Opinion
Opinion By: Gregory D. Stumbo, Attorney General; James M. Ringo, Assistant Attorney General
Open Records Decision
The question presented in this appeal is whether the Kentucky Animal Care and Control Association's (KACCA) violated the Open Records Act in failing to respond to the open records request of Randy Skaggs. For the reasons that follow we find that KACCA's failure to respond constituted a violation of the Act.
By letter dated December 17, 2003, addressed to: Executive Board, Kentucky Animal Care and Control Association, 1020 Mary Laidley Dr., Ft. Mitchell, Kentucky 41017, Mr. Skaggs, The Trixie Foundation, made the following request, in relevant part:
Thus, pursuant to Kentucky's open records laws, we would like documentation, letters, or lists indicating:
(1) the names of the individual counties whose animal control programs are affiliated with KACCA and are members of KACCA (including their business mailing address and business telephone number)
(2) the names of all individual and associate members of KACCA (including their business mailing address and business telephone number) and their affiliation or business relationship with KACCA
(3) the names of all members of the Board of Directors of KACCA (including their business mailing address and business telephone number)
(4) the names of all regional members, directors or any and all other individuals or associates possessing or holding titles (whether appointed or elected) who are members of KACCA, including their business mailing address and business telephone number
(5) membership fees, organizational guidelines and requirements
In closing, we were recently informed that Aline Summe, former Director of Kenton County Animal Control was dismissed from her position. However, according to documentation we recently reviewed - she is still listed as a member of the Kentucky Animal Control Advisory Board (under the Kentucky Department of Agriculture) representing KACCA. Therefore, we would like a copy of her letter of resignation from KACCA - if indeed one does exist or, any and all records denoting her departure or removal from KACCA or the Kentucky Animal Control Advisory Board.
Having received no response from KACCA, Mr. Skaggs, by letter dated December 27, initiated the instant appeal. In his letter of appeal, Mr. Skaggs stated:
On December 17, 2003, The Trixie Foundation wrote the Executive Board of Kentucky Animal Care and Control Association KACCA) requesting documentation pertaining to their membership. Considering that KACCA membership comprises for most part, all or most of the tax-supported animal control programs in each county throughout Kentucky, we believe that we should be able to know who these individuals are. As of today, we have yet to hear from them.
On December 31, 2003, we sent a "Notification to Agency of Receipt of Open Records Appeal: to Sharon Williams, Secretary, KACCA and to KACC"S attorney Bruce Boldt. A copy of Mr. Skaggs letter of appeal was attached. The Notification stated that, pursuant to 40 KAR 1:030, Section 2, the agency may respond to the appeal. This office received no response.
We are asked to determine if KACCA violated the Open Records Act by failing to respond to Mr. Skaggs' request. For the reasons that follow, we find KACCA's failure to respond constituted a violation of the Act.
For purposes of the Open Records Act, "Public agency" means:
(a) Every state or local government officer;
(b) Every state or local government department, division, bureau, board, commission, and authority;
(c) Every state or local legislative board, commission, committee and officer;
(d) Every county and city governing body, council, school district board, special district board, and municipal corporation;
(e) Every state or local court or judicial agency;
(f) Every state or local government agency, including the policy-making board of an institution of education, created by or pursuant to state or local statute, executive order, ordinance, resolution or other legislative act;
(g) Any body created by state or local authority in any branch of government;
(h) Any body which derives at least twenty-five percent (25%) of its funds expended by it in the Commonwealth of Kentucky from state or local authority funds;
(i) Any entity where the majority of its governing body is appointed by a public agency as defined in paragraph (a), (b), (c), (d), (e), (f), (g), (h), (j), or (k) of this subsection; by a member or employee of such a public agency; or by any combination thereof;
(j) Any board, commission committee, subcommittee ad hoc committee, advisory committee, council, or agency, except for a committee of a hospital medical staff, established, created, and controlled by a public agency as defined in paragraph (a), (b), (c), (d), (e), (f), (g), (h), (i), or (k) of this subsection; and
(k) Any interagency body of two (2) or more public agencies where each public agency is defined in paragraph (a), (b), (c), (d), (e), (f), (g), (h), (i), or (j) of this subsection[.]
KRS 61.870(1). In his letter of appeal, Mr. Skaggs asserts that that "KACCA membership comprises for most part, all or most of the tax-supported animal control programs in each county throughout Kentucky." Assuming this to be so, KACCA could qualify as a "public agency, " subject to the operation of the Open Records Act. Moreover, this office has consistently recognized that an agency comes within the purview of the Open Records Act if it "derives at least twenty-five percent (25%) of its funds expended by it in the Commonwealth of Kentucky from state or local authority funds." KRS 61.870(1)(h). See 02-ORD-41; 97-ORD-114; 96-ORD-197; 96-ORD-15. If KACCA believes that it does not fall within the definition of a "public agency, " it should respond to Mr. Skaggs explaining why it does not.
KRS 61.880(1) sets forth the duties and responsibilities of a public agency in responding to a request for access to documents made under the Open Records Act. KRS 61.880(1) provides:
Each public agency, upon any request for records made under KRS 61.870 to 61.884, shall determine within three (3) days, excepting Saturdays, Sundays, and legal holidays, after the receipt of any such request whether to comply with the request and shall notify in writing the person making the request, within the three (3) day period, of its decision. An agency response denying, in whole or in part, inspection of any record shall include a statement of the specific exception authorizing the withholding of the record and a brief explanation of how the exception applies to the record withheld. The response shall be issued by the official custodian or under his authority, and it shall constitute final agency action.
As noted above, this office on December 31, 2003 mailed to Sharon Williams, Secretary, KACCA, and to KACCA's attorney, a "Notification to Agency of Receipt of Open Records Appeal" and a copy of Mr. Skaggs letter of appeal. Thus, KACCA was afforded two opportunities to respond to Mr. Skaggs' request; first, after receipt of his initial open records request; and second, after receipt of the Notification of the appeal and a copy of the letter of appeal. This failure to respond constitutes a violation of KRS 61.880(1).
This office has stated on numerous occasions that the procedural requirements of the Open Records Act are not mere formalities but are an essential part of the prompt and orderly processing of a request to inspect public documents. Any public agency has the duty to respond to the request in writing within the statutorily mandated time frame. In addition, the agency has the burden of justifying the withholding of a record by references to the appropriate exception to public inspection and by briefly explaining how that exception applies to the particular document withheld. 95-ORD-159 and 95-ORD-114.
It is, therefore, the decision of the Attorney General that, having failed to respond to the request, as required by KRS 61.880(1), KACCA's actions are both procedurally and substantively deficient and in violation of the Open Records Act. Accordingly, KACCA should respond to Mr. Skaggs' request. If the agency denies inspection of any record, in whole or part, it should cite the exception authorizing nondisclosure and provide a brief explanation as to how the cited exception applies to the record withheld. KRS 61.880(1). If the agency does not have records responsive to Mr. Skaggs' request, it should advise him of that fact. 00-ORD-212. If KACCA believes that it does not qualify as a "public agency, " subject to the application of the Open Records Act, it should so establish that fact in its response.
A party aggrieved by this decision may appeal it by initiating action in the appropriate circuit court pursuant to KRS 61.880(5) and KRS 61.882. Pursuant to KRS 61.880(3), the Attorney General should be notified of any action in circuit court, but should not be named as a party in that action or in any subsequent proceeding.