FOR PUBLICATION
ATTORNEY FOR APPELLANT: ATTORNEYS FOR APPELLEE:
KEVIN W. BETZ ELLEN E. BOSHKOFF
Betz & Associates SCOTT D. HIMSEL
Indianapolis, Indiana Baker & Daniels
Indianapolis, Indiana
ATTORNEY FOR AMICUS CURIAE:
STEPHEN A. KEY
The Hoosier State Press Association
Foundation
Indianapolis, Indiana
IN THE
COURT OF APPEALS OF INDIANA
AN UNINCORPORATED OPERATING )
DIVISION OF INDIANA NEWSPAPERS, INC., )
INDIANA CORPORATION d/b/a )
THE INDIANAPOLIS STAR, )
)
Appellant-Plaintiff, )
)
vs. ) No. 53A04-0112-CV-527
)
THE TRUSTEES OF INDIANA UNIVERSITY, )
)
Appellees-Defendants. )
APPEAL FROM THE MONROE CIRCUIT COURT
The Honorable Jane Spencer Craney, Special Judge
Cause No. 53C04-0101-CP-00011
May 2, 2003
OPINION FOR PUBLICATION
SULLIVAN, Judge
Appellant-Plaintiff, an Unincorporated Operating Division of Indiana Newspapers, Inc., Indiana Corp. d/b/a The
Indianapolis Star (the Star), challenges the trial courts grant of summary judgment in
favor of Appellee-Defendants, the Trustees of Indiana University (the Trustees) in the Stars
suit seeking access to certain materials held by the Trustees. Upon appeal,
the Star challenges the trial courts grant of summary judgment upon several grounds,
which we renumber and restate as follows:
I. Whether federal law requires the materials sought by the Star to be kept
confidential;
II. Whether the materials sought are deliberative materials excepted from public disclosure requirements;
III. Whether the materials sought are required to be disclosed by statute; and
IV. Whether the Trustees public release of certain information precludes them from claiming any
exceptions to the public disclosure statute.
We affirm in part, reverse in part, and remand.
The facts in the light most favorable to the non-moving party reveal that
in March of 2000, Neil Reed, a former student basketball player for Indiana
University, appeared on a television program and accused then-Indiana University basketball coach Bob
Knight of inappropriate behavior, including choking Reed during basketball practice. Shortly following
these allegations, a videotape surfaced which showed Knight extending his arm and contacting
or grabbing Reed by the throat during a taped practice session. In
response to these events, Indiana University President Myles Brand appointed University Trustees Frederick
Eichhorn and John Walda to investigate the veracity of the allegations. Eichhorn
and Walda were specifically given the task of investigating the following: the
alleged choking of and other abuses directed toward Reed; whether Knight verbally abused
Brand and removed him from a session of basketball practice; an incident in
which Knight allegedly displayed soiled toilet paper to members of the basketball team;
and any other allegations which might arise during the course of the investigation.
Walda hired a videotape expert and a private investigator to assist in the
investigation. During the investigation, although not directed by Brand to do so,
Eichhorn and Walda produced several documents which are at issue in the present
case. These documents consist of letters summarizing witness interviews, transcripts of
interviews, notes taken during interviews, a letter from a witness, a memorandum prepared
at Waldas request by a former student regarding Reeds allegations, and a document
consisting of the names of witnesses for the Reed investigation, including notes made
by the private investigator. Although variously referred to by the parties as
the Knight Disciplinary Records, or the Reed Investigatory Materials, we will refer to
the material produced as part of the investigation of Reeds allegations as the
Reed materials.
On May 3, 2000, Eichhorn and Walda met with Brand in Bloomington and
gave an oral report of the investigation, drawing in part upon information contained
in the Reed materials. On May 14, 2000, Brand met with other
Trustees, including Eichhorn and Walda, where, based in part upon the Reed materials,
information concerning the investigation was again relayed.
On May 15, 2000, based in part upon the information he had received
as a result of the investigation, Brand decided to discipline and sanction Knight
and announced this decision in a televised press conference. In addition to
a fine and suspension, Brand imposed what was termed a zero-tolerance policy which
prohibited inappropriate physical contact by Knight. Eichhorn and Walda prepared a Summary
Report of the Trustee Review Regarding Neil Reed Allegations Concerning the Conduct of
Coach Bob Knight which reviewed the findings and conclusions of the Reed investigation.
The University also drafted a document titled Knight Sanctions which also summarized
the findings and conclusions of the investigation and announced the sanctions imposed upon
Knight. The Knight Sanctions were released to the public. Brand also
created a Code of Conduct Commission to look at the general set of
issues surrounding employment and ethical approaches by coaches, student athletes, athletic directors, or
anyone to do with athletics, as well as to coordinate the various codes
of conduct that already existed. Appellants Appendix at 34.
In September of 2000, the Vice President of Public Affairs for Indiana University
Christopher Simpson informed Brand that a freshman student had made allegations that Knight
had inappropriate physical contact with the student. Brand then asked the Universitys
chief counsel, Dottie Frapwell, to investigate the allegations. Frapwell instructed James Kennedy
to direct the Indiana University Police Department (IUPD) to investigate the freshman students
allegations, which sounded like it could be a battery . . . .
Appellants App. at 145. IUPD interviewed several witnesses, including the student
and Knight. We will refer to the materials generated in this investigation
as the IUPD materials. These materials are maintained by IUPD and are
not physically kept in Knights personnel file. Following the investigation, Brand held
a meeting at his residence in Bloomington with Eichhorn, Frapwell, Kennedy, Simpson, Vice
President Terry Clapacs, Bill Stephan, and Brands wife, Peg Brand,
See footnote concerning the IUPD
investigation. At this meeting, the information garnered during the IUPD investigation was
relayed to Brand. The information contained in the IUPD materials was a
factor supporting the decision to terminate Knights employment. The IUPD materials were
turned over to the Monroe County Prosecutors Office, which decided not to file
any criminal charges.
During a televised press conference on September 10, 2000, Brand announced the decision
to terminate Knight. The University also publicly issued two documents, entitled Remarks
of President Myles Brand, and IU announces removal of Basketball Coach Bob Knight.
During the Reed investigation, the Star made ten requests for access to records
maintained by the Trustees, and the Trustees produced over forty documents in response
thereto. On May 18, 2000, the Star requested, pursuant to the Indiana
Access to Public Records Act (APRA),See footnote copies of any notes taken during the
course of the [Reed] investigation, information gathered during the course of the investigation
and reports written as a result of the investigation. Appellees App. at
13. In response, the Trustees produced the Summary Report but denied access
to the Reed materials. In doing so, the Trustees claimed that the
Reed materials were attorney work productSee footnote and also protected by various exceptions to
the general policy of disclosure as provided in APRA. After the Trustees
denied the Stars request for access, the Star filed a complaint with the
Office of the Public Access Counselor,See footnote in which it inquired as to whether
the Trustees had waived any of the claimed exceptions to public access.See footnote
The informal opinion of the Access Counselors Office was that, based upon the
circumstances under which the Trustees had disclosed the Summary Report to the media
and the public, the Trustees had not waived the APRA exceptions upon which
it based its withholding of the Reed materials.
On October 16, 2000, the Star made a request for access to Knights
personnel file.See footnote In response, the Trustees produced all documents to which the
Star was entitled, including President Brands September 11, 2000, letter removing Knight, but
denied access to the IUPD materials. Appellees App. at 10. The
Star again filed an inquiry with the Access Counselors Office, but the Office
declined to issue another advisory opinion.
On January 2, 2001, in response to the Trustees denial of access, the
Star filed a complaint alleging a violation of APRA by the Trustees and
seeking access to the Reed and IUPD materials. On March 2, 2001,
the Trustees moved for summary judgment. The Star filed its response to
this motion on July 3, 2001. The Trustees filed a reply to
the Stars response on August 7, 2001, and the Star filed a sur-reply
on August 10, 2001. Also on August 10, 2001, the trial court
held a hearing on the summary judgment motion. The trial court reviewed
in camera the disputed materials. Thereafter, on November 5, 2001, the trial
court granted summary judgment in favor of the Trustees, denying the Star access
to the disputed materials. The trial courts order also contained specific findings
of fact and conclusions of law. The Star filed its Notice of
Appeal on December 3, 2001.
Summary Judgment
Summary judgment is appropriate only if the designated evidentiary material demonstrates that there
is no genuine issue as to any material fact and that the moving
party is entitled to judgment as a matter of law. Ind. Trial
Rule 56(C);
Title Search Co., Inc. v. 1st Source Bank, 765 N.E.2d 167,
171 (Ind. Ct. App. 2002), trans. denied. Upon appeal, we apply the
same standard as the trial court and resolve disputed facts or inferences in
favor of the non-moving party. Id. This court and the trial
court are bound to consider only those matters which were designated to the
trial court. Markley Enters., Inc. v. Grover, 716 N.E.2d 559, 564 (Ind.
Ct. App. 1999). The moving party bears the burden of establishing, prima
facie, that no genuine issues of material fact exist and that he or
she is entitled to judgment as a matter of law. Title Search,
765 N.E.2d at 171. In addition, the party appealing a grant of
summary judgment bears the burden of persuading us that the trial court erred.
Id.
Here, the trial court entered findings of fact and conclusions of law.
Trial courts are not required to do so by Trial Rule 56(C).
Turner v. Stuck, 778 N.E.2d 429, 431 (Ind. Ct. App. 2002). The
trial courts findings and conclusions are not binding upon this court, but do
facilitate appellate review and offer insight into the trial courts rationale for its
decision. Id. On review, we will affirm the summary judgment if
it is sustainable upon any theory or basis found in the record.
Id.
I
Indiana Access to Public Records Act
Pursuant to the Indiana Access to Public Records Act, the Star seeks access
to several documents held by the Trustees. The first section
of APRA sets forth the public policy underlying the Act:
A fundamental philosophy of the American constitutional form of representative government is that
government is the servant of the people and not their master. Accordingly,
it is the public policy of the state that all persons are entitled
to full and complete information regarding the affairs of government and the official
acts of those who represent them as public officials and employees. Providing
persons with the information is an essential function of a representative government and
an integral part of the routine duties of public officials and employees, whose
duty it is to provide the information. This chapter shall be liberally
construed to implement this policy and place the burden of proof for the
nondisclosure of a public record on the public agency that would deny access
to the record and not on the person seeking to inspect and copy
the record. Ind. Code § 5-14-3-1 (Burns Code Ed. Repl. 2001).
Section 3 of APRA provides, Any person may inspect and copy the public
records of any public agency during the regular business hours of the agency,
except as provided in section 4 of this chapter.
See footnote Ind. Code §
5-14-3-3(a) (Burns Code Ed. Repl. 2001). Section 4 in turn sets forth
several exceptions to the disclosure requirement of section 3. Ind. Code §
5-14-3-4 (Burns Code Ed. Supp. 2002). Section 4(a) sets forth mandatory exceptions
to public access, and section 4(b) sets forth exceptions which may be invoked
at the discretion of the public agency.See footnote
If a public agency denies the request to inspect or copy public records,
the party who has been denied access may file an action to compel
the public agency to permit the party to inspect and copy the records.
Ind. Code § 5-14-3-9(d) (Burns Code Ed. Repl. 2001). In such
an action, section 9 states:
(e) The [circuit or superior] court shall determine the matter de novo, with the
burden of proof on the public agency to sustain its denial. If
the issue in de novo review under this section is whether a public
agency properly denied access to a public record because the record is exempted
under section 4(a) of this chapter, the public agency meets its burden of
proof under this subsection by establishing the content of the record with adequate
specificity and not by relying on a conclusory statement or affidavit.
(f) If the issue in a de novo review under this section is whether
a public agency properly denied access to a public record because the record
is exempted under section 4(b) of this chapter:
(1) the public agency meets its burden of proof under this subsection by:
(A) proving that the record falls within any one (1) of the categories of
exempted records under section 4(b) of this chapter; and
(B) establishing the content of the record with adequate specificity and not by relying
on a conclusory statement or affidavit; and
(2) a person requesting access to a public record meets the persons burden of
proof under this subsection by proving that the denial of access is arbitrary
or capricious.
(g) the court may review the public record in camera to determine whether any
part of it may be withheld under this chapter.
Id.
See footnote
Section 6(a) of APRA provides, If a public record contains discloseable and nondiscloseable
information, the public agency
shall, upon receipt of a request under this chapter,
separate the material that may be disclosed and make it available for inspection
and copying. Ind. Code § 5-14-3-6(a) (Burns Code Ed. Repl. 2001) (emphasis
supplied).
See footnote
See also Heltzel v. Thomas, 516 N.E.2d 103, 106 (Ind. Ct.
App. 1987) (noting the mandatory nature of I.C. § 5-14-3-6), trans. denied.
In the present case, the trial court viewed the records in question in
camera as authorized by section 9(g) and determined, as a matter of law,
that the records were excepted from public disclosure for various reasons, which the
Star now challenges. Although we must liberally construe APRA to implement its
policy of public access, we cannot contravene or ignore the specific exceptions to
disclosure specified by the legislature. See Heltzel, 516 N.E.2d at 106.
II
Investigatory Records Exception
The trial court determined that the IUPD materials were excepted from public disclosure
pursuant to I.C. § 5-14-3-4(b)(1), which states that [i]nvestigatory records of law enforcement
agencies may be excepted from disclosure at the discretion of the public agency.
The Star does not directly challenge the trial courts resolution of this
matter. Instead the Stars main argument is that, even if the IUPD
materials were investigatory files within the meaning of section 4(b)(1), it is nevertheless
entitled to access pursuant to section 4(b)(8)(C). We address this contention infra.
Nonetheless, the Star does posit that the IUPD materials might not be non-discloseable
investigatory records because there was designated evidence that there was little or no
chance of prosecution. The Star also claims that there is no reason
to protect yellowing documents contained in long-closed files. Appellants Br. at 40
n.5 (quoting Coastal States Gas Corp. v. Dept of Energy, 617 F.2d 854,
870 (D.C. Cir. 1980)). The plain language of section 4(b)(1), however, makes
no mention of the likelihood of prosecution. Moreover, APRA contains a separate
provision for the disclosure of aging documents, which is inapplicable here. See
I.C. § 5-14-3-4(e) (requiring access to all records, except those concerning an adoption,
seventy-five years after the creation of the record).
It cannot be doubted that the IUPD materials are investigatory in nature and
that IUPD is a law enforcement agency. Section 2 of APRA defines
investigatory record as information compiled in the course of the investigation of a
crime. I.C. § 5-14-3-2. The Star does not claim that the
IUPD files do not meet this definition. Section 2 also defines law
enforcement agency as an agency or a department of any level of government
that engages in the investigation, apprehension, arrest, or prosecution of alleged criminal offenders
. . . . Id. The Star does not claim that
IUPD does not meet this definition.
Because the plain language of section 4(b)(1) states that, subject to certain exceptions
not applicable here, investigatory records of law enforcement agencies shall be excepted from
public disclosure at the discretion of the public agency, we hold that the
materials generated by IUPD in the course of its investigation are excepted from
public disclosure at the Trustees discretion. As the Star makes no argument
that the Trustees abused this discretion, the trial court did not err in
concluding that the Star could not compel the Trustees to disclose the IUPD
materials.
See footnote
III
The Family Educational Rights and Privacy Act
APRA excepts from public disclosure those public records which are required to be
kept confidential by federal law. I.C. § 5-14-3-4(a)(3). The Star challenges
the trial courts determination that the federal Family Educational Rights and Privacy Act
of 1974 (FERPA)See footnote requires the Reed materials to remain confidential and that the
Reed materials are therefore excepted from APRAs disclosure requirement. Specifically, the trial
court concluded that the Reed materials were protected from public disclosure by FERPA
in that they are educational records and contain personal identifiable information of past
and present students and parents of students of Indiana University . . .
. Appellants App. at 14.
The relevant portion of FERPA reads:
No funds shall be made available under any applicable program to any educational
agency or institution which has a policy or practice of permitting the release
of education records (or personally identifiable information contained therein other than directory information,
as defined in paragraph (5) of subsection (a) of this section) of students
without the written consent of their parents to any individual, agency, or organization
. . . . 20 U.S.C. § 1232g(b)(1).
A. Does FERPA Require Confidentiality?
We first address a threshold issue not directly addressed by the parties, i.e.,
whether FERPA is a federal law which requires records to be kept confidential.
Only if this is so does APRA require non-disclosure.
See I.C.
§ 5-14-3-4(a)(3). In the strictest sense, FERPA does not require educational institutions
to do or not do anything, but instead operates to withhold federal funding
to those institutions which have a policy or practice of permitting the release
of education records without parental or student consent. 20 U.S.C. § 1232g(b)(1).
In Gonzaga Univ. v. Doe, 536 U.S. 273, 122 S.Ct. 2268 (2002), the
United States Supreme Court held that FERPAs non-disclosure provisions create no personal right
to enforce pursuant to 42 U.S.C. § 1983. In so holding, the
Court observed that FERPAs non-disclosure provisions speak only in terms of institutional policy
and practice, not individual instances of disclosure. 122 S.Ct. at 2271.
One could conclude from this that isolated instances of non-authorized disclosure would not
be in violation of FERPA and not jeopardize a schools federal funding.
If so, FERPA would not require education records to be kept confidential.
However, if we were to hold for this reason that FERPA was not
a federal law requiring education records to be kept confidential, public disclosure of
such materials could soon become a commonplace occurrence. In such a situation,
one might then say that a school has a policy or practice of
non-authorized disclosure of education records, which would violate FERPA and endanger federal funding.
As observed by the court in DTH Publg Corp. v. Univ. of N.
Carolina, 496 S.E.2d 8, 12 (N.C. Ct. App. 1998), although FERPA does not
specifically use such terms as privileged and confidential . . . it clearly
expresses the federal policy that student education records should not be widely disseminated
to the public and, except in certain enumerated circumstances, should not be released
without proper consent. We agree with this reasoning and hold that, for
purposes of I.C. § 5-14-3-4(a)(3), FERPA is a federal law which requires education
records to be kept confidential. See also U.S. v. Miami Univ., 294
F.3d 797, 809 (6th Cir. 2002) (noting that once federal funding and the
conditions of FERPA are accepted by a school, the school is indeed prohibited
from systematic non-consensual release of education records).
B. Education Records
Having determined that FERPA requires education records to be kept confidential, the question
becomes whether the Reed materials are encompassed by the term education records.
FERPA defines education records as those records, files, documents, and other materials which
. . . (i) contain information directly related to a student; and .
. . (ii) are maintained by an educational agency or institution or by
a person acting for such agency or institution. 20 U.S.C. § 1232g(a)(4)(A).
Education records do not include:
(i) records of instructional, supervisory, and administrative personnel and educational personnel ancillary thereto
which are in the sole possession of the maker thereof and which are
not accessible or revealed to any other person except a substitute;
(ii) records maintained by a law enforcement unit of the educational agency or
institution that were created by that law enforcement unit for the purpose of
law enforcement;
(iii) in the case of persons who are employed by an educational agency
or institution but who are not in attendance at such agency or institution,
records made and maintained in the normal course of business which relate exclusively
to such person in that persons capacity as an employee and are not
available for use for any other purpose.
See footnote § 232g(a)(4)(B).
Upon appeal, the Star argues that the trial court erred in concluding that
all of the Reed materials were education records and are therefore required to
be kept confidential by FERPA.
The scope of the term education records as used in FERPA has been
addressed by several courts, some giving the term a narrow definition, others giving
it a broader definition.
Compare Red & Black Publg Co. v. Bd.
of Regents, 427 S.E.2d 257 (Ga. 1993) (holding that records relating to a
student court were not education records), and State ex rel. Miami Student v.
Miami Univ., 680 N.E.2d 956 (Ohio 1997) (holding that university students redacted disciplinary
records were not education records), cert. denied 522 U.S. 1022, with DTH Publg
Corp., 496 S.E.2d 8 (holding that student information divulged in undergraduate court proceedings
constituted education records), and Miami Univ., 294 F.3d 797 (holding that student disciplinary
records virtually untainted by redaction were education records).
The question of the scope of the term education records was recently before
the United States Supreme Court in Owasso Indep. Sch. Dist. v. Falvo, 534
U.S. 426 (2002). In Falvo, the Court held that peer-grading procedures used
by the defendant school district did not violate FERPA because the peer-graded papers
were not education records. Id. at 430. The Court acknowledged that
the papers contained information directly relating to a student and met the first
requirement for an education record. Id. at 431. The Court held,
however, that the peer-graded papers were not maintained by the school or a
person acting for the school. Id. at 433.
The Court held that the word maintain suggested that education records will be
kept in a filing cabinet or on a permanent secure database, and that
it was fanciful to say that [the students] maintain the papers in the
same way the registrar maintains a students folder in a permanent file.
Id. The Court also held that the students were not acting for
the school when they followed their teachers instructions to peer-grade a test, in
that [c]orrecting a classmates work can be as much a part of the
assignment as taking the test itself. Id. According to the Falvo
Court, the phrase acting for connotes agents of the school, such as teachers,
administrators, and other school employees. Id. The Court also stated:
FERPA requires a record of access for each pupil. This single record
must be kept with the education records. This suggests Congress contemplated that
the education records would be kept in one place with a single record
of access. By describing a school official and his assistants as the
personnel responsible for the custody of the records, FERPA implies that education records
are institutional records kept by a single central custodian, such as a registrar,
not individual assignments handled by many student graders in their separate classrooms.
Id. at 434-35.
The Star argues in its reply brief that the Reed materials are maintained
by Trustees Eichhorn and Walda, not by the University, and that the Reed
materials are therefore not education records as defined by FERPA. Although the
Reed materials are not maintained by a central custodian, Falvo should not be
read to mean that all records not maintained by a registrar or central
custodian cannot be education records. Otherwise there would have been little reason
for the Court to mention that a person acting for the school connoted
agents of the school such as teachers, administrators, and other employees. Here,
Eichhorn and Walda, who are University Trustees, were instructed by the President of
the University to conduct the Reed investigation and collected the Reed materials as
a result. Eichhorn and Walda were clearly acting for the University in
maintaining these materials.
This leads us to the issue of whether the Reed materials contain information
directly related to a student. The Star cites Miami Student, supra, to
support its argument that the Reed materials do not. In Miami Student,
the Ohio Supreme Court held that university student disciplinary records were not education
records under FERPA, and therefore not exempt from Ohios Public Records Act, which,
like APRA, excluded from the definition of public records those records prohibited to
be released by state or federal law. See 680 N.E.2d at 170
(citing Ohio Rev. Code Ann. § 149.43). The court stated that the
disciplinary records sought were non-academic in nature and did not contain educationally related
information such as grades, academic data, scholastic performance, or financial aid information.
Id. at 171-72. Therefore, the court held that the records were not
education records for purposes of FERPA.
In Miami Student, the newspaper seeking access to the records had, in its
requests for access, not sought disclosure of personal information such as names, Social
Security numbers, student identification numbers, or other information which conveyed the identity of
the accused or convicted party. The university had deleted this information along
with the age and sex of the students charged, the dates, times, and
location of the alleged incidents, and the disposition of certain proceedings. The
court held that the university could properly delete from the disclosed records the
students name, Social Security number, student identification number, and the exact date and
time of the alleged incident, as this could lead to the identity of
the student. Id. at 172. The court held that the university
must disclose the general location of the incident, the age and sex of
the student (which does not identify the student), the nature of the offense,
and the type of disciplinary penalty imposed. Id.
The Trustees claim that the Miami Student case is no longer valid precedent,
and cite Miami University, supra, for support. The Miami University case arose
out of the circumstances following the Ohio Supreme Courts decision in Miami Student.
Following the Miami Student decision, The Chronicle of Higher Education sought disciplinary
records from both Miami University and Ohio State University. However, unlike
the newspaper in Miami Student, the Chronicle requested the records with names intact
and minimal redaction. Upon receipt of the request, Miami University contacted the
federal Department of Education (DOE) to inform the DOE that it might not
be able to comply with FERPA. The DOE informed Miami University that
the Ohio Supreme Court was incorrect in holding that disciplinary records were not
education records. When the DOE learned that the universities planned to comply
with the Chronicles requests, it sought declaratory and injunctive relief in federal court.
The District Court granted the DOEs motion for summary judgment and permanently
enjoined the universities from releasing student disciplinary records in violation of FERPA.
Miami Univ., 91 F.Supp.2d 1132, 1160 (S.D. Ohio 2000).
Upon appeal, the Sixth Circuit Court of Appeals affirmed the District Court and
held that the Ohio Public Records Act and FERPA could coexist. Miami
Univ., 294 F.3d at 811. Here, the Trustees claim that the Miami
Student case is no longer valid precedent. To be sure, the District
Court criticized and disagreed with the Ohio Supreme Courts conclusion that student disciplinary
records were not education records. Miami Univ., 91 F.Supp.2d at 1149 n.17.
The Sixth Circuit Court of Appeals also agreed that student disciplinary records
were education records. Miami Univ., 294 F.3d at 812. Nevertheless, it
distinguished the situation before it and the one which was before the Ohio
Supreme Court:
We assume that the rights and responsibilities established in [the Miami Student] case
were satisfied long ago. Unlike the case at bar, the editors in the
Miami case permitted Miami to redact significantly the student disciplinary records prior to
disclosure and, in its mandamus, the Ohio Supreme Court expanded the list of
items that Miami could redact. After concluding that student disciplinary records were
not education records, the Court still permitted Miami to redact the following personally
identifiable information in accord with the FERPA: the students name; Social Security Number;
student identification number; and the exact date and time of the alleged incident.
With these court-imposed redactions, the mandamus appears to comport with the FERPA's
requirements.
In the case sub judice, The Chronicle seeks records fraught with personally identifiable
information and virtually untainted by redaction. Given the vast difference in the records
sought by The Chronicle, it is by no means clear that the [Miami
Student] case would support, without exception, the release of those records. Id.
at 811 (emphasis supplied) (citations omitted).
The Sixth Circuit then upheld the permanent injunction issued by the District Court.
The Court also relied upon a conclusion reached by the DOE in
1995 that all disciplinary records, including those related to non-academic or criminal misconduct
by students, are education records subject to FERPA. Id. at 813 n.14.
From this, we can discern that the Sixth Circuit disagreed with the Ohio
Supreme Courts narrow definition of education records, and that according to the Sixth
Circuit and the DOE, student disciplinary records are education records which must remain
confidential pursuant to FERPA. However, we find it significant that the court
in Miami University observed that the result of the Ohio Supreme Courts opinion,
i.e. the mandamus requiring the school to release the redacted disciplinary records, appeared
to comport with the requirements of FERPA. See id. at 811.
If student disciplinary records are education records under FERPA, and the result of
the Miami Student decision, i.e. the release of redacted student disciplinary records, comports
with FERPAs requirements, then one may logically conclude that the redacted student disciplinary
records in the Miami Student case were not education records for purposes of
FERPA, but that the un-redacted student disciplinary records in the Miami University case
were. In other words, with all identifying information redacted from the student
disciplinary records, they no longer contain[ed] information directly related to a student or
personally identifiable information of a student. 20 U.S.C. §§ 1232g(a)(4)(A)(i), 1232g(b)(1).
With this in mind, we return to the question of whether the Reed
materials are education records protected by FERPA. We recognize that the records
at issue in both Miami Student and Miami University were student disciplinary records,
whereas the materials at issue in the present case relate to Knight, a
University employee. Nevertheless, to the extent that the Reed materials contain information
directly relating to students, their non-consensual disclosure would be a violation of FERPA.
However, we also must consider the effects that redaction might have upon the
materials.
See footnote The Trustees claim that, because FERPA contains no provision for redaction
of education records, redaction is prohibited. Indeed, the Trustees go so far
as to suggest that if a 1000 page document consisting of otherwise discloseable
material contained one line regarding a students grade, then the entire 1000 page
document must be withheld pursuant to FERPA. We reject such an interpretation.
Although FERPA contains no redaction provision, neither does it prohibit such. Moreover,
the Sixth Circuit gave tacit approval to the redaction of student records in
the
Miami University case. 294 F.3d at 811. APRA permits redaction
in that it specifically mandates separation of discloseable from non-discloseable information contained in
public records containing both. I.C. § 5-14-3-6(a). Therefore, if a public
record contains some information which qualifies under an exception to public disclosure, instead
of denying access to the record as a whole, public agencies must redact
or otherwise separate those portions of the record which would otherwise render it
non-discloseable.
In the case at bar, the trial court concluded that the Reed materials
were non-discloseable due to the fact that the materials referenced current or former
students of Indiana University. However, from the trial courts order it is
unclear whether the trial court considered the possibility of redaction. In fact,
given the Trustees arguments that redaction was not permitted by FERPA, it appears
the trial court did not consider redaction. Although we do not have
the Reed materials before us, the record does contain the Trustees document log
which lists each document gathered during the Reed investigation, along with a brief
description of its contents and the reasons the Trustees felt the document to
be non-discloseable. This log indicates that some of the Reed materials likely
contain little or no information directly relating to students.
For example, the log lists Notes of telephone interview with Indiana University Athletic
Department staff member regarding alleged altercation by Knight against that staff member.
Appellants App. at 17. Certainly the brunt of this interview relates to
an altercation between Knight and the University employee, and if any information that
could lead to the identification of a current or former student were to
be redacted, these interview notes would, as a matter of law, not be
education records and not protected by FERPA. The document log also lists
Notes of telephone call with video expert regarding experts opinions about Reeds allegations
based upon experts study and review of videotape of Indiana University basketball practice.
Id. at 18. Again, if identifiable student information were to be
redacted from these notes, we are unable to see how they would be
education records protected by FERPA. Yet another entry in the document log
is Notes of telephone interview with staff member of IU Athletic Department regarding
whether Knight choked Reed, displayed soiled toilet paper to players, ejected Brand from
practice, and engaged in other misconduct. Id. We might reasonably presume
that portions of these notes would include identifiable student information. However, the
portion regarding the alleged incident with Knight and President Brand would not necessarily
include any student information, and, if these notes were properly redacted to eliminate
any identifiable student information, they would not be protected by FERPA.
Therefore, we instruct the trial court upon remand to review the Reed materials
and redact or otherwise separate any portion of these documents which might contain
information that could identify any present or former students in violation of the
confidentiality mandated by FERPA.
See footnote In such a way, the Star would have
access, albeit limited by redaction, to the materials it seeks pursuant to APRA,
and the Trustees would protect the privacy of student information in accordance with
FERPA. The Trustees claim that such redaction is impossible, in that the
interviews by their very nature will give away the identity of the students
involved. However, as discussed above, there are several examples in the document
log which belie this argument. We nonetheless emphasize that
any information which
could lead to the identity of former or present students of Indiana University
must be redacted. Whether or not this limits the intelligibility of the
documents, this is what is required by APRA and FERPA.
Of course, the Trustees also claim that the Reed materials are protected by
the deliberative materials exception to APRA. We do not address here whether
the Reed materials are protected from disclosure under that provision, but instead simply
hold that these materials, properly redacted, would not be protected education records under
FERPA.
IV
Deliberative Materials Exception
The trial court determined that the Reed materials were protected from public disclosure
under the deliberative materials section of APRA, which states that [r]ecords that are
intra-agency or interagency advisory or deliberative material . . . that are expressions
of opinion or are of a speculative nature, and that are communicated for
the purpose of decision making are excepted from public disclosure at the discretion
of the public agency. I.C. § 5-14-3-4(b)(6). The purpose of protecting
such communications is to prevent injury to the quality of agency decisions.
Newman v. Bernstein, 766 N.E.2d 8, 12 (Ind. Ct. App. 2002) (quoting N.L.R.B.
v. Sears, Roebuck & Co., 421 U.S. 132 (1975)).
See footnote The frank discussion
of legal or policy matters in writing might be inhibited if the discussion
were made public, and the decisions and policies formulated might be poorer as
a result.
Newman, 766 N.E.2d at 12 (quoting Sears, 421 U.S. at
150).
The Star claims that the trial courts decision was wrong in that that
the trial court did not distinguish between pre-decisional materials and post-decisional materials and
that the trial court did not differentiate factual information from deliberative content contained
in the Reed materials.
See footnote
A. Pre-Decisional and Post-Decisional Materials
The Star claims that the trial court failed to distinguish between those materials
which were created before the decision to discipline Knight was made and those
materials which were created afterward in an effort to support the decision already
made. We note that section 4(b)(6) does not explicitly recognize a distinction
between pre-decision and post-decision materials. Instead, this distinction has been drawn in
cases involving the federal Freedom of Information Act (FOIA), 5 U.S.C.
§ 552.
In
Sears, the United States Supreme Court explained:
The quality of a particular agency decision will clearly be affected by the
communications received by the decisionmaker on the subject of the decision prior to
the time the decision is made. However, it is difficult to see
how the quality of a decision will be affected by communications with respect
to the decision occurring after the decision is finally reached; and therefore equally
difficult to see how the quality of the decision will be affected by
forced disclosure of such communications, as long as prior communications and the ingredients
of the decisionmaking process are not disclosed. Accordingly, the lower courts have
uniformly drawn a distinction between predecisional communications, which are privileged, and communications made
after the decision and designed to explain it, which are not. 421
U.S. at 151-52 (emphasis supplied) (citations omitted).
The Star claims that in Newman, this court adopted the pre- and post-decisional
distinction drawn in Sears. In Newman, the trial court had relied upon
Sears in concluding that APRA required the Marion County Prosecutors Office to disclose
its plea bargain policy manual to a criminal defendant. 766 N.E.2d at
12. Upon appeal, the Newman court reversed the decision of the trial
court, holding Even if we assume those categoriespre-and post-decision communicationshould apply to this
case, we do not think the plea policy manual should be disclosed.
Id. (emphasis supplied). Thus, the Newman court did not expressly adopt the
pre- and post-decisional distinction relevant to FOIA. We also decline to expressly
adopt the pre- and post-decisional distinction.
Nevertheless, even if we were to apply the pre- and post-decisional distinction, the
Star would not prevail. The Star admits that Eichhorn and Walda met
with Brand on May 3, 2000 and orally presented their findings based upon
the Reed materials. It also admits that on May 14, 2000, Brand
met with various Trustees, including Eichhorn and Walda, to discuss the investigation, and
that this meeting constituted Eichhorn and Waldas final report to Brand concerning the
Reed materials. Appellants Br. at 9-10. It is undisputed that Brand
made his decision to discipline Knight on May 15, 2000.
See footnote Thus, even
according to the facts as presented by the Star, the Reed materials were
communicated to Brand
prior to his decision to discipline Knight. Therefore, the
Reed materials are pre-decisional in nature, and we cannot fault the trial court
for failing to draw a distinction between pre- and post-decisional materials.
See footnote
B. Deliberative and Factual Material
The Star claims that the trial court erred in concluding that the Reed
materials, in their entirety, constitute deliberative materials, and failing to differentiate between the
factual and deliberative portions.See footnote Citing
Envtl. Prot. Agency v. Mink, 410 U.S.
73 (1973), a case interpreting FOIA, the Star claims that any severable factual
material contained in the Reed materials must be made available for public access.
In Mink, several members of the United States Congress filed suit under
FOIA to obtain access to documents held by Executive Branch officials concerning underground
nuclear weapons testing. The Executive Branch argued that several of the documents
were protected from disclosure by the exemption contained in subsection (b)(5) of FOIA,
See footnote
which states that the public access requirements do not apply to inter-agency or
intra-agency memorandums or letters which would not be available by law to a
party other than an agency in litigation with the agency. The Court
held that the legislative history of the exemption demonstrated that Congress intended to
incorporate the rule that confidential intra-agency advisory opinions are privileged from inspection.
Id. at 86. The Court recognized that this exemption also has recognized
limits; specifically, that the exemption contemplated the discovery of purely factual material appearing
in documents in a form that is severable without compromising the private remainder
of the documents. Id. at 91.
In response to the argument that the documents at issue in Mink contain[ed],
by their very nature, a blending of factual presentations and policy recommendations that
are necessarily inextricably intertwined with policy making processes, the Court stated that the
Court of Appeals remand order answered any such concerns. Id. at 92.
The Court of Appeals for the District of Columbia had instructed the
District Court to disclose only such factual material that is not intertwined with
policy-making processes and that may safely be disclosed without impinging on the policymaking
decisional processes intended to be protected by this exemption. Id. Here,
the Star claims that the reasoning of the Mink court in interpreting FOIA
should apply to the present case involving APRA, and that the trial court
should have ruled that all purely factual matters contained in the Reed materials
should be disclosed.
The Trustees respond that the case of Journal Gazette v. Bd. of Trustees
of Purdue Univ., 698 N.E.2d 826 (Ind. Ct. App. 1998), controls the outcome
of the present case.
See footnote In that case, the Journal Gazette requested various
documents from Purdue University relating to complaints regarding the athletic department. Purdue
disclosed some but not all of the documents sought, and the Journal Gazette
brought suit pursuant to APRA. Following an evidentiary hearing, the trial court
ruled in favor of Purdue.
Upon appeal, a panel of this court affirmed the trial court, in part
holding that several of the documents sought by the Journal Gazette were protected
by the deliberative materials exception contained in section 4(b)(6) of APRA. Among
these documents were grievances alleging improper or unfair treatment. The court held:
[T]he complaints submitted to Purdue are retained as documents which are part of
its decision making process and are speculative in nature. Purdues primary use
of the documents at this time would be to determine which, if any,
action should be taken in response to the grievances. There is testimony
in the record that a grievance document is submitted to the decision maker
at each step of the grievance process so that Purdue can make a
decision about the treatment of an employee. Therefore, the trial court did
not err in determining that they are retained for the purpose of decision
making, as any investigative documents generated in response to the grievances, and excluding
them from the disclosure requirement. Additionally, miscellaneous documents . . . that
are all a part of the follow up of the Joseph and Dunn
grievances, are also excluded from the disclosure requirement as Purdue has shown that
they are a part of the decision making process which follows employee grievances.
Id. at 830.
The court also held that several other documents requested by the Journal Gazette
were protected deliberative materialsspecifically, documents regarding two specific allegations made against Purdue athletes,
a letter received by Purdue containing allegations of NCAA violations, and documents received
by Purdue regarding NCAA violations reported to Purdue but not to the NCAA.
The court held that testimony had sufficiently establish[ed] the nature of the
documents and that they were used for a decision making purpose. Additionally,
there [was] ample testimony that the contents of the documents consist[ed] of opinions
and speculation of an NCAA violation. Id. at 831.
Lastly, the Journal Gazette court held that invoice vouchers gathered by Purdues athletic
department as part of its investigation into the alleged NCAA violation, were protected
from disclosure because they were collected and retained by the athletic department as
part of its investigation of alleged NCAA violations and are therefore covered by
the (b)(6) exception. Id. at 831-32.
The Trustees claim that the situation before us is the same as that
before the court in Journal Gazette, i.e., that the Reed materials concern whether
Knight treated basketball players unfairly or improperly, and are speculative or matters of
opinion by their very nature. To the extent that the Reed materials
contain such speculation or opinion, we agree. We note, however, that the
trial courts findings and conclusions state that, The Reed Investigatory Documents are deliberative
material which contain expressions of opinion, have some speculative material and/or opinions, and
were to be communicated for the purpose of decision making to President Brand
concerning Coach Knight. Appellants App. at 14 (emphasis supplied). We recognize
that the trial courts findings and conclusions are not binding upon appeal.
Nevertheless, by stating that the Reed materials contained some speculative material and/or expressions
of opinion, a negative inference can be drawn that some of the Reed
materials do not contain such. This inference is supported by a review
of the Trustees document log, which also indicates that portions of the Reed
materials concern factual matters. For example, several of the documents in the
log relate to the interviewees knowledge of whether Knight removed Brand from a
session of basketball practice. This incident either did or did not happen;
whether this incident occurred is a factual matter, not opinion or speculation.
On the other hand, a witnesss opinion as to whether Knight engaged in
misconduct would seem to be speculative in nature or contain expressions of opinion.
The question remains as to what to do with this combination of factual
matters and deliberative materials. The Trustees would have us declare an entire
document non-discloseable based upon the fact that it contains some speculative material or
expressions of opinion. The Journal Gazette opinion could be read to support
such a position, in that the court held that it was not necessary
for Purdue to specifically prove the exception for each individual document. The
documents were requested as a whole or a group: those dealing with NCAA
violations, and no document in this group did not fall under this category.
698 N.E.2d at 831.
However, section 6 of APRA requires a public agency to separate discloseable from
non-discloseable information contained in public records. I.C. § 5-14-3-6(a). By stating
that agencies are required to separate information contained in public records, the legislature
has signaled an intention to allow public access to whatever portions of a
public record are not protected from disclosure by an applicable exception. To
permit an agency to establish that a given document, or even a portion
thereof, is non-discloseable simply by proving that some of the documents in a
group of similarly requested items are non-discloseable would frustrate this purpose and be
contrary to section 6. To the extent that the Journal Gazette case
suggests otherwise, we respectfully decline to follow it.
See footnote
Instead, we agree with the reasoning of the United States Supreme Court in
Mink, supra, i.e., that those factual matters which are not inextricably linked with
other non-discloseable materials, should not be protected from public disclosure. See 410
U.S. at 92. Consistent with the mandate of APRA section 6, any
factual information which can be thus separated from the non-discloseable matters must be
made available for public access.
We therefore instruct the trial court to review the Reed materials in camera
and determine what portions of the Reed materials contain factual materials not inextricably
linked to non-discloseable materials and allow the Star access to such factual materials.
Of course, this separation or redaction must be done in addition to
that which would remove any protected student information pursuant to our conclusion in
Part III.
In response to an argument presented by amicus curiae,
See footnote the Trustees claim that
confidentiality was promised to many of the witnesses interviewed, and any breach of
this confidentiality by disclosing the Reed materials might chill future internal investigations for
fear of exposure or reprisals. We recognize this as a legitimate concern.
However, the Trustees do not refer us to any provision or precedent,
nor does our review of section 4 reveal, that public records are non-discloseable
simply because a public agency promised or indicated to a witness that the
information gathered would remain confidential.
Be that as it may, we have already concluded that any identifiable student
information must be redacted from the Reed materials before the Star may have
access to them. As many of the interviewees were students, this would
lessen the Trustees concerns of violating promises of confidentiality. In addition, because
the IUPD materials are non-discloseable, the information gathered during the IUPD investigation will
remain confidential. Also, the Trustees argued to the trial court that the
Reed materials were non-discloseable attorney work product.
See I.C. § 5-14-3-4(b)(2).
Our conclusion that some portions of the Reed materials are discloseable will require
the trial court to determine the one genuine issue of material fact it
foundwhether Eichhorn and Walda were acting as attorneys for Indiana University when they
conducted the Reed investigation. If they were, those materials which we hold
today are not protected by the exceptions at issue before us might nevertheless
be non-discloseable attorney work product.
V
Personnel File Exception
Section 4(b)(8) of APRA reads in pertinent part:
(b) Except as otherwise provided by subsection (a), the following public records shall be
excepted from section 3 of this chapter at the discretion of a public
agency:
* * *
(8) Personnel files of public employees and files of applicants for public employment, except
for:
* * *
(C) information concerning disciplinary actions in which final action has been taken and that
resulted in the employee being disciplined or discharged.
The Trustees do not claim that the Reed or IUPD materials fall within
this personnel file exception. However, the Star claims that section 4(b)(8)(C) mandates
that the Trustees disclose the Reed and IUPD materials, even if they otherwise
fall within one or more other exceptions to disclosure. The Trustees claim
in response that section 4(b)(8)(C) is simply an exception to the exception listed
in section 4(b)(8), and that if another disclosure exception is applicable, then the
materials sought may still be protected from disclosure. We agree with the
Trustees.
We note that sections 4(b)(8)(A) through (C)
See footnote are listed under the exception contained
in section 4(b)(8). If 4(b)(8)(A) through (C) trumped all exceptions to disclosure,
one would not expect them to be listed under the section 4(b)(8) exception.
More importantly, to read section 4(b)(8)(C) to trump all other exceptions would
render other portions of section 4 superfluous. Specifically, section 4(b)(12) states that
an agency may, at its discretion, not disclose [r]ecords specifically prepared for discussion
or developed during discussion in an executive session under IC 5-14-1.5-6.1.
However,
this subdivision does not apply to that information required to be available for
inspection and copying under subdivision (8). I.C. § 5-14-3-4(b)(12) (emphasis supplied).
The reference to information required to be disclosed by subdivision (8), i.e., section
4(b)(8), might appear at first glance to support the Stars reading of section
4(b)(8)(C) as a trump which does require such information to be disclosed.
However, if this subsection were a trump over all other applicable exceptions, there
would be no need for the General Assembly to explicitly state that records
excepted by section 4(b)(12) are nonetheless subject to the exceptions listed in section
4(b)(8)(A) through (C). We will not interpret a portion of a statute
to be meaningless if it can be reconciled with the rest of the
statute. MDM Investments v. City of Carmel, 740 N.E.2d 929, 934 (Ind.
Ct. App. 2000). Thus, we hold that sections 4(b)(8)(A), (B), and (C)
are exceptions only to the disclosure exceptions listed in sections 4(b)(8) and (12).
However, the section 4(b)(8)(A), (B), and (C) exceptions do not trump the
remaining disclosure exceptions listed in section 4.
Our holding is further supported by APRA section 9, which states that, when
the issue before the trial court is whether a public agency properly denied
access to a public record based upon a section 4(b) exception, the public
agency meets its burden of proof by proving that the record falls with
any one of the categories of exempted records under section 4(b) of this
chapter. I.C. § 5-14-3-9(f) (emphasis supplied).
Furthermore, even if we were to agree with the Star that section 4(b)(8)(C)
acted as a trump, we do not agree that the materials sought by
the Star would be required to be disclosed. Section 4(b)(8)(C) covers information
concerning disciplinary actions, but only those in which final action has been taken
and in which that final action was discipline or discharge. Thus, this
subsection requires that information concerning the final disciplinary action, i.e. discipline or discharge,
be disclosed. Here, Knight was both disciplined and discharged, and these actions
were final actions. The question is whether the Reed materials are information
concerning these final actions as claimed by the Star. We answer in
the negative.
The Reed materials are not information concerning the final disciplinary action; they are
instead the underlying investigatory documents which led to the final disciplinary action.
Indeed, the final disciplinary decision was yet to be made when the Reed
materials were created. Information concerning the final disciplinary action might encompass the
nature, extent, and general reason behind the decision to discipline or discharge a
public employee, but not the intimate details of the factual investigation which forms
the basis of the action. The same is true regarding the IUPD
materials, which the Star claims must be disclosed pursuant to section 4(b)(8)(C).
These materials are not information concerning the final action taken, i.e., the discipline
and discharge of Knight, but are instead investigatory documents concerning the incident which
eventually led to the discharge of Knight.
As noted by the Trustees, the Stars position would lead to the incongruous
result of protecting investigatory information where no discipline or discharge occurred, but disclosing
such if the employee was disciplined or discharged. This could operate to
discourage public agencies from taking such final actions for fear that their investigations
would be compromised. We do not believe this was the intent of
the General Assembly. Therefore, the trial court did not err in determining
that the Reed and IUPD materials were not discloseable pursuant to APRA section
4(b)(8)(C).
VI
Incorporation and Waiver
Lastly, we address two related, but subtly different issues presented by the Star.
The first is that, because the Trustees final decision expressly incorporated or
adopted by reference the reasoning contained in the Reed materials, the Reed materials
are not protected by the deliberative materials exception contained in APRA section 4(b)(6).
The second is that the Trustees waived all of the applicable APRA
exceptions by selective disclosure of the Reed materials.
A. Incorporation
Citing two cases interpreting FOIA, the Star claims that the Trustees cannot avail
themselves of the deliberative materials exception contained in section 4(b)(6) of APRA because
the Trustees final decision expressly adopted or incorporated the reasoning contained in the
Reed materials.
In N.L.R.B. v. Sears, Roebuck & Co., 421 U.S. 132 (1975), Sears sought,
pursuant to FOIA, to compel the disclosure of advice and appeals memoranda issued
by the general counsel of the National Labor Relations Board. The N.L.R.B.
claimed that the memoranda at issue were protected by exemption 5 of FOIA,
5 U.S.C. § 552(b)(5), which protects from disclosure inter-agency and intra-agency memoranda.
See Mink, 410 U.S. at 86-87. The N.L.R.B. claimed that the District
Court had erred in holding that documents incorporated by reference in non-exempt memoranda
lose the protection otherwise afforded them as intra-agency memoranda. Sears, 421 U.S.
at 161. The Sears Court rejected the N.L.R.B. argument and held that,
if an agency chooses expressly to adopt or incorporate by reference an intra-agency
memorandum previously covered by the exemption contained in subsection (b)(5) of FOIA in
what would otherwise be a final opinion, that memorandum may be withheld only
on the ground that it falls within the coverage of another exemption.
Id.
In Niemeier v. Watergate Special Prosecution Force, 565 F.2d 967 (7th Cir. 1977),
the plaintiff requested from the Special Prosecutor a copy of a memorandum sent
to the Special Prosecutor from the Counsel to the Special Prosecutor. This
request was denied, and the plaintiff brought suit under FOIA to gain access
thereto. The memorandum in question had been quoted and relied upon in
a letter written by the Special Prosecutor to the Attorney General explaining the
decision not to seek a criminal indictment of former President Richard Nixon.
The District Court concluded that the memorandum fell within the ambit of exemption
five of FOIA.
Upon appeal, the Seventh Circuit Court of Appeals held that:
where an underlying memorandum is expressly relied on in a final agency dispositional
document, even though only part of it is expressly reproduced, . . .
a presumption in favor of disclosability of the memorandum as a whole is
created. This presumption is subject to rebuttal by the agency challenging disclosure
upon the showing that other portions of the memorandum fall within the coverage
of some exemption other than exemption five. Id. at 973.
The Court thus concluded that the memorandum had lost any exempt status due
to the fact that it had been expressly relied upon and quoted.
Id.
The Star claims that the reasoning contained in the Reed materials was expressly
adopted and/or incorporated into documents which were publicly available and represented final decisions.
The Star does not explain why the holdings of these FOIA cases
should apply to APRA, and after examination of the appropriate section of APRA,
we decline to apply this doctrine in the present case. Be that
as it may, even if we were inclined to adopt this incorporation/adoption doctrine
from these federal cases, the Star would still not prevail because none of
the publicly released materials referred to by the Star expressly incorporate or adopt
the Reed materials.
As discussed in full below, the Summary Report and Knight Sanctions documents are
generalized descriptions of the investigation and the conclusions drawn therefrom. The statement
announcing the sanctions to the press merely says that the investigation found a
pattern of inappropriate behavior. Appellants App. at 206. The Statement of
Principles on the Conduct of Participants in Student Athletic Programs, though perhaps drafted
in response to the circumstances surrounding the Knight investigations, makes no direct mention
thereof.
This is in contrast to the situation in Niemeier, wherein the final decision
involved:
more than the mere quotation of a legal memorandum . . . but
also the statement that the Special Prosecutors decision was consistent with the conclusions
reached by Mr. Lacovara and thereby gained support therefrom. Moreover, the [Special
Prosecutors] Report contains the statement that the memorandum was on file in the
office of the Special Prosecutor. These circumstances imply that scrutiny of the
memorandum as a whole is invited in order to assess the strength of
the reasoning that was behind the quoted legal conclusions. 565 F.2d at
973.
We reject the Stars notion that any publicly released document which arose out
of the investigation pierces any applicable disclosure exception. The trial court did
not err by failing to consider whether the Reed materials were expressly incorporated
or adopted by the Trustees final decision.
B. Waiver
The Star contends that the trial court erred when it failed to recognize
and apply the doctrine of waiver in the present case. The Star
acknowledges that APRA contains no waiver provision but maintains that the common law
doctrine of waiver can and should apply to the present case. The
Star cites federal cases interpreting FOIA, which has no waiver provision, wherein the
doctrine of waiver was applied. See Cooper v. Dept of Navy, 594
F.2d 484 (5th Cir. 1979) (Navy could not deny plaintiffs access to portions
of accident report in civil action against helicopter manufacturer where Navy had allowed
manufacturer access to same), cert. denied 444 U.S. 926; N. Dakota ex rel.
Olson v. Andrus, 581 F.2d 177 (8th Cir. 1978) (government waived FOIA exemption
asserted against North Dakota where it had previously voluntarily surrendered the documents in
question to National Audubon Society); Mead Data Central, Inc., v. U.S. Dept of
Air Force, 566 F.2d 242 (D.C. Cir. 1977) (Air Force could not claim
FOIA exemption where the allegedly confidential information had already been fully disclosed to
at least one party outside the Department).
The Star also cites to cases from other states, especially Ohio, wherein courts
have applied waiver despite the fact that the relevant state public-access statutes had
no waiver provision. See State ex rel. WLWT-TV5 v. Leis, 673 N.E.2d
1365 (Ohio 1997) (absent evidence that respondents had already disclosed the investigatory records
to the public and thereby waived application of certain exemptions to public disclosure
law, the exemptions were applicable); State ex rel. Zuern v. Leis, 564 N.E.2d
81 (Ohio 1990) (sheriffs department waived any claim of exemption to public access
of homicide investigation records by the prior voluntary disclosure of the material to
third parties in an earlier lawsuit).
The Star claims that the Trustees selectively and extensively disclosed portions of the
Reed materials to bolster their decision to discipline and eventually fire Knight, and
that any APRA exception claimed by the Trustees has therefore been waived.
The Trustees respond that APRA contains no waiver provision, and that therefore waiver
may not be applied to defeat any of the relevant exceptions to disclosure.
The Trustees also claim that, even if waiver may be applied to
APRA exceptions, they did not waive any exception in the present case.
See footnote
We disagree with the Trustees suggestion that, simply because APRA contains no waiver
provision, a public agency cannot waive the exceptions to public disclosure.
Waiver is the voluntary and intentional relinquishment of a known right.
City
of Evansville v. Follis, 161 Ind.App. 396, 402, 315 N.E.2d 724, 727 (1974).
See also 28 Am. Jur. 2d Estoppel and Waiver § 197 (2000)
(defining waiver as the voluntary and intentional relinquishment of a known right, claim,
or privilege). We can envision a situation in which a state agency
might relinquish the protections afforded by APRAs exceptions. If, for example, an
agency allowed one party access to materials and then in turn denied another
party access to the same materials based upon an exception to APRA, the
agency might well be held to have waived the applicable APRA protections.
Cf. Cooper, 594 F.2d at 487-88; Zuern, 564 N.E.2d at 84. Nor
do we believe that such a conclusion would frustrate the underlying purpose of
the APRA exceptions, for if the agency has already disclosed the allegedly non-discloseable
materials, the purpose of the APRA exceptions will have already been compromised.
Moreover, in such a case, the decision to deny access after allowing others
access could be considered an arbitrary and capricious abuse of discretion. See
I.C. § 5-14-3-9(f)(2). Be that as it may, here the Trustees did
not waive any APRA exceptions. We do not agree with the Star
that the Summary Report and the Knight Sanctions documents released to the public
quoted integral and extensive portions of the Knight Disciplinary Records . . .
. Appellants Br. at 45.
The Summary Report is slightly over three pages of typewritten double-spaced text.
It contains a brief explanation of the task assigned to Eichhorn and Walda
by Brand. Following this is a brief explanation of the investigatory processes
undertaken by Eichhorn and Walda, including the hiring of private investigators and the
process of contacting potential witnesses. The Summary Report explains that twenty-eight individuals
were interviewed, including eleven Indiana University Athletic Department employees, nine student managers or
trainers, and seven former members of the basketball team.
The Summary Report next describes the conclusions of an expert hired to review
a videotape of the incident where Knight allegedly choked Reed, and the conclusion
of the expert. The next three paragraphs briefly describe the interviewees recollection
concerning three events: the Neil Reed incident, the so-called toilet paper incident,
and whether or not Knight removed Brand from basketball practice. These paragraphs
conclude with the Trustees opinions regarding these incidents, which are as follows:
(1) that the Reed incident was unusual, brief, and constituted inappropriate contact between
a coach and player, (2) that the toilet-paper incident story had very little
credibility, and (3) that there was very little support for the allegation that
Knight removed Brand from basketball practice. Appellants App. at 187.
The Summary Report is a very generalized overview with very little specific information
concerning the underlying investigatory materials and without the quotation of extensive and integral
portions of the Reed materials as claimed by the Star.
The Star also claims that the Trustees waived any APRA exceptions through the
release of information contained in the Knight Sanctions document. However, this document,
like the Summary Report, is a non-specific and generalized overview of the findings
of the Reed investigation, the conclusions of Eichhorn and Walda, and Brands decision
to discipline Knight. Neither of these documents contains the sort of release
of otherwise non-discloseable information sufficient to warrant waiver of any of the APRA
exceptions.
The Star further claims that Brands responses to questions at a press conference
operated to waive the relevant APRA exceptions. The Star supports this with
a citation to Brands deposition, in which he agreed that he had relied
upon information relayed to him by Eichhorn and Walda in answering questions at
the press conference. However, Brand explained that he discussed this only at
a certain level of generality. Appellants App. at 42. The Star
does not refer us to any evidence which contradicts this, nor does our
review of the record reveal any such evidence. The information publicly released
by the Trustees is insufficient to constitute waiver of the APRA exceptions asserted,
nor have the Trustees allowed other parties to access the Reed materials, only
to deny the Star access.
The Star almost suggests an all or nothing approach wherein any public comment
based upon non-discloseable materials would waive the applicable disclosure exceptions. This approach
might well result in less public knowledge, as agencies would be loath to
release any information or make any public comment for fear of waiving the
exceptions they might otherwise claim. This would frustrate the underlying purpose of
APRA. If a public agency makes a decision based upon non-discloseable materials,
and provides general information to the public regarding this decision, we see no
reason to punish the agency which has volunteered the information by requiring it
to disclose otherwise non-discloseable materials. The doctrine of waiver is not applicable
here, and the trial court did not err by failing to conclude that
the Trustees have waived the exceptions to APRA asserted.
Regarding the IUPD materials, the Star claims that the Trustees likewise waived any
relevant APRA exception to public disclosure of these materials, but the Star does
not refer to precisely what information was released to the public which might
constitute such waiver. Both the Summary Report and the Knight Sanctions documents
were prepared prior to the IUPD investigation. The only other public disclosure
referred to by the Star is the press conference wherein the decision to
discharge Knight was announced. The Stars citations to the record do not
reveal the content of this press conference, but simply demonstrate that the contents
of the IUPD materials were made known to Brand in a meeting at
his residence on the Bloomington campus. We fail to see how this
amounts to selective disclosure sufficient to constitute waiver.
Our own review of the record reveals that the Trustees did issue a
press release announcing that IUPD investigated an incident between Knight and a University
student and submitted this report to the Monroe County Prosecutors Office. This
release also states that eight people were interviewed in conjunction with this investigation,
that there was an exchange between Coach Knight and a student, and that
there was no dispute that Knight had physical contact with the student, but
that the severity of the contact was disputed. Appellants App. at 208.
The release also indicated the Universitys intention not to pursue any further
action, in accord with the students wishes. Id.
The record also contains a press release dated September 10, 2000, titled Remarks
of President Myles Brand in which the decision to terminate Knights employment was
announced. This document also references the IUPD files in a manner akin
to the above-referenced press release:
The coach reached out and initiated physical contact with the student on his
arm, and the two had, according to varying accounts, an uncomfortable exchange.
It is not in dispute that the coach reached out and grasped the
young mans arm in an unwelcome fashion. The severity of that act
is in dispute, however. But the bottom line is that an angry
confrontation with a student explicitly violates the spirit and letter of the guidelines
set down on May 15. Id. at 210.
These press releases represent general summations of the IUPD investigation, not a selective
disclosure to another party or the public sufficient to constitute waiver of APRAs
disclosure exceptions vis-à-vis the IUPD materials. Therefore, the trial court did not
err in concluding that the Trustees did not waive any relevant APRA disclosure
exception.
Conclusion
The Reed materials do not, in their entirety, constitute education records required to
be kept confidential by FERPA, and upon remand, the trial court should review
and redact or otherwise separate any information contained in the Reed materials which
might violate FERPA. Any discloseable materials must be made available to the
Star, subject to the applicable exceptions set forth below. The Reed materials
are pre-decisional in nature, and the trial court did not err by not
distinguishing which of the materials were pre-decisional and which were post-decisional. Any
factual information contained in the Reed materials should also be made available to
the Star, whereas those portions of the Reed materials which represent opinions or
speculation should be redacted. The Reed materials do not constitute information concerning
the final action of disciplining Knight. The Trustees final decision did not
incorporate or adopt the Reed materials in such a manner as to require
disclosure thereof. The disclosure exceptions applicable to the Reed materials were not
waived by selective disclosure to the public or third parties. Thus, those
portions of the Reed materials which contain identifiable student information, expressions of opinion,
or speculation are protected from disclosure and must be redacted or otherwise separated
from the remaining discloseable information which must be made available to the Star.
The IUPD materials are non-discloseable investigatory records of a law enforcement agency.
The IUPD materials do not constitute information concerning the final decision to discharge
Knight, and the exceptions protecting the IUPD materials from public disclosure were not
waived by the Trustees.
Our holding also requires the trial court to consider the one genuine issue
of material fact it found, i.e., whether Eichhorn and Walda were acting as
attorneys for Indiana University when they conducted the Reed investigation. This is
relevant to the Trustees claimed work-product exception. See I.C. § 5-14-3-4(b)(2).
The judgment of the trial court is affirmed in part, reversed in part,
and the cause is remanded for proceedings not inconsistent with this opinion.
BAILEY, J., and MATHIAS, J., concur.
Footnote:
Ms. Brand was a professor employed by Indiana University.
Footnote:
See Ind. Code §§ 5-14-3-1 through 5-14-3-10.
Footnote:
The trial court determined that a genuine issue of material fact
existed as to whether Eichhorn and Walda were acting as attorneys for the
University. However, as the trial court concluded that the materials at issue
were protected from disclosure for other reasons, it granted summary judgment in favor
of the Trustees.
Footnote:
See Ind. Code §§ 5-14-4-1 through 5-14-5-12.
Footnote:
Because the Star filed the complaint more than thirty days after
the Trustees had denied access, the Access Counselor deemed the complaint untimely and
treated the complaint as an informal inquiry.
See Ind. Code § 5-14-5-7
(Burns Code Ed. Repl. 2001) (formal complaints must be filed with Access Counselors
Office no later than thirty days after denial of access by public agency).
Footnote:
As discussed
infra, the Star claims that the Reed and IUPD
materials must be disclosed as part of Knights personnel file.
Footnote:
Neither party suggests that Indiana University is not a public agency
within the meaning of APRA.
See Robinson v. Indiana Univ., 659 N.E.2d
153, 155 (Ind. Ct. App. 1995) (applying APRA to Indiana University and noting
that the parties did not dispute that the University was a public agency),
trans. denied. Given the broad definition of public agency set forth in
section 2 of APRA, we see no reason to question whether the University
is a public agency. See Ind. Code § 5-14-3-2 (Burns Code Ed.
Supp. 2002) (defining public agency to include [a]ny board, commission, department, division, bureau,
committee, agency, office, instrumentality, or authority, by whatever name designated, exercising any part
of the executive, administrative, judicial, or legislative power of the state).
Footnote:
The Star makes no argument that the Trustees abused their discretion
in denying access to the materials in question, but instead argues that the
Trustees must disclose the materials it seeks.
Footnote: Although an exemption claimed under section 4(b) would appear to
place a burden of proof upon both the agency
and the person seeking
access, we conclude no burden falls upon the person seeking access unless and
until the agency has prima facie carried its burden of proof.
Footnote:
Section 6(a) refers to a request made under this chapter, i.e.,
I.C. 5-14-3, which is APRA. Thus, the mandate of section 6(a) is
triggered by a request for access under APRA and does not require a
specific request for separation or redaction by the party seeking access.
Footnote: The Star also claims that the trial court erred in determining
that the IUPD materials were protected from disclosure by the deliberative materials exception
contained in I.C. § 5-14-3-4(b)(6), when no such exception was ever claimed by
the Trustees. Given our conclusion that the IUPD materials are excepted from
disclosure by section 4(b)(1), this is at most harmless error.
Footnote: FERPA is codified at 20 U.S.C. § 1232g. As noted
by this court in
Meury v. Eagle-Union Cmty. Sch. Corp., 714 N.E.2d 233,
236 n.2 (Ind. Ct. App. 1999), trans. denied, section 1232g is actually entitled
Family educational and privacy rights. Nonetheless, it is commonly referred to as
FERPA; it has also been referred to as the Buckley Amendment or the
Buckley/Pell Amendment. Id.
Footnote:
Amicus curiae argues that the Reed materials are not education records
in that the materials fall within what it terms the employee records exception
contained in §1232g(a)(4)(B)(iii). We disagree. This exception requires that the records
in question be made and kept in the normal course of business.
Here, however, the Star admits that the investigation was the first of its
kind in Knights tenure. Appellants Br. at 45. This exception also
requires that the materials relate exclusively to the employee in his capacity as
an employee. As discussed more fully below, the Reed materials do not
relate exclusively to Knight, but also contain information concerning others, including students.
Footnote: The Trustees note that the Star argued for redaction at the
trial court level, but do not specifically argue for such upon appeal.
Be that as it may, APRA specifically mandates separation of discloseable information whenever
a request is made pursuant to APRA. I.C. § 5-14-3-6(a). The
Trustees cannot avoid this mandate simply because the Stars current appellate argument is
that the Reed materials are, in their entirety, not education records pursuant to
FERPA.
Footnote: The Department of Education has defined personally identifiable information as follows:
Personally identifiable information includes, but is not limited to:
(a) The students name;
(b) The name of the students parent or other family member;
(c) The address of the student or students family;
(d) A personal identifier, such as the students social security number or student number;
(e) A list of personal characteristics that would make the student's identity easily traceable;
or
(f) Other information that would make the students identity easily traceable. 34 C.F.R.
§ 99.3.
Footnote: The
Sears court was interpreting an analogous provision of the federal
Freedom of Information Act.
Footnote:
In support of these arguments, the Star cites cases interpreting the
federal Freedom of Information Act (FOIA), 5 U.S.C. § 552. The Trustees
respond that the Star has waived any FOIA-related argument for failure to mention
FOIA at the trial court level. However, the Star did argue before
the trial court that the factual information contained in the Reed materials was
discloseable. Thus, the substance of its FOIA-based argument was before the trial
court. In addition, the Star argued that the trial court could look
to cases interpreting FOIA when faced with an issue under APRA. On
appeal, the Star is not precluded from citing additional authority to support an
argument which was presented to the trial court. Otherwise, parties would be
unable to further develop their arguments upon appeal and would be required to
rely only upon those cases cited at the trial court level. Therefore,
because the arguments have not been waived, we address the Stars arguments which
are supported with citation to cases interpreting FOIA.
Footnote: The Star faults the trial court for not determining what portion
of the [Reed materials] constituted President Brands final decision . . . .
Appellants Br. at 29. But none of the Reed materials
were prepared by Brand and cannot constitute his decision, which the Star admits
occurred on May 15, 2000. In addition, Eichhorn testified during deposition that
he made no recommendations concerning any potential discipline of Knight.
Footnote: We do note, however, that the text of APRAs deliberative materials
exception would appear to support the drawing of such a pre- and post-decisional
distinction. Materials made after a decision has been made and designed to
explain it are not communicated for the purpose of decision making, as the
decision has necessarily already been made. If materials are not communicated for
purposes of decision making, they are not protected by the deliberative materials exception.
Footnote: The Star does not claim that the Reed materials were not
communicated for decision-making purposes, but instead focuses its argument on the claim that
the factual portions of the Reed materials must be disclosed.
Footnote: 5 U.S.C. § 552(b)(5).
Footnote: The Trustees claim that, because the Star failed to mention the
Journal Gazette case in its Appellants Brief, it is barred from discussing such
in its reply brief. However, the case cited by the Trustees in
support for this position states that an issue that was not advanced in
a partys original brief would not be considered if raised in the reply
brief. LeBrun v. Conner, 702 N.E.2d 754, 758 (Ind. Ct. App. 1998).
The issue to which the Journal Gazette case is relevant was advanced
in the Stars original brief, and the fact that the Star did not
discuss this case therein does not preclude it from responding to the Trustees
arguments in its reply brief. Indiana Appellate Rule 46(C) states that although
[n]o new issues shall be raised in the reply brief, the reply brief
is to be in respon[se] to the appellees argument. Though the Stars
failure to cite an Indiana case which may be unfavorable to its position
is troubling, it does not preclude the Star from responding to the Trustees
argument involving the Journal Gazette case.
Footnote:
We note that no mention was made in
Journal Gazette of
APRA section 6.
Footnote:
Amicus curiae argues that, in determining whether a record is protected
by section 4(b)(6), our focus should be on the effect of the disclosure,
i.e., will it adversely affect the deliberative process. Section 4(b)(6) defines as
non-discloseable those records which are intra- or inter-agency advisory or deliberative material that
are expressions of opinion or are of a speculative nature and are communicated
for the purpose of decision making. If a record falls within this
definition, an agency has the discretion not to disclose it. Although we
might generally assume that the release of records within this definition could adversely
affect the deliberative process, the statute does not allow us to look solely
to the effect of release without considering whether a record meets the statutory
requirements of the exception.
Footnote: Section 4(b)(8)(A) concerns biographical data of present or former officers
or employees. Section 4(b)(8)(B) relates to information relating to the status of
any formal charges against the employee. It is not claimed that 4(b)(8)(A)
or 4(b)(8)(B) are here applicable.
Footnote: The Trustees also claim that the Oregon cases cited by the
Star are readily distinguishable from the present case in that the relevant Oregon
public-access statute contains a specific waiver provision.
See e.g. Oregonian Publg Co.
v. Portland Sch. Dist., 952 P.2d 66, 68 (Or. Ct. App. 1998), aff'd
987 P.2d 480 (Or. 1999). The Star acknowledges this in its reply
brief.