A.A. v. Christopher J. Gramiccioni, Esq., Carey J. Huff

• Court: New Jersey Superior Court Appellate Division
• Decided: September 17, 2015
• Docket: A-0946-13T3
• Status: Published

Opinion

NOT FOR PUBLICATION WITHOUT THE APPROVAL OF THE APPELLATE DIVISION

SUPERIOR COURT OF NEW JERSEY APPELLATE DIVISION DOCKET NO. A-0946-13T3

A.A.,

Plaintiff-Appellant, APPROVED FOR PUBLICATION

September 17, 2015 v. APPELLATE DIVISION CHRISTOPHER J. GRAMICCIONI, ESQ., CAREY J. HUFF, ESQ., and OFFICE OF THE COUNTY PROSECUTOR OF MONMOUTH COUNTY, NEW JERSEY,

Defendants-Respondents. _________________________________

Argued December 15, 2014 – Decided September 17, 2015

Before Judges Sabatino, Simonelli and Leone.

On appeal from the Superior Court of New Jersey, Law Division, Monmouth County, Docket No. L-2568-13.

Larry S. Loigman argued the cause for appellant.

James H. Gorman argued the cause for respondents.

Raymond R. Chance, Assistant Attorney General, argued the cause for amicus curiae State of New Jersey (John J. Hoffman, Acting Attorney General, attorney; Melissa H. Raksa, Assistant Attorney General, of counsel; Lewis A. Scheindlin, Assistant Attorney General, on the brief). The opinion of the court was delivered by

SIMONELLI, J.A.D.

This appeal involves an anonymous requestor of records

pursuant to the Open Public Records Act (OPRA), N.J.S.A. 47:1A-1

to -13, and alternatively under the common law right of access,

who seeks to remain anonymous when litigating in the Superior

Court. We conclude there is no statutory authorization, rule

authorization or compelling reason permitting A.A. to prosecute

this matter anonymously. We also conclude that the trial judge

properly dismissed the complaint for failure to comply with Rule

4:67.

I.

The limited facts provided in the record are

straightforward. Plaintiff A.A., through his attorney, made an

OPRA request to the Monmouth County Prosecutor's Office for

records relating to the investigation of a municipal employee

who allegedly stole an electric generator from the Township of

Middletown. The attorney also requested a Vaughn1 index. The

Prosecutor denied both requests. Within forty-five days of the

denials, A.A. filed a complaint in lieu of prerogative writs in

1 Vaughn v. Rosen, 484 F.2d 820, 826-28 (D.C. Cir. 1973), cert. denied, 415 U.S. 977, 94 S. Ct. 1564, 39 L. Ed. 2d 873 (1974).

2 A-0946-13T3 the Superior Court, anonymously, alleging a violation of OPRA

and also the common law right of access.

A.A. filed a motion for an order requiring the Prosecutor

to identify and preserve the requested records. Defendants

filed a cross-motion for an order dismissing the complaint

pursuant to Rule 4:26-1 for A.A.'s failure to prosecute in the

name of the real party in interest.

The motion judge denied A.A.'s motion and sua sponte

dismissed the complaint for A.A.'s failure to file an order to

show cause (OTSC) and verified complaint, as required by Rule

4:67. In a comprehensive written opinion, relying on N.J.S.A.

47:1A-6, MAG Entm't, LLC v. Div. of Alcoholic Beverage Control,

375 N.J. Super. 534 (App. Div. 2005), and Mason v. City of

Hoboken, 196 N.J. 51 (2008), the judge reasoned that OPRA

actions must be brought in a summary manner, and that Rule 4:67

requires the filing of an OTSC and verified complaint. The

judge noted that A.A. could submit a new OPRA request and then

file a new action in compliance with Rule 4:67, if necessary.

Addressing the merits, the judge assumed that N.J.S.A.

47:1A-5(i) permits a person to request records anonymously, and

that the Government Records Council (GRC) accepts and decides

OPRA appeals that are filed anonymously. The judge determined,

however, that neither N.J.S.A. 47:1A-5(i) nor any other OPRA

3 A-0946-13T3 provision permits the filing of an anonymous complaint in the

Superior Court. The judge also determined there is no court

rule permitting an anonymous filing in OPRA cases, and our

Supreme Court has not adopted such a rule pursuant to the

authority granted by N.J.S.A. 47:1A-12. Rather, the judge

concluded that Rule 1:4-1(a) requires a complaint in a civil

action to include the names of all parties, and Rule 4:26-4 does

not permit a plaintiff to file a complaint with fictitious

names.

The judge explained, in detail, why this case presented no

compelling reason to permit an anonymous filing. The judge

determined that Rule 1:4-1 and Rule 1:36-3

were designed to protect the identity of victims and not a party who merely refuses to identify itself without an asserted basis. The technique of using initials instead of names is not appropriate, however, for the sole purpose of concealing the identity of a well-known person who is a party to a type of proceeding in which participant's names are routinely used.

[Citing Pressler & Verniero, Current N.J. Court Rules, comment on R. 1:4-1 and comment 6 on R. 1:36-3 (2013).]

Relying on A.B.C. v. XYZ Corp., 282 N.J. Super. 494, 499-500

(App. Div. 1995), the judge concluded as follows:

[A.A.'s] failure and outright refusal to identify itself is not permissible under the Court Rules and corresponding case law. Without an identifiable plaintiff, neither

4 A-0946-13T3 personal jurisdiction nor potential conflicts can be assessed. Even if [A.A.] had properly applied for the right to proceed anonymously, [A.A.] has offered no justification sufficient to persuade this [c]ourt that the present matter is one of "rare circumstance," outweighing the public policy in favor of disclosure and open proceedings.

Finally, the judge observed that although N.J.S.A. 47:1A-

5(i) permits a person to make an anonymous OPRA request to the

GRC, that right is limited. Citing N.J.S.A. 47:1A-2.2(c) and

-3, the judge noted that a custodian is not required to comply

with an anonymous request for records pertaining to an

investigation in progress by a public agency.2

II.

On appeal, A.A. challenges the sua sponte dismissal of his

complaint. He argues that Mason does not permit dismissal

merely because an OTSC was not filed.3 We disagree.

2 See also N.J.S.A. 47:1A-1.1 (stating that "[a] government record shall not include the following information which is deemed to be confidential . . . criminal investigatory records"). In addition, a custodian is not required to respond to an anonymous OPRA request "until the requestor appears before the custodian seeking a response to the original request." N.J.S.A. 47:1A-5(i). 3 We reject A.A.'s additional contention that he was denied an opportunity to amend his complaint or identify himself in camera. At oral argument before the motion judge, A.A.'s attorney declined the judge's offer to disclose A.A.'s identity. In this appeal, A.A. states in his merits brief that even if the judge had afforded him another opportunity to disclose his (continued)

5 A-0946-13T3 A person who is denied access to government records

requested under OPRA may challenge that denial in the Superior

Court. N.J.S.A. 47:1A-6.4 OPRA requires that "[a]ny such

proceeding shall proceed in a summary or expedited manner."

Ibid.; see also R. 4:67-1(a) (applying the summary action rule

"to all actions in which the court is permitted by rule or

statute to proceed in a summary manner"); MAG Entm't, supra, 375

N.J. Super. at 550. Accordingly, an OPRA complaint must be

filed in accordance with Rule 4:67-2(a), which requires the

filing of an OTSC and verified complaint in a summary action.

A.A. did not file an OTSC and verified complaint, as

required by Rule 4:67-2(a). The lack of a verified complaint

renders the complaint a nullity, and a non-verified complaint is

(continued) identity "it is unlikely that he would have elected to do so." In addition, the October 18, 2013 order dismissing the complaint was not, and could not be, a dismissal with prejudice. A dismissal based on the court's procedural inability to consider a case is without prejudice. Watkins v. Resorts Intern. Hotel & Casino, Inc., 124 N.J. 398, 416 (1991). Accordingly, A.A. could have filed a motion to amend the complaint to identify himself. He chose, instead, to file this appeal. 4 In lieu of filing an action in Superior Court, the person may file a complaint with the GRC. N.J.S.A. 47:1A-6. The GRC has jurisdiction only over OPRA requests and not common-law claims for public records. See Ciesla v. N.J. Dept. of Health, 429 N.J. Super. 127, 146-49 (App. Div. 2012). Common law right of access claims must be brought in the Superior Court. Id. at 148 (citing Serrano v. So. Brunswick Twp., 358 N.J. Super. 352, 373 (App. Div. 2003)).

6 A-0946-13T3 insufficient to invoke the court's jurisdiction in an action

requiring a verified complaint. Pressler & Verniero, Current

N.J. Court Rules, comment to R. 1:4-7 (2015). Accordingly, the

judge properly dismissed the complaint on procedural grounds.

III.

A.A., the Prosecutor, and the amicus raise several policy

issues regarding a person's right to prosecute an action in the

Superior Court anonymously. Ultimately, these issues are for

the Court to decide. For the reasons that follow, we conclude

that A.A. may not proceed anonymously in this case.

As A.A. points out, OPRA mentions the possibility of "an

anonymous request." See N.J.S.A. 47:1A-2.2(c) (providing that

"a custodian shall not comply with an anonymous request for a

government record [containing personal information] which is

protected under the provisions of this section"); N.J.S.A.

47:1A-5(f) (providing that "[t]he custodian may require a

deposit against costs for reproducing documents sought through

an anonymous request whenever the custodian anticipates that the

information thus requested will cost in excess of $5 to

reproduce."). N.J.S.A. 47:1A-5(i) also states that "[i]f the

requestor has elected not to provide a name, address, or

telephone number, or other means of contacting the requestor,

the custodian shall not be required to respond until the

7 A-0946-13T3 requestor reappears before the custodian seeking a response to

the original request." Even assuming that OPRA permits an

anonymous request to a custodian or the GRC, OPRA does not

authorize an anonymous filing in the Superior Court. Unlike

other statutes, where the Legislature has expressly permitted

litigants in certain types of matters to proceed anonymously,

the Legislature has not granted that right to OPRA requestors.

See, e.g., N.J.S.A. 2A:61B-1(f)(1) (civil actions involving

child victims of sexual abuse); N.J.S.A. 2A:82-46(a) (criminal

actions involving child victims of sexual assault or abuse). In

addition, there is no court rule authorizing a person to proceed

anonymously in an OPRA action in the Superior Court.

A complaint in a civil action must include the names of all

parties. R. 1:4-1(a). "In the absence of statutory or rule

authorization or some compelling reason, a party will not be

permitted to prosecute a civil action anonymously or by

pseudonym[.]" Pressler & Verniero, Current N.J. Court Rules,

comment 2.3 on R. 1:2-1 (2015); see also A.B.C., supra, 282 N.J.

Super. at 500. The requirement that a litigant provide his,

her, or its identity serves important systemic functions. Among

other things, the identity of a litigant may bear on such

important matters as jurisdiction, issue preclusion, claim

preclusion, attorney conflict of interest, enforcement or a

8 A-0946-13T3 compliance with court orders, and sanctions. With respect to

common law right of access claims, the court often has to

balance the plaintiff's claim of an overriding need for the

records against the government's interests opposing turnover.

Edu. Law Cntr. v. N.J. Dep't of Educ., 198 N.J. 274, 302-03

(2009).

Absent a statute or court rule mandating anonymity in court

proceedings, a litigant must show good cause to proceed

anonymously or by pseudonym. T.S.R. v. J.C., 288 N.J. Super.

48, 56 (App. Div. 1996); A.B.C., supra, 282 N.J. Super. at 505.

The litigant may file a non-anonymous complaint and move, on

notice to opposing counsel, to seek to seal all or parts of the

record pursuant to Rule 1:38-11. The litigant must show

compelling circumstances why identification would be improper.

A.B.C., supra, 282 N.J. Super. at 505. Once the litigant shows

such compelling circumstances, the court must weigh the

litigant's privacy interest against constitutional and public

interest in open judicial proceedings. Ibid.

A.A. provides no persuasive reason to deem these concerns

inapplicable or unimportant in an OPRA case or a common law

right of access case. Although we are mindful that some

requestors of government records may wish to remain anonymous

out of concern about possible retaliatory action or harm that

9 A-0946-13T3 may ensue from public notoriety, those potential concerns do not

justify litigants deciding for themselves whether they wish to

withhold their identities when seeking relief in the Superior

Court. In rare instances when such concerns about retaliatory

action or the collateral consequences of disclosure are

significant and substantiated, the litigant can file a motion

pursuant to Rule 1:38-11. A.A. made no such motion here.

Instead, he improperly and unilaterally assumed he had a right

to remain anonymous from the inception of the lawsuit.

A.A. has presented no reason, let alone a compelling

reason, why he should be permitted to proceed anonymously. He

has not shown that his case falls within those rare instances

where the court permitted anonymous filing in a civil case. See

G.D. v. Kenny, 205 N.J. 275 (2011) (defamation action arising

from an expungement); Application of X, 59 N.J. 533 (1971) (gun

permit applications); M.H.B. v. H.T.B., 100 N.J. 567 (1985)

(matters involving children); Fireman's Fund Ins. Co. v. Imbesi,

361 N.J. Super. 539 (App. Div.), certif. denied, 178 N.J. 33

(2003) (sexual harassment where the victim contracted a venereal

disease); In re A.I., 303 N.J. Super. 105 (App. Div. 1997)

(Megan's Law); In re Return of Weapons to J.W.D., 290 N.J.

Super. 451 (App. Div. 1996), aff'd in part, rev'd in part, 149

N.J. 108 (1997) (domestic violence); T.S.R., supra, 288 N.J.

10 A-0946-13T3 Super. 48 (child victims of sexual abuse); J.W.P. v. W.W., 255

N.J. Super. 1 (App. Div. 1991) (paternity); C.J. v. Vuinovich,

252 N.J. Super. 122 (App. Div. 1991) (permitting use of initials

to protect the identity of an AIDS patient whose disease was

material to the cause of action); In re Adoption of Indian

Child, 219 N.J. Super. 28 (App. Div. 1987), aff'd, 111 N.J. 155

(1988) (juvenile actions and adoptions); and In re L.B., 369

N.J. Super. 354 (Law Div. 2004) (expungement). As we have

stated,

[a] plaintiff should be permitted to proceed anonymously only in those exceptional cases involving matters of a highly sensitive and personal nature, real danger of physical harm, or where the injury litigated against would be incurred as a result of the disclosure of a plaintiff's identity. The risk that a plaintiff may suffer some embarrassment is not enough.

[A.B.C., supra, 282 N.J. Super. at 502 (quoting Doe v. Frank, 951 F.2d 320, 324 (11th Cir. 1992)).]

A.A.'s case is not an exceptional case compelling

anonymity. A.A. has not demonstrated that this case involves

matters of a highly sensitive and personal nature or a real

danger of physical harm, and A.A. does not claim he would suffer

the injury litigated against if his identity were disclosed in

the complaint. Accordingly, because there is no statutory

11 A-0946-13T3 authorization, rule authorization, or compelling reason, A.A.

may not proceed anonymously in this matter.

Having reached this conclusion, we need not address whether

the requested records are exempt from disclosure as criminal

investigatory records.

Affirmed.

12 A-0946-13T3