Council on Developmental Disabilities, Inc. v. Cabinet for Health & Family Services

473 S.W.3d 597, 2015 Ky. LEXIS 1857, 2015 WL 5626394
CourtKentucky Supreme Court
DecidedSeptember 24, 2015
Docket2013-SC-000357-DG
StatusPublished

This text of 473 S.W.3d 597 (Council on Developmental Disabilities, Inc. v. Cabinet for Health & Family Services) is published on Counsel Stack Legal Research, covering Kentucky Supreme Court primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Council on Developmental Disabilities, Inc. v. Cabinet for Health & Family Services, 473 S.W.3d 597, 2015 Ky. LEXIS 1857, 2015 WL 5626394 (Ky. 2015).

Opinions

OPINION OF THE COURT BY

JUSTICE NOBLE

When a disabled adult under the state’s care is alleged to have been abused or to have died from abuse, the Cabinet for Health and Family Services investigates and produces confidential records related to. the investigation. Though otherwise confidential, those records may be disclosed to certain individuals and groups under ICRS 209.140, including “social service agencies ... that have a legitimate interest in the case.” ICRS 209.140(3). Does this confidentiality exemption extend to a private non-profit corporation that advocates generally for “children and adults with mental retardation and their families and other interested persons in the community”? We conclude that it does not, and thus affirm.

I. Background

The Appellant, the Council on Developmental Disabilities,- Inc., is a Kentucky nonprofit corporation that advocates for “children and adults with mental retardation and their families and other interested persons in the community.” It receives funding from several sources, including Metro United Way and the Louisville/Jefferson County Metro Government.

In January 2010, the Council learned of the death of Richard Tardy, a mentally disabled man who had been in the Cabinet’s care. For the majority of 2009, Tardy resided in Central State Hospital in Louisville, Kentucky. In late 2009, Tardy was transferred to a group home located in Somerset, Kentucky. That home was operated under Supports for Community Living (“SCL”), a Kentucky Medicaid program providing an alternative to institutional care for individuals with intellectual and developmental disabilities. See 907 KAR 1:145.

Tardy died approximately three months after being transferred to the group home. After his death, accusations were made that facility caretakers were abusing residents. On January 27, 2010, April DuVal, then the Council’s acting Executive' Director, filed a request with the Cabinet under the Kentucky Open Records Act, KRS 61.870-.884, seeking information about Tardy’s death. The Council’s open-records request demanded documents relating to “all investigative and follow-up activities completed on behalf of Richard Tardy.” On February 9, 2010, the Cabinet denied the Council’s request on the grounds that the records were confidential under KRS 209.140 and that the Council did not qualify as an organization exempt from the confidentiality restrictions in that statute.

The Council appealed the Cabinet’s decision to the Attorney General as allowed by KRS 61.880(2). The Council argued that it was not statutorily barred from obtaining the records because it qualified as a social service agency with a legitimate interest in the records under KRS 2091140(3). The Attorney General disagreed and found that the Council did not have a legitimate inter[599]*599est in the records.because it did “not provide services directly to Mr. Tardy or advocate specifically on his behalf while he was living, and ... does not otherwise have a ‘legitimate interest in the case’ based upon the agency’s reasonable interpretation of this language.” In re The Council on Developmental Disabilities, Inc./Cabinet for Health and Family Services, Ky. Op. Atty. Gen. 10-ORD-080, at 9 (April 21, 2010).

The Council did not appeal the Attorney General’s decision. Instead, it filed a second open-records request on July 28, 2010. This request sought documents relating to the death of Gary Farris. Like Tardy, Farris was a ward of the Commonwealth and was transferred from an institution to a community residence -shortly before his death. The Council’s open-records request specified its desire to receive “copies of all investigations, coroner’s report(s), and Mortality Review Committee findings.” The request also included a general demand for any documents relating to the “deaths of any other individuals who were transferred by the Cabinet ... from [state-run institutional], placements and died in community placements after January 1, 2008.” The Cabinet denied the Council’s request, relying on the same reasoning for its first denial.

This time, instead of seeking review from the Attorney General, the Council filed suit in Franklin Circuit Court under KRS 61.882.1 The Council sought an order requiring the Cabinet to disclose the requested records.

The trial court denied the Council’s request. The court stated that the Council was “most likely not a- ‘social service agency5 as contemplated by the statute,” but ultimately avoided resolving that issue. Instead, the trial court’s denial was based on its finding that thé Council had failed to demonstrate that it-had a legitimate interest in the records sought.

The Court of Appeals, in a divided panel, affirmed the trial court. The majority agreed that the Cabinet was not obligated to disclose the records. One member of the majority agreed with the trial court that the Council did not have a legitimate interest in the case, and thus did not fall under the exception laid out in KRS 209.140. Another member of the majority concluded that social services agency, as used in the statute, means only a governmental agency, and thus excluded the Council. The third member of the panel dissented, claiming the Council met the exception.

This Court granted discretionary review.

II. Analysis

The Kentucky Open Records Act generally allows “free and open examination of public records.” KRS 61.871. It also exempts some records from disclosure. See KRS 61.878(1) (“The following public records are excluded from the application of KRS 61.870 to 61.884....”). One of the exemptions, the one at issue in this case, is for “[pjublic records or information the disclosure of which is prohibited or restricted or otherwise made confidential by enactment of the General Assembly.” KRS 61.878(l)(i). This catch-all provision refers to instances where the General Assembly has designated records as confidential, and thus exempt from disclosure, in a statute other than the Open. Records Act. :

The -General Assembly, has done this in KRS 209.140, which begins by saying that [600]*600“[a]ll information” obtained by the Cabinet for Health and Family Services in an investigation under Chapter 209 “shall not be divulged to anyone.” The statute then lists the exceptions for who may receive the information.

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Bluebook (online)
473 S.W.3d 597, 2015 Ky. LEXIS 1857, 2015 WL 5626394, Counsel Stack Legal Research, https://law.counselstack.com/opinion/council-on-developmental-disabilities-inc-v-cabinet-for-health-family-ky-2015.