[HISTORY: Adopted by the Board of the Lancaster
Area Sewer Authority 1-22-2009 by Res. No. 09-01-004.[1] Amendments noted where applicable.]
APPENDIXES REFERENCED IN CHAPTER
15
Appendix BI — Request for Information
Fees.
[1]
Editor's Note: This resolution superseded
former Ch. 15, Access to Records, adopted by the Board of the Lancaster
Area Sewer Authority.
This chapter shall be known as the "Right-To-Know
Resolution of the Lancaster Area Sewer Authority."
The Right-To-Know Resolution of the Lancaster
Area Sewer Authority is hereby adopted in accordance with and pursuant
to 65 P.S. § 67.101, et seq., otherwise known as the "Right-To-Know
Law."
As used in this chapter, the following terms
shall have the meanings indicated:
The individual designated by the Pennsylvania Office of Open
Records to hear appeals from the denial of public records requests
made to the Authority.
The Lancaster Area Sewer Authority.
Commercial or financial information received by an agency
which is privileged or confidential, the disclosure of which would
cause substantial harm to the competitive position of the person who
submitted the information.
Any account, voucher or contract dealing with
a receipt or disbursement of funds by the Authority or the Authority's
acquisition, use or disposal of services, supplies, materials, equipment
or property.
The salary or other payments or expenses paid
to an officer or employee of the Authority, including the name and
title of the officer or employee.
A financial audit report performed on behalf
of the Authority; however, this term does not include the work papers
underlying the audit.
Governmental actions designed to prevent, detect, respond
to and recover from acts of terrorism, major disasters and other emergencies,
whether natural or man made. The term includes activities relating
to the following:
Emergency preparedness and response, including
preparedness and response activities by volunteer medical, police,
emergency management, hazardous materials and fire personnel;
Intelligence activities;
Critical infrastructure protection;
Border security;
Ground, aviation and maritime transportation
security;
Biodefense;
Detection of nuclear and radiological materials;
and
Research on next-generation securities technologies.
The office established within the Department of Community
and Economic Development for the State of Pennsylvania which is charged
with the implementation and enforcement of the Right-To-Know Law.[1]
An individual's personal credit, charge or debit card information;
bank account information; bank, credit or financial statements; account
or personal identification numbers; and other information relating
to an individual's personal finances.
Information protected by the Attorney-Work-Product Doctrine,
the Attorney-Client Privilege, the Doctor-Patient Privilege, the Speech
and Debate Privilege or other privilege recognized by a court interpreting
the laws of the Commonwealth of Pennsylvania.
A record, including a financial record of the Authority that is not exempt under § 15-8 of this chapter or is not exempt from being disclosed under any other federal or state law or regulation or judicial order or decree or is not protected by a privilege.
Information, regardless of physical form or characteristics,
that documents a transaction or activity of an agency and that is
created, received or retained pursuant to law or in connection with
a transaction, business or activity of the Authority. The term includes
a document, paper, letter, map, book, tape, photograph, film or sound
recording, information stored or maintained electronically and a data-processed
or image-processed document.
A person who is a legal resident of the United States and
requests a record pursuant to this chapter or the Pennsylvania Right-To-Know
Law.[2]
Access to a Pennsylvania record or the Authority's written
notice to a requestor granting, denying or partially granting and
partially denying access to a record.
The person designated by the Authority to receive public
records requests submitted to the Authority and who otherwise complies
with the Pennsylvania Right-To-Know Law[3] on behalf of the Authority.
Cash assistance and other welfare benefits, medical, mental
and other health care services, drug and alcohol treatment, adoption
services, vocational services and training, occupational training,
education services, counseling services, workers' compensation services
and unemployment compensation services, foster-care services, services
for the elderly, services for individuals with disabilities and services
for victims of crimes and domestic assault.
A violent or life-threatening act that violates the criminal
laws of the United States, or any state, that appears to be intended
to:
Information, including the formula, drawing,
pattern, compilation, including a customer list, program, device,
method, technique or process that:
Derives independent economic value, actual or
potential, but not being generally known to and not being readily
ascertainable by proper means by other persons who can obtain economic
value from its disclosure or use; and
Is the subject of efforts that are reasonable
under the circumstances to maintain its secrecy.
The term includes data processing software obtained
by an agency under a licensing agreement prohibiting disclosure.
The Authority hereby appoints the Authority's
Financial Director as the Right-To-Know Officer for the Authority.
A.
The Right-To-Know Officer shall receive requests submitted
to the Authority.
B.
The Right-To-Know Officer shall direct requests to
the appropriate persons within the Authority or to the appropriate
person from amongst the Authority's contractors, legal advisors and
other such related personnel.
C.
Track the Authority's progress in responding to requests,
including the following:
(1)
Put the date of receipt on a written request received
by the Authority.
(2)
Compute the day on which the five-day period for responding
to the request will expire and make a notation of that date on the
written request.
(3)
Maintain an electronic or paper copy of a written
request, including all documents submitted with the request, until
the request has been fulfilled. If the request is denied, the written
request shall be maintained for 30 days or, if an appeal is filed,
until a final determination is issued under Section 1101(6) of the
Pennsylvania Right-To-Know Law.[1]
[1]
Editor's Note: See 65 P.S. § 67.1101(b).
A.
A requester desiring to obtain or view public records in the possession
or believed to be in the possession of the Authority shall make a
request to the Authority on the Right-To-Know request form in the
format shown in Appendix A or as provided by the Office of Open Records.
[Amended 10-22-2015 by Res. No. 15-10-003]
B.
All requests for public records shall be made to the
Right-To-Know Officer for the Authority.
C.
All requests should identify or describe the public
records being sought with sufficient specificity to enable the Authority
to ascertain which public records are being requested and shall include
the name and address to which the Authority should address its response.
D.
A written request need not include any explanation
of the requestor's reason for requesting a public record or its intended
use of the public record, unless otherwise required by law.
A.
The Authority has five business days from receipt
of a written request to either grant or deny the request.
B.
In response to a request for a public record, the
Authority shall not be required to create a record which does not
currently exist or to compile, maintain, format or organize a record
in a manner in which the Authority does not currently compile, maintain,
format or organize the record.
C.
Failure to act within the five-day time period shall
equate to a deemed denial of the request.
D.
Extension of time.
(1)
The Authority may take up to an additional 30 calendar
days after the five business days to respond to a request for public
records if the Right-To-Know Officer sends written notice to the requestor,
within the five business days, that the agency needs additional time
to process the request as noted herein.
(2)
Situations necessitating extensions of time.
(a)
Redaction of nonpublic information is required.
(b)
The records must be retrieved from a remote
location.
(c)
Timely response cannot be accomplished within
the time required due to bona fide and specified staffing limitations.
(d)
Legal review is necessary.
(e)
The requestor has not complied with the Authority's
policies regarding access.
(f)
The requestor refuses to pay applicable fees.
(g)
The extent and nature of the request precludes
a response within the time period.
(3)
In the event the Authority has not responded to a
request for which it has received an extension of time within the
thirty-day time period, a deemed denial of the request shall take
place on the 31st day.
(4)
Extension of time beyond the thirty-day time period.
A requestor may agree to a period in excess of 30 days for the processing
of the request, but is not required to do so. If such an agreement
is reached between the requestor and the Authority, the request shall
be deemed denied the day following the date agreed upon for production
if the response has not been provided by that date.
E.
Denial of a request. A denial of a request for a public
record shall set forth:
(1)
A description of the record requested.
(2)
The specific reasons for denial, including citation
of legal authority, if applicable.
(3)
The type of printed name, title, business address
and telephone number and signature of the Right-To-Know Officer who
issued the denial.
(4)
The date of the denial.
(5)
The procedure to appeal the denial.
A.
The burden of proving that a record of the Authority
is exempt from public access shall be on the Authority and shall be
proven by a preponderance of the evidence.
B.
However, documents meeting any one of the following
criteria are exempt from production to requestors pursuant to the
Right-To-Know Law:[1]
(2)
A record maintained by the Authority in connection
with the military, homeland security, national defense, law enforcement
or other public safety activity that, if disclosed, would be reasonably
likely to jeopardize or threaten public safety or preparedness or
public protection activity or a record that is designated "classified"
by an appropriate federal or state military authority.
(3)
A record, the disclosure of which creates a reasonable
likelihood of endangering the safety or the physical security of a
building, public utility, resource, infrastructure, facility or information
storage system, which may include:
(a)
Documents or data relating to computer hardware,
source files, software and system networks that could jeopardize computer
security by exposing a vulnerability in preventing, protecting against,
mitigating or responding to a terrorist act;
(b)
Lists of infrastructure, resources and significant
special events, including those defined by the federal government
in the National Infrastructure Protections, which are deemed critical
due to their nature and which result from risk analysis; threat assessments;
consequences assessments; antiterrorism protective measures and plans;
counterterrorism measures and plans; and security and response needs
assessments; and
(c)
Building plans or infrastructure records that
expose or create vulnerability through disclosure of the location,
configuration or security of critical systems, including public utility
systems, structural elements, technology, communication, electrical,
fire suppression, ventilation, water, wastewater, sewage and gas systems.
(4)
A record regarding computer hardware, software and
networks, including administrative or technical records, which, if
disclosed, would be reasonably likely to jeopardize computer security.
(5)
A record of an individual's medical, psychiatric or
psychological history or disability status, including an evaluation,
consultation, prescription, diagnosis or treatment; results of tests,
including drug tests; enrollment in a health care program or program
designed for participation by persons with disabilities, including
vocation rehabilitation, workers' compensation and unemployment compensation;
or related information that would disclose individually identifiable
health information.
(6)
The following personal identification information:
(a)
A record containing all or part of a person's
social security number, driver's license number, personal financial
information, home, cellular or personal telephone numbers, personal
e-mail addresses, employee number or other confidential personal identification
number.
(b)
A spouse's name, marital status or beneficiary
or dependent information.
(c)
The home address of a law enforcement officer
or judge.
(d)
Nothing in this subsection shall preclude the
release of the name, position, salary, actual compensation or other
payments or expenses, employment contract, employment-related contract
or agreement and length of service of a public official or an Authority
employee.
(e)
The Authority may redact the name or other identifying
information relating to an individual performing an undercover or
covert law enforcement activity from a record.
(7)
The following records relating to an Authority employee:
(a)
A letter of reference or recommendation pertaining
to the character or qualifications of an identifiable individual,
unless it was prepared in relation to the appointment of an individual
to fill a vacancy in an elected office or an appointed office requiring
Senate confirmation.
(b)
A performance rating or review.
(c)
The result of a civil service or similar test
administered by the Authority shall not be disclosed if restricted
by a collective bargaining agreement. Only test scores of individuals
who obtained a passing score on a test administered by the Authority
may be disclosed.
(d)
The employment application of an individual
who is not hired by the Authority.
(e)
Workplace support services program information.
(f)
Written criticisms of an employee.
(g)
Grievance material, including documents related
to discrimination or sexual harassment.
(h)
Information regarding discipline, demotion or
discharge contained in a personnel file. This subsection shall not
apply to the final action of the Authority that results in demotion
or discharge.
(i)
An academic transcript.
(8)
A record pertaining to strategy or negotiations relating
to labor relations or collective bargaining and related arbitration
proceedings. This subsection shall not apply to a final or executed
contract or agreement between the parties in a collective bargaining
procedure. In the case of the arbitration of a dispute or grievance
under a collective bargaining agreement, an exhibit entered into evidence
at an arbitration proceeding, a transcript of the arbitration or the
opinion. This subsection shall not apply to the final award or order
of the arbitrator in a dispute or grievance procedure.
(9)
The draft of a bill, resolution, regulation, statement
of policy, management directive, ordinance or amendment thereto prepared
by or for the Authority.
(10)
A record that reflects:
(a)
The internal, predecisional deliberations of
an agency, its members, employees or officials or predecisional deliberations
between agency members, employees or officials and members, employees
or officials of another agency, including predecisional deliberations
relating to a budget recommendation, legislative proposal, legislative
amendment, contemplated or proposed policy or course of action or
any research, memos or other documents used in the predecisional deliberations.
(b)
The strategy to be used to develop or achieve
the successful adoption of a budget, legislative proposal or regulation.
[1]
This subsection shall not apply to a written
or Internet application or other document that has been submitted
to request commonwealth funds.
[2]
This subsection shall not apply to the results
of public opinion surveys, polls, focus groups, marketing research
or similar effort designed to measure public opinion.
(11)
A record that constitutes or reveals a trade secret
or confidential proprietary information.
(12)
Notes and working papers prepared by or for a public
official or Authority employee used solely for that official's or
employee's own personal use, including telephone message slips, routing
slips and other materials that do not have an official purpose.
(13)
Records that would disclose the identify of an individual
who lawfully makes a donation to an agency unless the donation is
intended for or restricted to providing remuneration or personal tangible
benefit to a named public official or employee of the Authority, including
lists of potential donors compiled by the Authority to pursue donations,
donor profile information or personal identifying information relating
to a donor.
(14)
Academic transcripts.
(15)
Examinations, examination questions, scoring keys
or answers to examinations. This subsection shall include licensing
and other examinations relating to the qualifications of an individual
and to examination given in primary and secondary schools and institutions
of higher education.
(16)
A record of the Authority relating to or resulting
in a criminal investigation, including:
(a)
Complaints of potential criminal conduct other
than a private criminal complaint.
(b)
Investigative materials, notes, correspondence,
videos and reports.
(c)
A record that includes the identity of a confidential
source or the identity of a suspect who has not been charged with
an offense to whom confidentiality has been promised.
(d)
A record that includes information made confidential
by law or court order.
(e)
Victim information, including any information
that would jeopardize the safety of the victim.
(f)
A record that, if disclosed, would do any of
the following:
[1]
Reveal the institution, progress or result of
a criminal investigation, except the filing of criminal charges.
[2]
Deprive a person of the right to a fair trial
or an impartial adjudication.
[3]
Impair the ability to locate a defendant or
codefendant.
[4]
Hinder the Authority or a law enforcement agency's
ability to secure an arrest, prosecution or conviction.
[5]
Endanger the life or physical safety of an individual.
(g)
This subsection shall not apply to information
contained in a police blotter as defined in 18 Pa.C.S.A. § 9102
(relating to definitions) and utilized or maintained by the Pennsylvania
State Police, local, campus, transit or port authority police department
or other law enforcement agency or in a traffic report except as provided
under 75 Pa.C.S.A. § 3754(b) (relating to accident prevention
investigations).
(17)
A record of the Authority relating to a noncriminal
investigation, including:
(a)
Complaints submitted to the Authority.
(b)
Investigative materials, notes, correspondence
and reports.
(d)
A record that includes information made confidential
by law.
(e)
Work papers underlying an audit.
(f)
A record that, if disclosed, would do any of
the following:
[1]
Reveal the institution, progress or result of
an Authority investigation, except the imposition of a fine or civil
penalty, the suspension, modification or revocation of a license,
permit, registration, certificate or similar authorization issued
by the Authority or an executed settlement agreement unless the agreement
is determined to be confidential by a court.
[2]
Deprive a person of the right to an impartial
adjudication.
[3]
Constitute an unwarranted invasion of privacy.
[4]
Hinder the Authority's ability to secure an
administrative or civil sanction.
[5]
Endanger the life or physical safety of an individual.
(18)
Records or parts of records, except time response
logs, pertaining to audio recordings, telephone or radio transmissions
received by emergency dispatch personnel, including 911 recordings.
This subsection shall not apply to a 911 recording, or a transcript
of a 911 recording, if the Authority or a court determines that the
public interest in disclosure outweighs the interest in nondisclosure.
(19)
DNA and RNA records.
(20)
An autopsy record of a coroner or medical examiner
and any audiotape of a postmortem examination or autopsy, or a copy,
reproduction or facsimile of an autopsy report, a photograph, negative
or print, including a photograph or videotape of the body or any portion
of the body of a deceased person at the scene of death or in the course
of a postmortem examination or autopsy taken or made by or caused
to be taken or made by the coroner or medical examiner. This exception
shall not limit the reporting of the name of the deceased individual
and the cause and manner of death.
(21)
Draft minutes of any meeting of the Authority until
the next regularly scheduled meeting of the Authority. Minutes of
an executive session and any record of discussions held in executive
session.
(22)
The contents of real estate appraisals, engineering
or feasibility estimates, environmental reviews, audits or evaluations
made for or by the Authority relative to the following:
(a)
The leasing, acquiring or disposing of real
property or an interest in real property.
(b)
The purchase of public supplies or equipment
included in the real estate transaction.
(c)
Construction projects.
(d)
This subsection shall not apply once the decision
is made to proceed with the lease, acquisition or disposal of real
property or an interest in real property or the purchase of public
supply or construction project.
(23)
Library and archive circulation and order records
of an identifiable individual or groups of individuals.
(24)
Library archived and museum materials, or valuable
or rare book collections or documents contributed by gift, grant,
bequest or devise, to the extent of any limitations imposed by the
donor as a condition of the contribution.
(25)
A record identifying the location of an archeological
site or an endangered or threatened plant or animal species if not
already known to the general public.
(26)
A proposal pertaining to Authority procurement or
disposal of supplies, services or construction prior to the award
of the contract or prior to the opening and rejection of all bids;
financial information of a bidder or offeror requested in an invitation
for bid or request for proposals to demonstrate the bidder's or offeror's
economic capability; or the identity of members, notes and other records
of agency proposal evaluation committees established under 62 Pa.C.S.A.
§ 513 (relating to competitive sealed proposals).
(27)
A record or information relating to a communication
between the Authority and its insurance carrier, administrative service
organization or risk management office. This subsection shall not
apply to a contract with an insurance carrier, administrative service
organization or risk management office or to financial records relating
to the provision of insurance.
(28)
A record or information:
(a)
Identifying an individual who applies for or
receives social services; or
(b)
Relating to the following:
[1]
The type of social services received by an individual;
[2]
An individual's application to receive social
services, including a record or information related to an agency decision
to grant, deny, reduce or restrict benefits, including a quasijudicial
decision of the agency and the identity of a caregiver or others who
provide services to the individual; or
[3]
Eligibility to receive social services, including
the individual's income, assets, physical or mental health, age, disability,
family circumstances or record of abuse.
(29)
Correspondence between a person and a member of the
General Assembly and records accompanying the correspondence which
would identify a person who requests assistance or constituent services.
This subsection shall not apply to correspondence between a member
of the General Assembly and a principal or lobbyist under 65 Pa.C.S.A.
Ch. 13A (relating to lobbying disclosure).[3]
[3]
Editor's Note: See 65 Pa.C.S.A. § 13A01
et seq.
(30)
A record identifying the name, home address or date
of birth of a child 17 years of age or younger.
(31)
The Authority shall not disclose the identity of an
individual performing an undercover or covert law enforcement activity.
[1]
Editor's Note: See 65 P.S. § 67.101
et seq.
A.
Postage. The Authority may charge the actual cost
of postage incurred as a result of mailing the response to the requestor.
B.
Duplication. The Authority may charge a fee for duplication
by photocopying, printing from electronic media or microfilm, copying
onto electronic media, transmission by facsimile or other electronic
means and other means of duplication fees as established by the Office
of Open Records.
C.
The Authority shall charge a fee of $5 for certification
of a document, if certification of the document is requested by the
requestor, and said fee shall be amended from time to time by resolution
of the Authority.
D.
Conversion to paper. If a record is only maintained
electronically or in other nonpaper media, duplication fees shall
be limited to the lesser of the fee for duplication on paper or the
fee for duplication in the original medium, unless the requestor specifically
requests for the record to be duplicated in the more expensive medium.
E.
Prepayment. If the estimate of the fees to be charged
to a requestor in connection with a request exceeds the amount of
$100, the Authority may require prepayment of the fees prior to granting
a request for said information.
A.
If a written request for access to a record is denied
or deemed denied, the requestor may file an appeal with the Office
of Open Records to the Appeals Officer designated by the Office of
Open Records for the taking of same within 15 business days of the
mailing date of the Authority's denial or within 15 days of a deemed
denial.
B.
Any appeal to the Office of Open Records or the Appeals
Officer designated by the Office of Open Records to hear appeals from
determinations of the Authority shall state the grounds upon which
the requestor asserts that the record is a public record, legislative
record or financial record and shall address any grounds stated by
the Authority for delaying or denying the request.
C.
All appeals to the Office of Open Records should be
made to:
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Commonwealth of Pennsylvania
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Office of Open Records
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Commonwealth Keystone Building
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400 North Street, Plaza Level
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Harrisburg, Pennsylvania 17120-0225
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