FREEDOM OF INFORMATION COMMISSION
|In the Matter of a Complaint by||FINAL DECISION|
|William F. McDonald,|
|Commissioner, State of
Department of Correction,
|Respondents||August 14, 1991|
The above-captioned matter was heard as a contested case on December 18, 1990 and January 15, 1991, at which times the complainant and the respondent appeared, stipulated to certain facts and presented testimony, exhibits and argument on the complaint. This matter was consolidated for hearing with contested case docket #FIC 90-435.
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 filed with this Commission on August 30, 1990, the complainant alleged that the respondent failed to comply with records requests dated August 15 and 17, 1990.
3. It is found that by letter to the respondent dated August 17, 1990, the complainant requested copies of the following:
a. All documentary records of the predisciplinary hearing of Catherine A. McDonald held at 2:00 p.m. on August 10, 1990;b. Patricia Wollenhaupt's report concerning Catherine McDonald's alleged insubordination (or the substance of any oral reports);c. Identification of and copies of all evidence supporting the decision arrived at at said hearing;d. Notes of Lori Wrisley and James McMahon made during said hearing;e. The proposed final decision prepared by the hearing officer after said hearing;f. The final decision resulting from said hearing;g. Names of all witnesses to Catherine McDonald's alleged act of insubordination.
4. It is also found that by letter dated August 15, 1990, the complainant requested copies of the following:
a. A list of Department of Correction medical and personnel department personnel and the official titles of nine named Department of Correction employees and former employees;b. The documents pertaining to the dismissal, including the names, addresses, titles and reasons for dismissal, of all Department of Correction employees who have been dismissed from state service for just cause from January 1, 1988 to August 15, 1990;c. Each individual payroll record of the medical department personnel, Connecticut Correctional Institution, Somers, from May 1, 1990 through August 15, 1990;d. All documents, including employees' letters submitted, pertaining to the resignation from state service by employees of the medical department at Somers Correctional Institution ("SCI") who have resigned since January 1, 1988;e. All notices forbidding entrance into SCI, sent since January 1, 1985, to correctional officers and their superiors by certain persons, and the names of those certain persons;f. Employees' vacation schedules, including dates, of SCI medical department personnel since January 1, 1988;g. All documents relating to sick time used, including doctors' reports submitted by the employees' doctors, by SCI medical department personnel since August 1, 1988;h. Documents that include names of personnel and reasons given for requesting transfer by all SCI medical department personnel who have transferred out of SCI medical department or resigned since January 1, 1988;i. Pages of the Sick Book maintained at SCI medical department for the period of January 1, 1988 to August 15, 1990;j. Employer's copies of Internal Revenue Service Form W-2 for the years 1988 and 1989 of all nursing supervisors and correctional head nurses within the Connecticut Department of Correction Medical Departments;k. All memoranda written on Forms CCI #4.1 or similar forms from Patricia Wollenhaupt to any state official or state employee for any reason for the period from May 1, 1990 to August 15, 1990;1. Employees ' monthly time schedules prepared by the nursing supervisors for the SCI medical department for the period from January 1, 1988 to August 15, 1990;m. Death certificates of all inmates who have died while patients under the care of SCI medical department or within one month of transfer out of said medical department during the period from January 1, 1989 to August 15, 1990;n. All documents pertaining to action taken concerning all Department of Correction medical department employees who were suspended from employment, had their wages and benefits stopped, and were locked out of their place of employment prior to having a pre-disciplinary or Loudermill hearing, from January 1, 1980 to August 15, 1990;o. All documents prepared by any person within the Department of Correction or received from any source by any person within the Department of Correction for the period from May 1, 1990 to the date of this request that relates to or mentions the name of Catherine A. McDonald; andp. Time records from January 1, 1988 to August 15, 1990 of all Department of Correction medical department personnel, including SCI medical department nursing supervisors, who work a "variable" schedule, that is a schedule that is not the usual 8:00 a.m. to 4:00 p.m., 4:00 p.m. to midnight, or midnight to 8:00 a.m. shifts.
5. At the time of the hearings, the respondent made a §1-19b(b), G.S., motion to dismiss the case on the basis that there are pending claims concerning this matter including a labor grievance filed by the complainant's wife, Catherine McDonald, as well as a CHRO claim filed on October 31, 1990.
6. It is found that at the time of the hearings, there had been no discovery motions made nor discovery orders entered in any related claim.
7. Accordingly, the respondent's motion identified in paragraph 5, above, is hereby denied. 8. With respect to the complainant's August 17 requests, the following is found:
a. With respect to the request identified in paragraph 3a, above, the respondent provided all records in its files with the exception of two handwritten notes, which the respondent was willing to disclose at the time of the hearing;b. With respect to the request identified in paragraph 3b-g, above, the respondent provided the complainant with everything available and responsive in its files including the statements of Wollenhaupt and the payroll officer, and the dismissal letter.c. It is also found that in response to the complainant's request in paragraph 3g, above, the only witness was Wollenhaupt.
9. With respect to the complainant's August 15 requests, the following is found:
a. With respect to the request identified in paragraph 4a, above, the respondent provided the complainant with relevant data concerning all personnel within the health services division and a listing of all human resources personnel and their titles;b. With respect to the request identified in paragraph 4b, above, the respondent provided the complainant with a computer printout of responsive records that excluded the home addresses of the individuals concerned. It is also found that the respondent failed to demonstrate that the addresses in issue do not consist of directory information, nor did the respondent demonstrate that those individuals had a reasonable expectation of privacy in their addresses;c. With respect to the request identified in paragraph 4c, above, the respondent provided the complainant with employee attendance sheets, which list when people worked or utilized sick time, vacation time, etc.;d. With respect to the request identified in paragraph 4d, above, the respondent provided the complainant with two letters of resignation from former employees dated March 1990. However, the respondent's position with respect to other existing records responsive to this request is that they are housed throughout the state and that retrieval would be tedious; e. With respect to the request identified in paragraph 4e, above, the respondent provided the complainant with the only record it has responsive to the request, which is an October 1990 letter to a captain at SCI;f. With respect to the request identified in paragraph 4f, above, the respondent provided the complainant with records going back to March 1990. Before March 1990, a prior supervisor kept but apparently did not retain these records. However, it is also found that at the hearing, the respondent agreed to double check its records for such documents predating March 1990 to provide to the complainant; g. With respect to the request identified in paragraph 4g, above, it is found that the attendance sheets provided to the complainant contain these notations. It is also found that separate doctors' reports concerning employees other than the complainant's wife were withheld in accordance with the provisions of §1-l9(b)(2), G.S.;h. With respect to the request identified in paragraph 4h, above, the respondent provided to the complainant a copy of the transfer list, which list was first kept in March 1990;i. With respect to the request identified in paragraph 4i, above, the respondent provided the complainant with records dating back to October 1989, when Wollenhaupt assumed responsibility for these "call-out sheets." Before October 1989, a prior supervisor was responsible for such records. At the hearing, the respondent agreed to contact the prior supervisor to see if it could obtain any such records the prior supervisor may have retained; j. With respect to the request identified in paragraph 4j, above, the respondent withheld the requested Internal Revenue Service Forms W-2 from disclosure;k. With respect to the request identified in paragraph 4k, above, the respondent provided the only memoranda it knows to be in existence;1. With respect to the request identified in paragraph 41, above, the respondent provided all schedules prepared by Wollenhaupt and known to be in existence. At the hearing, the respondent also agreed to check to see if the prior supervisor may have retained any schedules he may have kept; m. With respect to the request identified in paragraph 4m, above, the respondent is not aware of any death certificates being kept at the department; n. With respect to the request identified in paragraph 4n, above, none are in existence;o. With respect to the request identified in paragraph 40, above, it is found that all such responsive records were provided to the complainant;p. With respect to the request identified in paragraph 4p, above, the respondent has supplied the complainant with all such records from May 1990 forward. At the hearing, the respondent agreed to disclose those records from prior to May 1990 after it consults with the payroll division. 10. It is concluded that the doctors' medical reports identified in paragraph 9g, above, are permissibly exempt from disclosure pursuant to §1-l9(b)(2), G.S.
11. It is also concluded that the Internal Revenue Service forms identified in paragraph 9j, above, are permissibly exempt from disclosure pursuant to §1-l9(b)(10), G.S.
12. It is further concluded that the respondent's failure to provide the following records to the complainant constitutes a violation of §1-l9(a), G.S.:
a. The handwritten notes identified in paragraph 8a, above;b. The address information identified in paragraph 9b, above;c. Gross income and any other payroll record information identified in paragraph 4c, above, excluding taxpayer withholding, deduction, exemption, or any other taxpayer information;d. Any records of the respondent not already disclosed to the complainant that fall within the request identified in paragraph 4d, above; ande. Any records prior to May 1990 responsive to the request identified in paragraph 4p, above.
The following order by the Commission is hereby recommended on the basis of the record concerning the above-captioned complaint.
1. The respondent shall forthwith provide the complainant with copies of those records identified in paragraphs 12a, b, c, and e of the findings, above.
2. The respondent shall forthwith conduct a search of its records for those documents that fall within the description set forth in paragraph 4d of the findings, above and provide any such records found to the complainant.
3. The respondent shall forthwith provide the complainant with any records it can secure from the supervisor prior to Wollenhaupt that fall within the description of paragraphs 9f, 9i, and 91 of the findings, above.
Approved by Order of the Freedom of Information Commission at its regular meeting of August 14, 1991.
______________________ Karen J. Haggett Clerk of the Commission
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:
WILLIAM F. MCDONALD, ESQ. 1052 Enfield Street Enfield, CT 06082
RICHARD T. BIGGAR, ESQ. Assistant Attorney General MacKenzie Hall 110 Sherman Street Hartford, CT 06105
ROBERT A. WHITEHEAD, JR., ESQ. Assistant Attorney General 55 Elm Street Hartford, CT 06106
______________________ Karen J. Haggett Clerk of the Commission