINGS. THIS SUBPARAGRAPH SHALL 19 NOT APPLY TO A FINAL OR EXECUTED CONTRACT OR AGREEMENT 20 BETWEEN THE PARTIES IN A COLLECTIVE BARGAINING PROCEDURE. 21 (II) IN THE CASE OF THE ARBITRATION OF A DISPUTE OR 22 GRIEVANCE UNDER A COLLECTIVE BARGAINING AGREEMENT, AN 23 EXHIBIT ENTERED INTO EVIDENCE AT AN ARBITRATION 24 PROCEEDING, A TRANSCRIPT OF THE ARBITRATION OR THE 25 OPINION. THIS SUBPARAGRAPH SHALL NOT APPLY TO THE FINAL 26 AWARD OR ORDER OF THE ARBITRATOR IN A DISPUTE OR 27 GRIEVANCE PROCEDURE. 28 (9) THE DRAFT OF A BILL, RESOLUTION, REGULATION, 29 STATEMENT OF POLICY, MANAGEMENT DIRECTIVE, ORDINANCE OR 30 AMENDMENT THERETO PREPARED BY OR FOR AN AGENCY. 20070S0001B1704 - 77 -
1 (10) (I) A RECORD THAT REFLECTS: 2 (A) THE INTERNAL, PREDECISIONAL DELIBERATIONS OF 3 AN AGENCY, ITS MEMBERS, EMPLOYEES OR OFFICIALS OR 4 PREDECISIONAL DELIBERATIONS BETWEEN AGENCY MEMBERS, 5 EMPLOYEES OR OFFICIALS AND MEMBERS, EMPLOYEES OR 6 OFFICIALS OF ANOTHER AGENCY, INCLUDING PREDECISIONAL 7 DELIBERATIONS RELATING TO A BUDGET RECOMMENDATION, 8 LEGISLATIVE PROPOSAL, LEGISLATIVE AMENDMENT, 9 CONTEMPLATED OR PROPOSED POLICY OR COURSE OF ACTION 10 OR ANY RESEARCH, MEMOS OR OTHER DOCUMENTS USED IN THE 11 PREDECISIONAL DELIBERATIONS. 12 (B) THE STRATEGY TO BE USED TO DEVELOP OR 13 ACHIEVE THE SUCCESSFUL ADOPTION OF A BUDGET, 14 LEGISLATIVE PROPOSAL OR REGULATION. 15 (II) SUBPARAGRAPH (I)(A) SHALL APPLY TO AGENCIES 16 SUBJECT TO 65 PA.C.S. CH. 7 (RELATING TO OPEN MEETINGS) 17 IN A MANNER CONSISTENT WITH 65 PA.C.S. CH. 7. 18 (III) THIS PARAGRAPH SHALL NOT APPLY TO A WRITTEN OR 19 INTERNET APPLICATION OR OTHER DOCUMENT THAT HAS BEEN 20 SUBMITTED TO REQUEST COMMONWEALTH FUNDS. 21 (IV) THIS PARAGRAPH SHALL NOT APPLY TO THE RESULTS 22 OF PUBLIC OPINION SURVEYS, POLLS, FOCUS GROUPS, MARKETING 23 RESEARCH OR SIMILAR EFFORT DESIGNED TO MEASURE PUBLIC 24 OPINION. 25 (11) A RECORD THAT CONSTITUTES OR REVEALS A TRADE SECRET 26 OR CONFIDENTIAL PROPRIETARY INFORMATION. 27 (12) NOTES AND WORKING PAPERS PREPARED BY OR FOR A 28 PUBLIC OFFICIAL OR AGENCY EMPLOYEE USED SOLELY FOR THAT 29 OFFICIAL'S OR EMPLOYEE'S OWN PERSONAL USE, INCLUDING 30 TELEPHONE MESSAGE SLIPS, ROUTING SLIPS AND OTHER MATERIALS 20070S0001B1704 - 78 -
1 THAT DO NOT HAVE AN OFFICIAL PURPOSE. 2 (13) RECORDS THAT WOULD DISCLOSE THE IDENTITY OF AN 3 INDIVIDUAL WHO LAWFULLY MAKES A DONATION TO AN AGENCY UNLESS 4 THE DONATION IS INTENDED FOR OR RESTRICTED TO PROVIDING 5 REMUNERATION OR PERSONAL TANGIBLE BENEFIT TO A NAMED PUBLIC 6 OFFICIAL OR EMPLOYEE OF THE AGENCY, INCLUDING LISTS OF 7 POTENTIAL DONORS COMPILED BY AN AGENCY TO PURSUE DONATIONS, 8 DONOR PROFILE INFORMATION OR PERSONAL IDENTIFYING INFORMATION 9 RELATING TO A DONOR. 10 (14) UNPUBLISHED LECTURE NOTES, UNPUBLISHED MANUSCRIPTS, 11 UNPUBLISHED ARTICLES, CREATIVE WORKS IN PROGRESS, RESEARCH- 12 RELATED MATERIAL AND SCHOLARLY CORRESPONDENCE OF A COMMUNITY 13 COLLEGE OR AN INSTITUTION OF THE STATE SYSTEM OF HIGHER 14 EDUCATION OR A FACULTY MEMBER, STAFF EMPLOYEE, GUEST SPEAKER 15 OR STUDENT THEREOF. 16 (15) EXAMINATION QUESTIONS, SCORING KEYS OR ANSWERS TO 17 AN EXAMINATION, INCLUDING QUESTIONS, KEYS AND ANSWERS OF 18 TESTS IN PRIMARY AND SECONDARY SCHOOLS AND INSTITUTIONS OF 19 HIGHER EDUCATION. 20 (16) A RECORD OF AN AGENCY RELATING TO OR RESULTING IN A 21 CRIMINAL INVESTIGATION, INCLUDING: 22 (I) COMPLAINTS OF POTENTIAL CRIMINAL CONDUCT OTHER 23 THAN A PRIVATE CRIMINAL COMPLAINT. 24 (II) INVESTIGATIVE MATERIALS, NOTES, CORRESPONDENCE, 25 VIDEOS AND REPORTS. 26 (III) A RECORD THAT INCLUDES THE IDENTITY OF A 27 CONFIDENTIAL SOURCE OR THE IDENTITY OF A SUSPECT WHO HAS 28 NOT BEEN CHARGED WITH AN OFFENSE TO WHOM CONFIDENTIALITY 29 HAS BEEN PROMISED. 30 (IV) A RECORD THAT INCLUDES INFORMATION MADE 20070S0001B1704 - 79 -
1 CONFIDENTIAL BY LAW OR COURT ORDER. 2 (V) VICTIM INFORMATION, INCLUDING ANY INFORMATION 3 THAT WOULD JEOPARDIZE THE SAFETY OF THE VICTIM. 4 (VI) A RECORD THAT, IF DISCLOSED, WOULD DO ANY OF 5 THE FOLLOWING: 6 (A) REVEAL THE INSTITUTION, PROGRESS OR RESULT 7 OF A CRIMINAL INVESTIGATION, EXCEPT THE FILING OF 8 CRIMINAL CHARGES. 9 (B) DEPRIVE A PERSON OF THE RIGHT TO A FAIR 10 TRIAL OR AN IMPARTIAL ADJUDICATION. 11 (C) IMPAIR THE ABILITY TO LOCATE A DEFENDANT OR 12 CODEFENDANT. 13 (D) HINDER AN AGENCY'S ABILITY TO SECURE AN 14 ARREST, PROSECUTION OR CONVICTION. 15 (E) ENDANGER THE LIFE OR PHYSICAL SAFETY OF AN 16 INDIVIDUAL. 17 THIS PARAGRAPH SHALL NOT APPLY TO INFORMATION CONTAINED IN A 18 POLICE BLOTTER AS DEFINED IN 18 PA.C.S. § 9102 (RELATING TO 19 DEFINITIONS) AND UTILIZED OR MAINTAINED BY THE PENNSYLVANIA 20 STATE POLICE, LOCAL, CAMPUS, TRANSIT OR PORT AUTHORITY POLICE 21 DEPARTMENT OR OTHER LAW ENFORCEMENT AGENCY OR IN A TRAFFIC 22 REPORT EXCEPT AS PROVIDED UNDER 75 PA.C.S. § 3754(B) 23 (RELATING TO ACCIDENT PREVENTION INVESTIGATIONS). 24 (17) A RECORD OF AN AGENCY RELATING TO A NONCRIMINAL 25 INVESTIGATION, INCLUDING: 26 (I) COMPLAINTS SUBMITTED TO AN AGENCY. 27 (II) INVESTIGATIVE MATERIALS, NOTES, CORRESPONDENCE 28 AND REPORTS. 29 (III) A RECORD THAT INCLUDES THE IDENTITY OF A 30 CONFIDENTIAL SOURCE, INCLUDING INDIVIDUALS SUBJECT TO THE 20070S0001B1704 - 80 -
1 ACT OF DECEMBER 12, 1986 (P.L.1559, NO.169), KNOWN AS THE 2 WHISTLEBLOWER LAW. 3 (IV) A RECORD THAT INCLUDES INFORMATION MADE 4 CONFIDENTIAL BY LAW. 5 (V) WORK PAPERS UNDERLYING AN AUDIT. 6 (VI) A RECORD THAT, IF DISCLOSED, WOULD DO ANY OF 7 THE FOLLOWING: 8 (A) REVEAL THE INSTITUTION, PROGRESS OR RESULT 9 OF AN AGENCY INVESTIGATION, EXCEPT THE IMPOSITION OF 10 A FINE OR CIVIL PENALTY, THE SUSPENSION, MODIFICATION 11 OR REVOCATION OF A LICENSE, PERMIT, REGISTRATION, 12 CERTIFICATION OR SIMILAR AUTHORIZATION ISSUED BY AN 13 AGENCY OR AN EXECUTED SETTLEMENT AGREEMENT UNLESS THE 14 AGREEMENT IS DETERMINED TO BE CONFIDENTIAL BY A 15 COURT. 16 (B) DEPRIVE A PERSON OF THE RIGHT TO AN 17 IMPARTIAL ADJUDICATION. 18 (C) CONSTITUTE AN UNWARRANTED INVASION OF 19 PRIVACY. 20 (D) HINDER AN AGENCY'S ABILITY TO SECURE AN 21 ADMINISTRATIVE OR CIVIL SANCTION. 22 (E) ENDANGER THE LIFE OR PHYSICAL SAFETY OF AN 23 INDIVIDUAL. 24 (18) (I) RECORDS OR PARTS OF RECORDS, EXCEPT TIME 25 RESPONSE LOGS, PERTAINING TO AUDIO RECORDINGS, TELEPHONE 26 OR RADIO TRANSMISSIONS RECEIVED BY EMERGENCY DISPATCH 27 PERSONNEL, INCLUDING 911 RECORDINGS. 28 (II) THIS PARAGRAPH SHALL NOT APPLY TO A 911 29 RECORDING OR A TRANSCRIPT OF A 911 RECORDING IF THE 30 AGENCY OR A COURT DETERMINES THAT THE PUBLIC INTEREST IN 20070S0001B1704 - 81 -
1 DISCLOSURE OUTWEIGHS THE INTEREST IN NONDISCLOSURE. 2 (19) DNA AND RNA RECORDS. 3 (20) AN AUTOPSY RECORD OF A CORONER OR MEDICAL EXAMINER 4 AND ANY AUDIOTAPE OF A POSTMORTEM EXAMINATION OR AUTOPSY, OR 5 A COPY, REPRODUCTION OR FACSIMILE OF AN AUTOPSY REPORT, A 6 PHOTOGRAPH, NEGATIVE OR PRINT, INCLUDING A PHOTOGRAPH OR 7 VIDEOTAPE OF THE BODY OR ANY PORTION OF THE BODY OF A 8 DECEASED PERSON AT THE SCENE OF DEATH OR IN THE COURSE OF A 9 POSTMORTEM EXAMINATION OR AUTOPSY TAKEN OR MADE BY OR CAUSED 10 TO BE TAKEN OR MADE BY THE CORONER OR MEDICAL EXAMINER. THIS 11 EXCEPTION SHALL NOT LIMIT THE REPORTING OF THE NAME OF THE 12 DECEASED INDIVIDUAL AND THE CAUSE AND MANNER OF DEATH. 13 (21) (I) DRAFT MINUTES OF ANY MEETING OF AN AGENCY 14 UNTIL THE NEXT REGULARLY SCHEDULED MEETING OF THE AGENCY. 15 (II) MINUTES OF AN EXECUTIVE SESSION AND ANY RECORD 16 OF DISCUSSIONS HELD IN EXECUTIVE SESSION. 17 (22) (I) THE CONTENTS OF REAL ESTATE APPRAISALS, 18 ENGINEERING OR FEASIBILITY ESTIMATES, ENVIRONMENTAL 19 REVIEWS, AUDITS OR EVALUATIONS MADE FOR OR BY AN AGENCY 20 RELATIVE TO THE FOLLOWING: 21 (A) THE LEASING, ACQUIRING OR DISPOSING OF REAL 22 PROPERTY OR AN INTEREST IN REAL PROPERTY. 23 (B) THE PURCHASE OF PUBLIC SUPPLIES OR EQUIPMENT 24 INCLUDED IN THE REAL ESTATE TRANSACTION. 25 (C) CONSTRUCTION PROJECTS. 26 (II) THIS PARAGRAPH SHALL NOT APPLY ONCE THE 27 DECISION IS MADE TO PROCEED WITH THE LEASE, ACQUISITION 28 OR DISPOSAL OF REAL PROPERTY OR AN INTEREST IN REAL 29 PROPERTY OR THE PURCHASE OF PUBLIC SUPPLY OR CONSTRUCTION 30 PROJECT. 20070S0001B1704 - 82 -
1 (23) LIBRARY AND ARCHIVE CIRCULATION AND ORDER RECORDS 2 OF AN IDENTIFIABLE INDIVIDUAL OR GROUPS OF INDIVIDUALS. 3 (24) LIBRARY ARCHIVED AND MUSEUM MATERIALS, OR VALUABLE 4 OR RARE BOOK COLLECTIONS OR DOCUMENTS CONTRIBUTED BY GIFT, 5 GRANT, BEQUEST OR DEVISE, TO THE EXTENT OF ANY LIMITATIONS 6 IMPOSED BY THE DONOR AS A CONDITION OF THE CONTRIBUTION. 7 (25) A RECORD IDENTIFYING THE LOCATION OF AN 8 ARCHEOLOGICAL SITE OR AN ENDANGERED OR THREATENED PLANT OR 9 ANIMAL SPECIES IF NOT ALREADY KNOWN TO THE GENERAL PUBLIC. 10 (26) A PROPOSAL PERTAINING TO AGENCY PROCUREMENT OR 11 DISPOSAL OF SUPPLIES, SERVICES OR CONSTRUCTION PRIOR TO THE 12 AWARD OF THE CONTRACT OR PRIOR TO THE OPENING AND REJECTION 13 OF ALL BIDS; FINANCIAL INFORMATION OF A BIDDER OR OFFEROR 14 REQUESTED IN AN INVITATION FOR BID OR REQUEST FOR PROPOSALS 15 TO DEMONSTRATE THE BIDDER'S OR OFFEROR'S ECONOMIC CAPABILITY; 16 OR THE IDENTITY OF MEMBERS, NOTES AND OTHER RECORDS OF AGENCY 17 PROPOSAL EVALUATION COMMITTEES ESTABLISHED UNDER 62 PA.C.S. § 18 513 (RELATING TO COMPETITIVE SEALED PROPOSALS). 19 (27) A RECORD OR INFORMATION RELATING TO A COMMUNICATION 20 BETWEEN AN AGENCY AND ITS INSURANCE CARRIER, ADMINISTRATIVE 21 SERVICE ORGANIZATION OR RISK MANAGEMENT OFFICE. THIS 22 PARAGRAPH SHALL NOT APPLY TO A CONTRACT WITH AN INSURANCE 23 CARRIER, ADMINISTRATIVE SERVICE ORGANIZATION OR RISK 24 MANAGEMENT OFFICE OR TO FINANCIAL RECORDS RELATING TO THE 25 PROVISION OF INSURANCE. 26 (28) A RECORD OR INFORMATION: 27 (I) IDENTIFYING AN INDIVIDUAL WHO APPLIES FOR OR 28 RECEIVES SOCIAL SERVICES; OR 29 (II) RELATING TO THE FOLLOWING: 30 (A) THE TYPE OF SOCIAL SERVICES RECEIVED BY AN 20070S0001B1704 - 83 -
1 INDIVIDUAL; 2 (B) AN INDIVIDUAL'S APPLICATION TO RECEIVE 3 SOCIAL SERVICES, INCLUDING A RECORD OR INFORMATION 4 RELATED TO AN AGENCY DECISION TO GRANT, DENY, REDUCE 5 OR RESTRICT BENEFITS, INCLUDING A QUASI-JUDICIAL 6 DECISION OF THE AGENCY AND THE IDENTITY OF A 7 CAREGIVER OR OTHERS WHO PROVIDE SERVICES TO THE 8 INDIVIDUAL; OR 9 (C) ELIGIBILITY TO RECEIVE SOCIAL SERVICES, 10 INCLUDING THE INDIVIDUAL'S INCOME, ASSETS, PHYSICAL 11 OR MENTAL HEALTH, AGE, DISABILITY, FAMILY 12 CIRCUMSTANCES OR RECORD OF ABUSE. 13 (29) CORRESPONDENCE BETWEEN A PERSON AND A MEMBER OF THE 14 GENERAL ASSEMBLY AND RECORDS ACCOMPANYING THE CORRESPONDENCE 15 WHICH WOULD IDENTIFY A PERSON THAT REQUESTS ASSISTANCE ON 16 CONSTITUENT SERVICES. THIS PARAGRAPH SHALL NOT APPLY TO 17 CORRESPONDENCE BETWEEN A MEMBER OF THE GENERAL ASSEMBLY AND A 18 PRINCIPAL OR LOBBYIST UNDER 65 PA.C.S. CH. 13A (RELATING TO 19 LOBBYIST DISCLOSURE). 20 (C) FINANCIAL RECORDS.--THE EXCEPTIONS SET FORTH IN 21 SUBSECTION (B) SHALL NOT APPLY TO FINANCIAL RECORDS, EXCEPT FOR 22 FINANCIAL RECORDS PROTECTED UNDER SUBSECTION (B)(1), (2), (3), 23 (4) OR (5) OR PERSONAL FINANCIAL INFORMATION. AN AGENCY SHALL 24 REDACT THAT PORTION OF A FINANCIAL RECORD WHICH WOULD DISCLOSE 25 INFORMATION PROTECTED UNDER SUBSECTION (B)(6). AN AGENCY SHALL 26 NOT DISCLOSE THE IDENTITY OF AN INDIVIDUAL PERFORMING AN 27 UNDERCOVER OR COVERT LAW ENFORCEMENT ACTIVITY OR OTHER 28 NONFINANCIAL INFORMATION PROTECTED UNDER SUBSECTION (B)(16) OR 29 (17). 30 (D) AGGREGATED DATA.--THE EXCEPTIONS SET FORTH IN SUBSECTION 20070S0001B1704 - 84 -
1 (B) SHALL NOT APPLY TO AGGREGATED DATA MAINTAINED OR RECEIVED BY 2 AN AGENCY, EXCEPT FOR DATA PROTECTED UNDER SUBSECTION (B)(1), 3 (2), (3), (4) OR (5). 4 CHAPTER 9 5 AGENCY RESPONSE 6 SECTION 901. GENERAL RULE. 7 UPON RECEIPT OF A WRITTEN REQUEST FOR ACCESS TO A RECORD, AN 8 AGENCY SHALL MAKE A GOOD FAITH EFFORT TO DETERMINE IF THE RECORD 9 REQUESTED IS A PUBLIC RECORD, LEGISLATIVE RECORD OR FINANCIAL 10 RECORD AND WHETHER THE AGENCY HAS POSSESSION, CUSTODY OR CONTROL 11 OF THE IDENTIFIED RECORD, AND TO RESPOND AS PROMPTLY AS POSSIBLE 12 UNDER THE CIRCUMSTANCES EXISTING AT THE TIME OF THE REQUEST. ALL 13 APPLICABLE FEES SHALL BE PAID IN ORDER TO RECEIVE ACCESS TO THE 14 RECORD REQUESTED. THE TIME FOR RESPONSE SHALL NOT EXCEED FIVE 15 BUSINESS DAYS FROM THE DATE THE WRITTEN REQUEST IS RECEIVED BY 16 THE OPEN-RECORDS OFFICER FOR AN AGENCY. IF THE AGENCY FAILS TO 17 SEND THE RESPONSE WITHIN FIVE BUSINESS DAYS OF RECEIPT OF THE 18 WRITTEN REQUEST FOR ACCESS, THE WRITTEN REQUEST FOR ACCESS SHALL 19 BE DEEMED DENIED. 20 SECTION 902. EXTENSION OF TIME. 21 (A) DETERMINATION.--UPON RECEIPT OF A WRITTEN REQUEST FOR 22 ACCESS, THE OPEN-RECORDS OFFICER FOR AN AGENCY SHALL DETERMINE 23 IF ONE OF THE FOLLOWING APPLIES: 24 (1) THE REQUEST FOR ACCESS REQUIRES REDACTION OF A 25 RECORD IN ACCORDANCE WITH SECTION 706; 26 (2) THE REQUEST FOR ACCESS REQUIRES THE RETRIEVAL OF A 27 RECORD STORED IN A REMOTE LOCATION; 28 (3) A TIMELY RESPONSE TO THE REQUEST FOR ACCESS CANNOT 29 BE ACCOMPLISHED DUE TO BONA FIDE AND SPECIFIED STAFFING 30 LIMITATIONS; 20070S0001B1704 - 85 -
1 (4) A LEGAL REVIEW IS NECESSARY TO DETERMINE WHETHER THE 2 RECORD IS A RECORD SUBJECT TO ACCESS UNDER THIS ACT; 3 (5) THE REQUESTER HAS NOT COMPLIED WITH THE COMMONWEALTH 4 AGENCY'S POLICIES REGARDING ACCESS TO RECORDS; 5 (6) THE REQUESTER REFUSES TO PAY APPLICABLE FEES 6 AUTHORIZED BY THIS ACT; OR 7 (7) THE EXTENT OR NATURE OF THE REQUEST PRECLUDES A 8 RESPONSE WITHIN THE REQUIRED TIME PERIOD. 9 (B) NOTICE.-- 10 (1) UPON A DETERMINATION THAT ONE OF THE FACTORS LISTED 11 IN SUBSECTION (A) APPLIES, THE OPEN-RECORDS OFFICER SHALL 12 SEND WRITTEN NOTICE TO THE REQUESTER WITHIN FIVE BUSINESS 13 DAYS OF RECEIPT OF THE REQUEST FOR ACCESS UNDER SUBSECTION 14 (A). 15 (2) THE NOTICE SHALL INCLUDE A STATEMENT NOTIFYING THE 16 REQUESTER THAT THE REQUEST FOR ACCESS IS BEING REVIEWED, THE 17 REASON FOR THE REVIEW, A REASONABLE DATE THAT A RESPONSE IS 18 EXPECTED TO BE PROVIDED AND AN ESTIMATE OF APPLICABLE FEES 19 OWED WHEN THE RECORD BECOMES AVAILABLE. IF THE DATE THAT A 20 RESPONSE IS EXPECTED TO BE PROVIDED IS IN EXCESS OF 30 DAYS, 21 FOLLOWING THE FIVE BUSINESS DAYS ALLOWED FOR IN SECTION 901, 22 THE REQUEST FOR ACCESS SHALL BE DEEMED DENIED UNLESS THE 23 REQUESTER HAS AGREED IN WRITING TO AN EXTENSION TO THE DATE 24 SPECIFIED IN THE NOTICE. 25 (3) IF THE REQUESTER AGREES TO THE EXTENSION, THE 26 REQUEST SHALL BE DEEMED DENIED ON THE DAY FOLLOWING THE DATE 27 SPECIFIED IN THE NOTICE IF THE AGENCY HAS NOT PROVIDED A 28 RESPONSE BY THAT DATE. 29 SECTION 903. DENIAL. 30 IF AN AGENCY'S RESPONSE IS A DENIAL OF A WRITTEN REQUEST FOR 20070S0001B1704 - 86 -
1 ACCESS, WHETHER IN WHOLE OR IN PART, THE DENIAL SHALL BE ISSUED 2 IN WRITING AND SHALL INCLUDE: 3 (1) A DESCRIPTION OF THE RECORD REQUESTED. 4 (2) THE SPECIFIC REASONS FOR THE DENIAL, INCLUDING A 5 CITATION OF SUPPORTING LEGAL AUTHORITY. 6 (3) THE TYPED OR PRINTED NAME, TITLE, BUSINESS ADDRESS, 7 BUSINESS TELEPHONE NUMBER AND SIGNATURE OF THE OPEN-RECORDS 8 OFFICER ON WHOSE AUTHORITY THE DENIAL IS ISSUED. 9 (4) DATE OF THE RESPONSE. 10 (5) THE PROCEDURE TO APPEAL THE DENIAL OF ACCESS UNDER 11 THIS ACT. 12 SECTION 904. CERTIFIED COPIES. 13 IF AN AGENCY'S RESPONSE GRANTS A REQUEST FOR ACCESS, THE 14 AGENCY SHALL, UPON REQUEST, PROVIDE THE REQUESTER WITH A 15 CERTIFIED COPY OF THE RECORD IF THE REQUESTER PAYS THE 16 APPLICABLE FEES UNDER SECTION 1307. 17 SECTION 905. RECORD DISCARD. 18 IF AN AGENCY RESPONSE TO A REQUESTER STATES THAT COPIES OF 19 THE REQUESTED RECORDS ARE AVAILABLE FOR DELIVERY AT THE OFFICE 20 OF AN AGENCY AND THE REQUESTER FAILS TO RETRIEVE THE RECORDS 21 WITHIN 60 DAYS OF THE AGENCY'S RESPONSE, THE AGENCY MAY DISPOSE 22 OF ANY COPIES WHICH HAVE NOT BEEN RETRIEVED AND RETAIN ANY FEES 23 PAID TO DATE. 24 CHAPTER 11 25 APPEAL OF AGENCY DETERMINATION 26 SECTION 1101. FILING OF APPEAL. 27 (A) AUTHORIZATION.-- 28 (1) IF A WRITTEN REQUEST FOR ACCESS TO A RECORD IS 29 DENIED OR DEEMED DENIED, THE REQUESTER MAY FILE AN APPEAL 30 WITH THE OFFICE OF OPEN RECORDS OR JUDICIAL, LEGISLATIVE OR 20070S0001B1704 - 87 -
1 OTHER APPEALS OFFICER DESIGNATED UNDER SECTION 503(D) WITHIN 2 15 BUSINESS DAYS OF THE MAILING DATE OF THE AGENCY'S RESPONSE 3 OR WITHIN 15 BUSINESS DAYS OF A DEEMED DENIAL. THE APPEAL 4 SHALL STATE THE GROUNDS UPON WHICH THE REQUESTER ASSERTS THAT 5 THE RECORD IS A PUBLIC RECORD, LEGISLATIVE RECORD OR 6 FINANCIAL RECORD AND SHALL ADDRESS ANY GROUNDS STATED BY THE 7 AGENCY FOR DELAYING OR DENYING THE REQUEST. 8 (2) IN THE CASE OF AN APPEAL OF A DECISION BY A 9 COMMONWEALTH AGENCY OR LOCAL AGENCY, THE OFFICE OF OPEN 10 RECORDS SHALL ASSIGN AN APPEALS OFFICER TO REVIEW THE DENIAL. 11 (B) DETERMINATION.-- 12 (1) UNLESS THE REQUESTER AGREES OTHERWISE, THE APPEALS 13 OFFICER SHALL MAKE A FINAL DETERMINATION WHICH SHALL BE 14 MAILED TO THE REQUESTER AND THE AGENCY WITHIN 30 DAYS OF 15 RECEIPT OF THE APPEAL FILED UNDER SUBSECTION (A). 16 (2) IF THE APPEALS OFFICER FAILS TO ISSUE A FINAL 17 DETERMINATION WITHIN 30 DAYS, THE APPEAL IS DEEMED DENIED. 18 (3) PRIOR TO ISSUING A FINAL DETERMINATION, A HEARING 19 MAY BE CONDUCTED. THE DETERMINATION BY THE APPEALS OFFICER 20 SHALL BE A FINAL ORDER. THE APPEALS OFFICER SHALL PROVIDE A 21 WRITTEN EXPLANATION OF THE REASON FOR THE DECISION TO THE 22 REQUESTER AND THE AGENCY. 23 (C) DIRECT INTEREST.-- 24 (1) A PERSON OTHER THAN THE AGENCY OR REQUESTER WITH A 25 DIRECT INTEREST IN THE RECORD SUBJECT TO AN APPEAL UNDER THIS 26 SECTION MAY, WITHIN 15 DAYS FOLLOWING RECEIPT OF ACTUAL 27 KNOWLEDGE OF THE APPEAL BUT NO LATER THAN THE DATE THE 28 APPEALS OFFICER ISSUES AN ORDER, FILE A WRITTEN REQUEST TO 29 PROVIDE INFORMATION OR TO APPEAR BEFORE THE APPEALS OFFICER 30 OR TO FILE INFORMATION IN SUPPORT OF THE REQUESTER'S OR 20070S0001B1704 - 88 -
1 AGENCY'S POSITION. 2 (2) THE APPEALS OFFICER MAY GRANT A REQUEST UNDER 3 PARAGRAPH (1) IF: 4 (I) NO HEARING HAS BEEN HELD; 5 (II) THE APPEALS OFFICER HAS NOT YET ISSUED ITS 6 ORDER; AND 7 (III) THE APPEALS OFFICER BELIEVES THE INFORMATION 8 WILL BE PROBATIVE. 9 (3) COPIES OF THE WRITTEN REQUEST SHALL BE SENT TO THE 10 AGENCY AND THE REQUESTER. 11 SECTION 1102. APPEALS OFFICERS. 12 (A) DUTIES.--AN APPEALS OFFICER DESIGNATED UNDER SECTION 503 13 SHALL DO ALL OF THE FOLLOWING: 14 (1) SET A SCHEDULE FOR THE REQUESTER AND THE OPEN- 15 RECORDS OFFICER TO SUBMIT DOCUMENTS IN SUPPORT OF THEIR 16 POSITIONS. 17 (2) REVIEW ALL INFORMATION FILED RELATING TO THE 18 REQUEST. THE APPEALS OFFICER MAY HOLD A HEARING. A DECISION 19 TO HOLD OR NOT TO HOLD A HEARING IS NOT APPEALABLE. THE 20 APPEALS OFFICER MAY ADMIT INTO EVIDENCE TESTIMONY, EVIDENCE 21 AND DOCUMENTS THAT THE APPEALS OFFICER BELIEVES TO BE 22 REASONABLY PROBATIVE AND RELEVANT TO AN ISSUE IN DISPUTE. THE 23 APPEALS OFFICER MAY LIMIT THE NATURE AND EXTENT OF EVIDENCE 24 FOUND TO BE CUMULATIVE. 25 (3) CONSULT WITH AGENCY COUNSEL AS APPROPRIATE. 26 (4) ISSUE A FINAL DETERMINATION ON BEHALF OF THE OFFICE 27 OF OPEN RECORDS OR OTHER AGENCY. 28 (B) PROCEDURES.--THE OFFICE OF OPEN RECORDS, A JUDICIAL 29 AGENCY, A LEGISLATIVE AGENCY, THE ATTORNEY GENERAL, AUDITOR 30 GENERAL, STATE TREASURER OR DISTRICT ATTORNEY MAY ADOPT 20070S0001B1704 - 89 -
1 PROCEDURES RELATING TO APPEALS UNDER THIS CHAPTER. 2 (1) IF AN APPEAL IS RESOLVED WITHOUT A HEARING, 1 PA. 3 CODE PT. II (RELATING TO GENERAL RULES OF ADMINISTRATIVE 4 PRACTICE AND PROCEDURE) DOES NOT APPLY EXCEPT TO THE EXTENT 5 THAT THE AGENCY HAS ADOPTED THESE CHAPTERS IN ITS REGULATIONS 6 OR RULES UNDER THIS SUBSECTION. 7 (2) IF A HEARING IS HELD, 1 PA. CODE PT. II SHALL APPLY 8 UNLESS THE AGENCY OR THE LEGISLATIVE AGENCY HAS ADOPTED 9 REGULATIONS, POLICIES OR PROCEDURES TO THE CONTRARY UNDER 10 THIS SUBSECTION. 11 (3) IN THE ABSENCE OF A REGULATION, POLICY OR PROCEDURE 12 GOVERNING APPEALS UNDER THIS CHAPTER, THE APPEALS OFFICER 13 SHALL RULE ON PROCEDURAL MATTERS ON THE BASIS OF JUSTICE, 14 FAIRNESS AND THE EXPEDITIOUS RESOLUTION OF THE DISPUTE. 15 CHAPTER 13 16 JUDICIAL REVIEW 17 SECTION 1301. COMMONWEALTH AGENCIES, LEGISLATIVE AGENCIES AND 18 JUDICIAL AGENCIES. 19 (A) GENERAL RULE.--WITHIN 30 DAYS OF THE MAILING DATE OF THE 20 FINAL DETERMINATION OF THE APPEALS OFFICER RELATING TO A 21 DECISION OF A COMMONWEALTH AGENCY, A LEGISLATIVE AGENCY OR A 22 JUDICIAL AGENCY ISSUED UNDER SECTION 1101(B) OR THE DATE A 23 REQUEST FOR ACCESS IS DEEMED DENIED, A REQUESTER OR THE AGENCY 24 MAY FILE A PETITION FOR REVIEW OR OTHER DOCUMENT AS MIGHT BE 25 REQUIRED BY RULE OF COURT WITH THE COMMONWEALTH COURT. THE 26 DECISION OF THE COURT SHALL CONTAIN FINDINGS OF FACT AND 27 CONCLUSIONS OF LAW BASED UPON THE EVIDENCE AS A WHOLE. THE 28 DECISION SHALL CLEARLY AND CONCISELY EXPLAIN THE RATIONALE FOR 29 THE DECISION. 30 (B) STAY.--A PETITION FOR REVIEW UNDER THIS SECTION SHALL 20070S0001B1704 - 90 -
1 STAY THE RELEASE OF DOCUMENTS UNTIL A DECISION UNDER SUBSECTION 2 (A) IS ISSUED. 3 SECTION 1302. LOCAL AGENCIES. 4 (A) GENERAL RULE.--WITHIN 30 DAYS OF THE MAILING DATE OF THE 5 FINAL DETERMINATION OF THE APPEALS OFFICER RELATING TO A 6 DECISION OF A LOCAL AGENCY ISSUED UNDER SECTION 1101(B) OR OF 7 THE DATE A REQUEST FOR ACCESS IS DEEMED DENIED, A REQUESTER OR 8 LOCAL AGENCY MAY FILE A PETITION FOR REVIEW OR OTHER DOCUMENT AS 9 REQUIRED BY RULE OF COURT WITH THE COURT OF COMMON PLEAS FOR THE 10 COUNTY WHERE THE LOCAL AGENCY IS LOCATED. THE DECISION OF THE 11 COURT SHALL CONTAIN FINDINGS OF FACT AND CONCLUSIONS OF LAW 12 BASED UPON THE EVIDENCE AS A WHOLE. THE DECISION SHALL CLEARLY 13 AND CONCISELY EXPLAIN THE RATIONALE FOR THE DECISION. 14 (B) STAY.--A PETITION FOR REVIEW UNDER THIS SECTION SHALL 15 STAY THE RELEASE OF DOCUMENTS UNTIL A DECISION UNDER SUBSECTION 16 (A) IS ISSUED. 17 SECTION 1303. NOTICE AND RECORDS. 18 (A) NOTICE.--AN AGENCY, THE REQUESTER AND THE OFFICE OF OPEN 19 RECORDS OR DESIGNATED APPEALS OFFICER SHALL BE SERVED NOTICE OF 20 ACTIONS COMMENCED IN ACCORDANCE WITH SECTION 1301 OR 1302 AND 21 SHALL HAVE AN OPPORTUNITY TO RESPOND IN ACCORDANCE WITH 22 APPLICABLE COURT RULES. 23 (B) RECORD ON APPEAL.--THE RECORD BEFORE A COURT SHALL 24 CONSIST OF THE REQUEST, THE AGENCY'S RESPONSE, THE APPEAL FILED 25 UNDER SECTION 1101, THE HEARING TRANSCRIPT, IF ANY, AND THE 26 FINAL WRITTEN DETERMINATION OF THE APPEALS OFFICER. 27 SECTION 1304. COURT COSTS AND ATTORNEY FEES. 28 (A) REVERSAL OF AGENCY DETERMINATION.--IF A COURT REVERSES 29 THE FINAL DETERMINATION OF THE APPEALS OFFICER OR GRANTS ACCESS 30 TO A RECORD AFTER A REQUEST FOR ACCESS WAS DEEMED DENIED, THE 20070S0001B1704 - 91 -
1 COURT MAY AWARD REASONABLE ATTORNEY FEES AND COSTS OF LITIGATION 2 OR AN APPROPRIATE PORTION THEREOF TO A REQUESTER IF THE COURT 3 FINDS EITHER OF THE FOLLOWING: 4 (1) THE AGENCY RECEIVING THE ORIGINAL REQUEST WILLFULLY 5 OR WITH WANTON DISREGARD DEPRIVED THE REQUESTER OF ACCESS TO 6 A PUBLIC RECORD SUBJECT TO ACCESS OR OTHERWISE ACTED IN BAD 7 FAITH UNDER THE PROVISIONS OF THIS ACT; OR 8 (2) THE EXEMPTIONS, EXCLUSIONS OR DEFENSES ASSERTED BY 9 THE AGENCY IN ITS FINAL DETERMINATION WERE NOT BASED ON A 10 REASONABLE INTERPRETATION OF LAW. 11 (B) SANCTIONS FOR FRIVOLOUS REQUESTS OR APPEALS.--THE COURT 12 MAY AWARD REASONABLE ATTORNEY FEES AND COSTS OF LITIGATION OR AN 13 APPROPRIATE PORTION THEREOF TO AN AGENCY OR THE REQUESTER IF THE 14 COURT FINDS THAT THE LEGAL CHALLENGE UNDER THIS CHAPTER WAS 15 FRIVOLOUS. 16 (C) OTHER SANCTIONS.--NOTHING IN THIS ACT SHALL PROHIBIT A 17 COURT FROM IMPOSING PENALTIES AND COSTS IN ACCORDANCE WITH 18 APPLICABLE RULES OF COURT. 19 SECTION 1305. CIVIL PENALTY. 20 (A) DENIAL OF ACCESS.--A COURT MAY IMPOSE A CIVIL PENALTY OF 21 NOT MORE THAN $1,500 IF AN AGENCY DENIED ACCESS TO A PUBLIC 22 RECORD IN BAD FAITH. 23 (B) FAILURE TO COMPLY WITH COURT ORDER.--AN AGENCY OR PUBLIC 24 OFFICIAL WHO DOES NOT PROMPTLY COMPLY WITH A COURT ORDER UNDER 25 THIS ACT IS SUBJECT TO A CIVIL PENALTY OF NOT MORE THAN $500 PER 26 DAY UNTIL THE PUBLIC RECORDS ARE PROVIDED. 27 SECTION 1306. IMMUNITY. 28 (A) GENERAL RULE.--EXCEPT AS PROVIDED IN SECTIONS 1304 AND 29 1305 AND OTHER STATUTES GOVERNING THE RELEASE OF RECORDS, NO 30 AGENCY, PUBLIC OFFICIAL OR PUBLIC EMPLOYEE SHALL BE LIABLE FOR 20070S0001B1704 - 92 -
1 CIVIL PENALTIES RESULTING FROM COMPLIANCE OR FAILURE TO COMPLY 2 WITH THIS ACT. 3 (B) SCHEDULES.--NO AGENCY, PUBLIC OFFICIAL OR PUBLIC 4 EMPLOYEE SHALL BE LIABLE FOR CIVIL OR CRIMINAL DAMAGES OR 5 PENALTIES UNDER THIS ACT FOR COMPLYING WITH ANY WRITTEN PUBLIC 6 RECORD RETENTION AND DISPOSITION SCHEDULE. 7 SECTION 1307. FEE LIMITATIONS. 8 (A) POSTAGE.--FEES FOR POSTAGE MAY NOT EXCEED THE ACTUAL 9 COST OF MAILING. 10 (B) DUPLICATION.-- 11 (1) FEES FOR DUPLICATION BY PHOTOCOPYING, PRINTING FROM 12 ELECTRONIC MEDIA OR MICROFILM, COPYING ONTO ELECTRONIC MEDIA, 13 TRANSMISSION BY FACSIMILE OR OTHER ELECTRONIC MEANS AND OTHER 14 MEANS OF DUPLICATION SHALL BE ESTABLISHED: 15 (I) BY THE OFFICE OF OPEN RECORDS, FOR COMMONWEALTH 16 AGENCIES AND LOCAL AGENCIES; 17 (II) BY EACH JUDICIAL AGENCY; AND 18 (III) BY EACH LEGISLATIVE AGENCY. 19 (2) THE FEES MUST BE REASONABLE AND BASED ON PREVAILING 20 FEES FOR COMPARABLE DUPLICATION SERVICES PROVIDED BY LOCAL 21 BUSINESS ENTITIES. 22 (3) FEES FOR LOCAL AGENCIES MAY REFLECT REGIONAL PRICE 23 DIFFERENCES. 24 (4) THE FOLLOWING APPLY TO COMPLEX AND EXTENSIVE DATA 25 SETS, INCLUDING GEOGRAPHIC INFORMATION SYSTEMS OR INTEGRATED 26 PROPERTY ASSESSMENT LISTS. 27 (I) FEES FOR COPYING MAY BE BASED ON THE REASONABLE 28 MARKET VALUE OF THE SAME OR CLOSELY RELATED DATA SETS. 29 (II) SUBPARAGRAPH (I) SHALL NOT APPLY TO: 30 (A) A REQUEST BY AN INDIVIDUAL EMPLOYED BY A 20070S0001B1704 - 93 -
1 NEWSPAPER OR MAGAZINE OF GENERAL CIRCULATION, WEEKLY 2 NEWSPAPER, PRESS ASSOCIATION OR RADIO OR TELEVISION 3 STATION, FOR THE PURPOSE OF OBTAINING INFORMATION FOR 4 PUBLICATION OR BROADCAST; OR 5 (B) A REQUEST BY A NONPROFIT ORGANIZATION FOR 6 THE CONDUCT OF EDUCATIONAL RESEARCH. 7 (III) INFORMATION OBTAINED UNDER SUBPARAGRAPH (II) 8 SHALL BE SUBJECT TO PARAGRAPHS (1), (2) AND (3). 9 (IV) INFORMATION OBTAINED UNDER THIS PARAGRAPH SHALL 10 NOT BE SOLD OR OTHERWISE PROVIDED TO ANOTHER PERSON FOR 11 COMMERCIAL PURPOSES. 12 (C) CERTIFICATION.--AN AGENCY MAY IMPOSE REASONABLE FEES FOR 13 OFFICIAL CERTIFICATION OF COPIES IF THE CERTIFICATION IS AT THE 14 BEHEST OF THE REQUESTER AND FOR THE PURPOSE OF LEGALLY VERIFYING 15 THE PUBLIC RECORD. 16 (D) CONVERSION TO PAPER.--IF A RECORD IS ONLY MAINTAINED 17 ELECTRONICALLY OR IN OTHER NONPAPER MEDIA, DUPLICATION FEES 18 SHALL BE LIMITED TO THE LESSER OF THE FEE FOR DUPLICATION ON 19 PAPER OR THE FEE FOR DUPLICATION IN THE ORIGINAL MEDIA AS 20 PROVIDED BY SUBSECTION (B) UNLESS THE REQUESTER SPECIFICALLY 21 REQUESTS FOR THE RECORD TO BE DUPLICATED IN THE MORE EXPENSIVE 22 MEDIUM. 23 (E) ENHANCED ELECTRONIC ACCESS.--IF AN AGENCY OFFERS 24 ENHANCED ELECTRONIC ACCESS TO RECORDS IN ADDITION TO MAKING THE 25 RECORDS ACCESSIBLE FOR INSPECTION AND DUPLICATION BY A REQUESTER 26 AS REQUIRED BY THIS ACT, THE AGENCY MAY ESTABLISH USER FEES 27 SPECIFICALLY FOR THE PROVISION OF THE ENHANCED ELECTRONIC 28 ACCESS, BUT ONLY TO THE EXTENT THAT THE ENHANCED ELECTRONIC 29 ACCESS IS IN ADDITION TO MAKING THE RECORDS ACCESSIBLE FOR 30 INSPECTION AND DUPLICATION BY A REQUESTER AS REQUIRED BY THIS 20070S0001B1704 - 94 -
1 ACT. THE USER FEES FOR ENHANCED ELECTRONIC ACCESS MAY BE A FLAT 2 RATE, A SUBSCRIPTION FEE FOR A PERIOD OF TIME, A PER-TRANSACTION 3 FEE, A FEE BASED ON THE CUMULATIVE TIME OF SYSTEM ACCESS OR ANY 4 OTHER REASONABLE METHOD AND ANY COMBINATION THEREOF. THE USER 5 FEES FOR ENHANCED ELECTRONIC ACCESS MUST BE REASONABLE, MUST BE 6 APPROVED BY THE OFFICE OF OPEN RECORDS AND MAY NOT BE 7 ESTABLISHED WITH THE INTENT OR EFFECT OF EXCLUDING PERSONS FROM 8 ACCESS TO RECORDS OR DUPLICATES THEREOF OR OF CREATING PROFIT 9 FOR THE AGENCY. 10 (F) WAIVER OF FEES.--AN AGENCY MAY WAIVE THE FEES FOR 11 DUPLICATION OF A RECORD, INCLUDING, BUT NOT LIMITED TO, WHEN: 12 (1) THE REQUESTER DUPLICATES THE RECORD; OR 13 (2) THE AGENCY DEEMS IT IS IN THE PUBLIC INTEREST TO DO 14 SO. 15 (G) LIMITATIONS.--EXCEPT AS OTHERWISE PROVIDED BY STATUTE, 16 NO OTHER FEES MAY BE IMPOSED UNLESS THE AGENCY NECESSARILY 17 INCURS COSTS FOR COMPLYING WITH THE REQUEST, AND SUCH FEES MUST 18 BE REASONABLE. NO FEE MAY BE IMPOSED FOR AN AGENCY'S REVIEW OF A 19 RECORD TO DETERMINE WHETHER THE RECORD IS A PUBLIC RECORD, 20 LEGISLATIVE RECORD OR FINANCIAL RECORD SUBJECT TO ACCESS IN 21 ACCORDANCE WITH THIS ACT. 22 (H) PREPAYMENT.--PRIOR TO GRANTING A REQUEST FOR ACCESS IN 23 ACCORDANCE WITH THIS ACT, AN AGENCY MAY REQUIRE A REQUESTER TO 24 PREPAY AN ESTIMATE OF THE FEES AUTHORIZED UNDER THIS SECTION IF 25 THE FEES REQUIRED TO FULFILL THE REQUEST ARE EXPECTED TO EXCEED 26 $100. 27 SECTION 1308. PROHIBITION. 28 A POLICY OR REGULATION ADOPTED UNDER THIS ACT MAY NOT INCLUDE 29 ANY OF THE FOLLOWING: 30 (1) A LIMITATION ON THE NUMBER OF RECORDS WHICH MAY BE 20070S0001B1704 - 95 -
1 REQUESTED OR MADE AVAILABLE FOR INSPECTION OR DUPLICATION. 2 (2) A REQUIREMENT TO DISCLOSE THE PURPOSE OR MOTIVE IN 3 REQUESTING ACCESS TO RECORDS, EXCEPT WHEN THE REQUEST IS FOR 4 A DATE OF BIRTH. 5 SECTION 1309. PRACTICE AND PROCEDURE. 6 THE PROVISIONS OF 2 PA.C.S. (RELATING TO ADMINISTRATIVE LAW 7 AND PROCEDURE) SHALL NOT APPLY TO THIS ACT UNLESS SPECIFICALLY 8 ADOPTED BY REGULATION OR POLICY. 9 SECTION 1310. OFFICE OF OPEN RECORDS. 10 (A) ESTABLISHMENT.--THERE IS ESTABLISHED IN THE DEPARTMENT 11 OF COMMUNITY AND ECONOMIC DEVELOPMENT AN OFFICE OF OPEN RECORDS. 12 THE OFFICE SHALL DO ALL OF THE FOLLOWING: 13 (1) PROVIDE INFORMATION RELATING TO THE IMPLEMENTATION 14 AND ENFORCEMENT OF THIS ACT. 15 (2) ISSUE ADVISORY OPINIONS TO AGENCIES AND REQUESTERS. 16 (3) PROVIDE ANNUAL TRAINING COURSES TO AGENCIES, PUBLIC 17 OFFICIALS AND PUBLIC EMPLOYEES ON THIS ACT AND 65 PA.C.S. CH. 18 7 (RELATING TO OPEN MEETINGS). 19 (4) PROVIDE ANNUAL, REGIONAL TRAINING COURSES TO LOCAL 20 AGENCIES, PUBLIC OFFICIALS AND PUBLIC EMPLOYEES. 21 (5) ASSIGN APPEALS OFFICERS TO REVIEW APPEALS OF 22 DECISIONS BY COMMONWEALTH AGENCIES OR LOCAL AGENCIES, EXCEPT 23 AS PROVIDED IN SECTION 503(D), FILED UNDER SECTION 1101 AND 24 ISSUE ORDERS AND OPINIONS. THE OFFICE SHALL EMPLOY OR 25 CONTRACT WITH ATTORNEYS TO SERVE AS APPEALS OFFICERS TO 26 REVIEW APPEALS AND, IF NECESSARY, TO HOLD HEARINGS ON A 27 REGIONAL BASIS UNDER THIS ACT. EACH APPEALS OFFICER MUST 28 COMPLY WITH ALL OF THE FOLLOWING: 29 (I) COMPLETE A TRAINING COURSE PROVIDED BY THE 30 OFFICE OF OPEN RECORDS PRIOR TO ACTING AS AN APPEALS 20070S0001B1704 - 96 -
1 OFFICER. 2 (II) IF A HEARING IS NECESSARY, HOLD HEARINGS 3 REGIONALLY AS NECESSARY TO ENSURE ACCESS TO THE REMEDIES 4 PROVIDED BY THIS ACT. 5 (III) COMPLY WITH THE PROCEDURES UNDER SECTION 6 1102(B). 7 (6) ESTABLISH AN INFORMAL MEDIATION PROGRAM TO RESOLVE 8 DISPUTES UNDER THIS ACT. 9 (7) ESTABLISH AN INTERNET WEBSITE WITH INFORMATION 10 RELATING TO THIS ACT, INCLUDING INFORMATION ON FEES, ADVISORY 11 OPINIONS AND DECISIONS AND THE NAME AND ADDRESS OF ALL OPEN 12 RECORDS OFFICERS IN THIS COMMONWEALTH. 13 (8) CONDUCT A BIANNUAL REVIEW OF FEES CHARGED UNDER THIS 14 ACT. 15 (9) ANNUALLY REPORT ON ITS ACTIVITIES AND FINDINGS TO 16 THE GOVERNOR AND THE GENERAL ASSEMBLY. THE REPORT SHALL BE 17 POSTED AND MAINTAINED ON THE INTERNET WEBSITE ESTABLISHED 18 UNDER PARAGRAPH (7). 19 (B) EXECUTIVE DIRECTOR.--WITHIN 90 DAYS OF THE EFFECTIVE 20 DATE OF THIS SECTION, THE GOVERNOR SHALL APPOINT AN EXECUTIVE 21 DIRECTOR OF THE OFFICE WHO SHALL SERVE FOR A TERM OF SIX YEARS. 22 COMPENSATION SHALL BE SET BY THE EXECUTIVE BOARD ESTABLISHED 23 UNDER SECTION 204 OF THE ACT OF APRIL 9, 1929 (P.L.177, NO.175), 24 KNOWN AS THE ADMINISTRATIVE CODE OF 1929. THE EXECUTIVE DIRECTOR 25 MAY SERVE NO MORE THAN TWO TERMS. 26 (C) LIMITATION.--THE EXECUTIVE DIRECTOR SHALL NOT SEEK 27 ELECTION NOR ACCEPT APPOINTMENT TO ANY POLITICAL OFFICE DURING 28 HIS TENURE AS EXECUTIVE DIRECTOR AND FOR ONE YEAR THEREAFTER. 29 (D) STAFFING.--THE EXECUTIVE DIRECTOR SHALL APPOINT 30 ATTORNEYS TO ACT AS APPEALS OFFICERS AND ADDITIONAL CLERICAL, 20070S0001B1704 - 97 -
1 TECHNICAL AND PROFESSIONAL STAFF AS MAY BE APPROPRIATE AND MAY 2 CONTRACT FOR ADDITIONAL SERVICES AS NECESSARY FOR THE 3 PERFORMANCE OF THE EXECUTIVE DIRECTOR'S DUTIES. THE COMPENSATION 4 OF ATTORNEYS AND OTHER STAFF SHALL BE SET BY THE EXECUTIVE 5 BOARD. THE APPOINTMENT OF ATTORNEYS SHALL NOT BE SUBJECT TO THE 6 ACT OF OCTOBER 15, 1980 (P.L.950, NO.164), KNOWN AS THE 7 COMMONWEALTH ATTORNEYS ACT. 8 (E) DUTIES.--THE EXECUTIVE DIRECTOR SHALL ENSURE THAT THE 9 DUTIES OF THE OFFICE OF OPEN RECORDS ARE CARRIED OUT AND SHALL 10 MONITOR CASES APPEALED TO THE OFFICE OF OPEN RECORDS. 11 (F) APPROPRIATION.--THE APPROPRIATION FOR THE OFFICE SHALL 12 BE IN A SEPARATE LINE ITEM AND SHALL BE UNDER THE JURISDICTION 13 OF THE EXECUTIVE DIRECTOR. 14 CHAPTER 15 15 STATE-RELATED INSTITUTIONS 16 SECTION 1501. DEFINITION. 17 AS USED IN THIS CHAPTER, "STATE-RELATED INSTITUTION" MEANS 18 ANY OF THE FOLLOWING: 19 (1) TEMPLE UNIVERSITY. 20 (2) THE UNIVERSITY OF PITTSBURGH. 21 (3) THE PENNSYLVANIA STATE UNIVERSITY. 22 (4) LINCOLN UNIVERSITY. 23 SECTION 1502. REPORTING. 24 NO LATER THAN MAY 30 OF EACH YEAR, A STATE-RELATED 25 INSTITUTION SHALL FILE WITH THE GOVERNOR'S OFFICE, THE GENERAL 26 ASSEMBLY, THE AUDITOR GENERAL AND THE STATE LIBRARY THE 27 INFORMATION SET FORTH IN SECTION 1503. 28 SECTION 1503. CONTENTS OF REPORT. 29 THE REPORT REQUIRED UNDER SECTION 1502 SHALL INCLUDE THE 30 FOLLOWING: 20070S0001B1704 - 98 -
1 (1) EXCEPT AS PROVIDED IN PARAGRAPH (4), ALL INFORMATION 2 REQUIRED BY FORM 990 OR AN EQUIVALENT FORM, OF THE UNITED 3 STATES DEPARTMENT OF THE TREASURY, INTERNAL REVENUE SERVICE, 4 ENTITLED THE RETURN OF ORGANIZATION EXEMPT FROM INCOME TAX, 5 REGARDLESS OF WHETHER THE STATE-RELATED INSTITUTION IS 6 REQUIRED TO FILE THE FORM BY THE FEDERAL GOVERNMENT. 7 (2) THE SALARIES OF ALL OFFICERS AND DIRECTORS OF THE 8 STATE-RELATED INSTITUTION. 9 (3) THE HIGHEST 25 SALARIES PAID TO EMPLOYEES OF THE 10 INSTITUTION THAT ARE NOT INCLUDED UNDER PARAGRAPH (2). 11 (4) THE REPORT SHALL NOT INCLUDE INFORMATION RELATING TO 12 INDIVIDUAL DONORS. 13 SECTION 1504. COPIES AND POSTING. 14 A STATE-RELATED INSTITUTION SHALL MAINTAIN, FOR AT LEAST 15 SEVEN YEARS, A COPY OF THE REPORT IN THE INSTITUTION'S LIBRARY 16 AND SHALL PROVIDE FREE ACCESS TO THE REPORT ON THE INSTITUTION'S 17 INTERNET WEBSITE. 18 CHAPTER 17 19 STATE CONTRACT INFORMATION 20 SECTION 1701. SUBMISSION AND RETENTION OF CONTRACTS. 21 (A) GENERAL RULE.--WHENEVER ANY COMMONWEALTH AGENCY, 22 LEGISLATIVE AGENCY OR JUDICIAL AGENCY SHALL ENTER INTO ANY 23 CONTRACT INVOLVING ANY PROPERTY, REAL, PERSONAL OR MIXED OF ANY 24 KIND OR DESCRIPTION OR ANY CONTRACT FOR PERSONAL SERVICES WHERE 25 THE CONSIDERATION INVOLVED IN THE CONTRACT IS $5,000 OR MORE, A 26 COPY OF THE CONTRACT SHALL BE FILED WITH THE TREASURY DEPARTMENT 27 WITHIN TEN DAYS AFTER THE CONTRACT IS FULLY EXECUTED ON BEHALF 28 OF THE COMMONWEALTH AGENCY, LEGISLATIVE AGENCY OR JUDICIAL 29 AGENCY OR OTHERWISE BECOMES AN OBLIGATION OF THE COMMONWEALTH 30 AGENCY, LEGISLATIVE AGENCY OR JUDICIAL AGENCY. THE PROVISIONS OF 20070S0001B1704 - 99 -
1 THIS CHAPTER SHALL NOT APPLY TO CONTRACTS FOR SERVICES PROTECTED 2 BY A PRIVILEGE. THE PROVISIONS OF THIS CHAPTER SHALL NOT APPLY 3 TO A PURCHASE ORDER. THE FOLLOWING SHALL APPLY: 4 (1) EACH COMMONWEALTH AGENCY, LEGISLATIVE AGENCY AND 5 JUDICIAL AGENCY SHALL SUBMIT CONTRACTS IN A FORM AND 6 STRUCTURE MUTUALLY AGREED UPON BY THE COMMONWEALTH AGENCY, 7 LEGISLATIVE AGENCY OR JUDICIAL AGENCY AND THE STATE 8 TREASURER. 9 (2) THE TREASURY DEPARTMENT MAY REQUIRE EACH 10 COMMONWEALTH AGENCY, LEGISLATIVE AGENCY OR JUDICIAL AGENCY TO 11 PROVIDE A SUMMARY WITH EACH CONTRACT, WHICH SHALL INCLUDE THE 12 FOLLOWING: 13 (I) DATE OF EXECUTION. 14 (II) AMOUNT OF THE CONTRACT. 15 (III) BEGINNING DATE OF THE CONTRACT. 16 (IV) END DATE OF THE CONTRACT, IF APPLICABLE. 17 (V) NAME OF THE AGENCY ENTERING INTO THE CONTRACT. 18 (VI) THE NAME OF ALL PARTIES EXECUTING THE CONTRACT. 19 (VII) SUBJECT MATTER OF THE CONTRACT. 20 EACH AGENCY SHALL CREATE AND MAINTAIN THE DATA UNDER THIS 21 PARAGRAPH IN AN ASCII-DELIMITED TEXT FILE, SPREADSHEET FILE 22 OR OTHER FILE PROVIDED BY TREASURY DEPARTMENT REGULATION. 23 (B) RETENTION.--EVERY CONTRACT FILED PURSUANT TO SUBSECTION 24 (A) SHALL REMAIN ON FILE WITH THE TREASURY DEPARTMENT FOR A 25 PERIOD OF NOT LESS THAN FOUR YEARS AFTER THE END DATE OF THE 26 CONTRACT. 27 (C) ACCURACY.--EACH COMMONWEALTH AGENCY, LEGISLATIVE AGENCY 28 AND JUDICIAL AGENCY IS RESPONSIBLE FOR VERIFYING THE ACCURACY 29 AND COMPLETENESS OF THE INFORMATION THAT IT SUBMITS TO THE STATE 30 TREASURER. THE CONTRACT PROVIDED TO THE TREASURY DEPARTMENT 20070S0001B1704 - 100 -
1 PURSUANT TO THIS CHAPTER SHALL BE REDACTED IN ACCORDANCE WITH 2 APPLICABLE PROVISIONS OF THIS ACT BY THE AGENCY FILING THE 3 CONTRACT TO THE TREASURY DEPARTMENT. 4 (D) EXEMPT FROM POSTING.--THE PROVISIONS OF THIS CHAPTER 5 SHALL NOT APPLY TO COPIES OF CONTRACTS SUBMITTED TO THE TREASURY 6 DEPARTMENT, THE OFFICE OF AUDITOR GENERAL OR OTHER AGENCY FOR 7 PURPOSES OF AUDITS AND WARRANTS FOR DISBURSEMENTS UNDER SECTION 8 307, 401, 402 OR 403 OF THE ACT OF APRIL 9, 1929 (P.L.343, 9 NO.176), KNOWN AS THE FISCAL CODE. 10 SECTION 1702. PUBLIC AVAILABILITY OF CONTRACTS. 11 (A) GENERAL RULE.--THE TREASURY DEPARTMENT SHALL MAKE EACH 12 CONTRACT FILED PURSUANT TO SECTION 1701 AVAILABLE FOR PUBLIC 13 INSPECTION EITHER BY POSTING A COPY OF THE CONTRACT ON THE 14 TREASURY DEPARTMENT'S PUBLICLY ACCESSIBLE INTERNET WEBSITE OR BY 15 POSTING A CONTRACT SUMMARY ON THE DEPARTMENT'S PUBLICLY 16 ACCESSIBLE INTERNET WEBSITE. 17 (B) POSTING.--THE TREASURY DEPARTMENT SHALL POST THE 18 INFORMATION RECEIVED PURSUANT TO THIS CHAPTER IN A MANNER THAT 19 ALLOWS THE PUBLIC TO SEARCH CONTRACTS OR CONTRACT SUMMARIES BY 20 THE CATEGORIES ENUMERATED IN SECTION 1701(A)(2). 21 (C) REQUEST TO REVIEW OR RECEIVE COPY OF CONTRACT.--THE 22 TREASURY DEPARTMENT SHALL MAINTAIN A PAGE ON ITS PUBLICLY 23 ACCESSIBLE INTERNET WEBSITE THAT INCLUDES INSTRUCTIONS ON HOW TO 24 REVIEW A CONTRACT ON THE INTERNET WEBSITE. 25 (D) PAPER COPY.--A PAPER COPY OF A CONTRACT MAY BE REQUESTED 26 FROM THE AGENCY THAT EXECUTED THE CONTRACT IN ACCORDANCE WITH 27 THIS ACT. 28 CHAPTER 31 29 MISCELLANEOUS PROVISIONS 30 SECTION 3101. APPLICABILITY. 20070S0001B1704 - 101 -
1 THIS ACT APPLIES AS FOLLOWS: 2 (1) THIS ACT SHALL APPLY TO REQUESTS FOR INFORMATION 3 MADE AFTER DECEMBER 31, 2008. 4 (2) CHAPTER 15 SHALL APPLY TO FISCAL YEARS BEGINNING 5 AFTER JUNE 30, 2008. 6 (3) CHAPTER 17 SHALL APPLY TO CONTRACTS ENTERED INTO OR 7 RENEWED AFTER JUNE 30, 2008. 8 SECTION 3101.1. RELATION TO OTHER LAW OR JUDICIAL ACTIONS. 9 IF THE PROVISIONS OF THIS ACT REGARDING ACCESS TO PUBLIC 10 RECORDS CONFLICT WITH ANY FEDERAL OR STATE LAW, JUDICIAL ORDER 11 OR DECREE, THE PROVISIONS OF THIS ACT SHALL NOT APPLY. 12 SECTION 3101.2. SEVERABILITY. 13 ALL PROVISIONS OF THIS ACT ARE SEVERABLE. 14 SECTION 3102. REPEALS. 15 REPEALS ARE AS FOLLOWS: 16 (1) THE GENERAL ASSEMBLY DECLARES AS FOLLOWS: 17 (I) THE REPEAL UNDER PARAGRAPH (2)(I) IS NECESSARY 18 TO EFFECTUATE CHAPTER 17. 19 (II) THE REPEALS UNDER PARAGRAPH (2)(II) AND (III) 20 ARE NECESSARY TO EFFECTUATE THIS ACT. 21 (2) THE FOLLOWING ACTS AND PARTS OF ACTS ARE REPEALED: 22 (I) SECTION 1104 OF THE ACT OF APRIL 9, 1929 23 (P.L.177, NO.175), KNOWN AS THE ADMINISTRATIVE CODE OF 24 1929. 25 (II) THE ACT OF JUNE 21, 1957 (P.L.390, NO.212), 26 REFERRED TO AS THE RIGHT-TO-KNOW LAW. 27 (III) 62 PA.C.S. § 106. 28 SECTION 3103. REFERENCES. 29 A REFERENCE IN A STATUTE, REGULATION OR JUDICIAL ORDER OR 30 DECREE TO THE ACT OF JUNE 21, 1957 (P.L.390, NO.212), REFERRED 20070S0001B1704 - 102 -
1 TO AS THE RIGHT-TO-KNOW LAW, SHALL BE DEEMED A REFERENCE TO THIS 2 ACT. 3 SECTION 3104. EFFECTIVE DATE. 4 THIS ACT SHALL TAKE EFFECT AS FOLLOWS: 5 (1) THE FOLLOWING PROVISIONS SHALL TAKE EFFECT 6 IMMEDIATELY: 7 (I) SECTIONS 101, 102 AND 1310. 8 (II) THIS SECTION. 9 (2) THE REMAINDER OF THIS ACT SHALL TAKE EFFECT JANUARY 10 1, 2009. C26L02VDL/20070S0001B1704 - 103 -