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 Correctional Psychiatric Center (KCPC) violated the Kentucky Open Records Act in denying the request of Albert Shelton for a copy of his court ordered evaluation conducted by KCPC for the purpose of determining his competency to stand trial. For the reasons that follow, we conclude the KCPC properly denied Mr. Shelton access to the requested record.
By letter dated October 10, 2005, Sharon W. Proctor, Director, Health Information Management, KCPC, denied Mr. Shelton's request, advising him:
Pre-trial patients are admitted as a direct result of a court order. These evaluations determine competency to stand trial or treatment that will enable the patient to be brought to competency to stand trial. The court order specifies the distribution of information gathered during this process. Information cannot be released to any one other than persons specifically mentioned in the court order. Distribution is indicated on the attached sheet.
To remain in compliance with the court order, we must deny your request for this medical record for the following reasons:
KRS 26A.200 provides, in part, that all records which are made by or generated for or received by any agency of the Court of Justice, or by any other court, agency, or officer responsible to the Court, are the property of the Court, and are subject to the control of the Supreme Court. Thus, court records enjoy a special status, and are placed under the exclusive jurisdiction of the Court.
The record at issue in this request was created at the direction of the court and placed under an order limiting distribution. Although it is a "public record" within the meaning of KRS 61.870(2), because it is a record which is prepared and retained by a public agency, the court's order removes it from the application of the Act. As the Attorney General has observed on more than one occasion, "[t]he Open Records Act in no way supercedes an order entered by a court of competent jurisdiction . . . ". (Please refer to 04-ORD-021 and 99-ORD-109.)
Attached to Ms. Proctor's response is a copy of the distribution list.
By letter dated October 12, 2005, Mr. Shelton initiated this appeal from the KCPC's denial of his request. Upon receiving notification of the appeal and a copy of the letter of appeal, John H. Walker, Assistant General Counsel, Cabinet for Health and Family Services, elaborated upon the position of KCPC. In his response, Mr. Walker, advised:
In the case of Mr. Albert Shelton, the activities of the psychiatric unit were initiated upon the order of the Lee Circuit Court in case number 92-CR-033. Pursuant to the order of the circuit court, KCPC was to complete a competency evaluation and issue a report to the Circuit Judge and to the Defense Counsel. Defense Counsel for Mr. Shelton is identified by the court as Mr. William Spicer of Stanton, Kentucky. The order of the circuit court directs the facility in the distribution of any competency evaluation report.
The Office of the Attorney General has recognized the unique character of competency evaluations. These records are property of the courts of justice, and their distribution is governed by the court exercising jurisdiction over the particular case - in Mr. Shelton's case, the Lee Circuit Court. See 05-ORD-056. While the reports constitute "public records" within the meaning of KRS 61.870(2), the Lee Circuit Court has directed its content be distributed to only certain officers of the court. The Cabinet and the KCPC are required to follow the instructions of the court. The Cabinet notes that Mr. Shelton's counsel is among those identified by the court as entitled to receive a copy of the report. Mr. Shelton can contact his defense counsel to obtain a copy of the document if he so desires.
We find the positions of the KCPC and the Cabinet to be correct and consistent with prior decisions of this office. See 05-ORD-056; 04-ORD-021; 99-ORD-109. In our view, the reasoning of 04-ORD-021, a copy of which is attached hereto and incorporated by reference, is equally applicable here. Accordingly, the same outcome follows. Because the requested report is properly characterized as a "court record," Lee Circuit Court has limited its distribution, 1 and Mr. Shelton is not among those entitled to receive a copy, the KCPC did not violate the Open Records Act in denying Mr. Shelton access to the report. 04-ORD-021.
A party aggrieved by this decision may appeal it by initiating an 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.
Albert Shelton, # 116270Kentucky State Reformatory3001 West Highway 146LaGrange, KY 40032
Sharon W. Proctor, RHIADirector, Health Information ManagementKentucky Correctional Psychiatric Center1612 Dawkins Road, P.O. Box 67LaGrange, KY 40031
John WalkerAssistant General CounselOffice of Legal ServicesCabinet for Health and Family Services275 East Main Street, 5W-AFrankfort, KY 40621
Footnotes
Footnotes
1 Judge William Trude (the issuing judge), William E. Spicer ( defense counsel) , and Thomas J. Smith, III (prosecutor) are the only individuals named on the distribution list. Attached to Ms. Proctor's response is a copy of the court's order to this effect.
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