FREEDOM OF INFORMATION
COMMISSION
OF THE STATE OF CONNECTICUT
In the Matter of a Complaint
by FINAL DECISION
Philip W. Evans,
Complainant
against Docket
#FIC 94-186
Regional School District No.
17 Board of Education,
Respondent March 22, 1995
The above-captioned matter was heard as a contested
case on January 19, 1995, at which time the complainant and the respondent
appeared, stipulated to certain facts and presented testimony, exhibits and
argument on the complaint.
After consideration of the entire record, the
following facts are found and conclusions of law are reached:
1. The
respondent is a public agency within the meaning of 1-18a(a), G.S.
2. By letter
dated May 4, 1994, the complainant requested "a copy of Collateral
Assignment, Guardian Split Dollar Policy #325 2995 signed [sic] by Richard C.
Farri [sic] Guardian Life Agent and Charles F. Sweetman signed 27 June
1991" (hereinafter "collateral assignment"). The complainant stated that he wanted the
complete "paper trail" relative to the collateral assignment,
including the date it was filed in the permanent records of the respondent, the
respondent's action indicating its receipt, minutes of any meeting authorizing
payment of moneys in connection with the collateral assignment and any
reference to such payment in future budget years.
3. By letter
dated May 13, the respondent informed the complainant that the records
responsive to the complainant's request would be available for the
complainant's inspection any time on or after May 19, 1994.
4. On May 19,
1994, the complainant visited the offices of the respondent, met with the
respondent's director of finance and operations and inspected certain records
proffered by the respondent as responsive to his request but was not satisified
that there had been full compliance therewith.
Docket #FIC 94-186 Page
2
5. By letter
dated June 2, 1994 and filed June 6, 1994, the complainant appealed to the
Commission alleging that the respondent failed to comply fully with his May 4,
1994 request.
6. It is
concluded that the records maintained by the respondent that are responsive to
the complainant's request are public records within the meaning of
1-18a(d) and 1-19(a), G.S.
7. It is
found that the collateral assignment referred to by the complainant in his May
4, 1994 letter is an attendant document
to a vanishing premium life insurance policy provided to the respondent's
superintendent of schools as a contractual fringe benefit of his employment and
under which the respondent advances premium payments on the superintendent's
behalf to a private insurance company.
Under the collateral assignment, the respondent's superintendent of
schools agrees to transfer over to the respondent all amounts advanced by the
respondent for the payment of premiums upon the superintendent's death,
resignation or departure.
8. It is
found that during his meeting with the respondent's director of finance and
operations the complainant inspected a copy of the collateral assignment
referred to in paragraph 7, above, but was dissatisified because he wanted to
inspect the original document.
9. The only
issue at the hearing on this matter and therefore the only issue to be
determined by the Commission is whether the respondent is required to provide
the complainant with access to the original collateral assignment.
10. It is
found that at the time the complainant filed his complaint with the Commission,
he believed that the respondent's director of finance and operations had
refused access to the original collateral assignment, claiming that it was in a
file that was "not available" to him. However, it is further found that the respondent's director of
finance and operations was actually referring to the original life insurance
policy, which is in the superintendent's personnel file, not the collateral
assignment, when he indicated to the complainant that it was in a file that was
not available to him.
11. It is
found that the respondent does not maintain the original collateral assignment
nor is the original in the possession of the respondent's superintendent of
schools.
12.
Consequently, it is concluded that the respondent, having provided the
complainant with access to a copy of the collateral assignment, complied with
the complainant's request and did not violate the FOI Act under the facts of
this case.
Docket #FIC 94-186 Page
3
The following order by the Commission is hereby
recommended on the basis of the record concerning the above-captioned
complaint:
1. The
complaint is hereby dismissed.
Approved by Order of the
Freedom of Information Commission at its regular meeting of March 22, 1995.
Debra L. Rembowski
Clerk of the
Commission
Docket #FIC 94-186 Page
4
PURSUANT TO SECTION 4-180(c),
G.S. THE FOLLOWING ARE THE NAMES OF EACH PARTY AND THE MOST RECENT MAILING
ADDRESS, PROVIDED TO THE FREEDOM OF INFORMATION COMMISSION, OF THE PARTIES OR
THEIR AUTHORIZED REPRESENTATIVE.
THE PARTIES TO THIS CONTESTED
CASE ARE:
PHILIP W. EVANS
25 Bar Gate Trail
Killingworth, CT 06419-1372
REGIONAL SCHOOL DISTRICT NO.
17 BOARD OF EDUCATION
c/o Donald W. Strickland,
Esq.
Siegel, O'Connor, Schiff
& Zangari, P.C.
370 Asylum Street
Hartford, CT 06103
Debra L. Rembowski
Clerk of the Commission