Governor's Office of Administration v. Purcell

35 A.3d 811, 40 Media L. Rep. (BNA) 1065, 33 I.E.R. Cas. (BNA) 779, 2011 Pa. Commw. LEXIS 619
CourtCommonwealth Court of Pennsylvania
DecidedDecember 29, 2011
StatusPublished
Cited by36 cases

This text of 35 A.3d 811 (Governor's Office of Administration v. Purcell) is published on Counsel Stack Legal Research, covering Commonwealth Court of Pennsylvania primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Governor's Office of Administration v. Purcell, 35 A.3d 811, 40 Media L. Rep. (BNA) 1065, 33 I.E.R. Cas. (BNA) 779, 2011 Pa. Commw. LEXIS 619 (Pa. Ct. App. 2011).

Opinions

OPINION BY

Judge SIMPSON.

This appeal concerns the Right-to-Know Law (RTKL).2 The Governor’s Office of Administration (GOA) petitions for review from a final determination of the Office of Open Records (OOR) which granted Dylan Purcell’s (Requester) appeal from a partial denial (redaction), thereby granting his request for the full birth dates of all Pennsylvania employees.

The case raises an issue of first impression: whether birth dates are protected from disclosure under the current RTKL. GOA argues the RTKL’s personal security exception encompasses a right of privacy. GOA argues this right requires a balancing of interests. Requester contends this alleged privacy right was anchored in the prior, substantially different language of the former RTKL’s reputation and personal security exception. Requester argues this right ceased on enactment of the current RTKL.

We conclude that GOA proved the personal security exception at Section 708(b)(l)(ii) of the RTKL, 65 P.S. § 67.708(b)(1)(h), applies on these facts and protects from disclosure the month and day of birth of almost 70,000 state employees. Accordingly, on this record we reverse.

I. BACKGROUND

A.

Requester requested a list of all active state employees and their salary records. He requested specific fields of information: (1) first and last name; (2) job title; (3) hire date; (4) level of hire (full-time/part-time); (5) employment status (permanent/temporary); (6) salary; (7) county; and (8) birth date.3 He previously received these data fields for every state employee on five different occasions during a six-year period.

Requester sought the birth date for each employee because it provides a unique identifier to differentiate employees with common names, allowing reporters to identify matches with other computer databases, such as those containing campaign finance, property tax, or criminal history information.

B.

GOA’s open records officer (Officer) granted the request in part, and denied it in part. Officer redacted the month and day of each employee’s birth date so that Requester only received birth years. Officer based her redaction on 65 P.S. § 67.708(b)(1)(h) (personal security exception). This provision exempts from disclosure a record which “would be reasonably likely to result in a substantial and demonstrable risk of physical harm to or the personal security of an individual.” Id.

[813]*813In subsequent exchanges with Requester, Officer explained that the redactions were meant to protect each employee’s privacy. Officer referenced a single judge opinion of this Court at the preliminary injunction stage discussing the constitutional right of privacy and the balancing test by which it is applied. Pa. State Educ. Ass’n v. Dep’t of Cmty. & Econ. Dev., 981 A.2d 383 (Pa.Cmwlth.2009) (single judge opinion by Friedman, S.J.), prelim. inj. order aff'd., 606 Pa. 638, 2 A.3d 558 (2010).4 Officer noted the birth date provided little insight into the workings of government, and its small benefit was outweighed by the greater harm to the employees’ personal security and privacy.

C.

Requester appealed to the OOR. GOA reasserted redactions were based on the personal security exception and the Pennsylvania Constitution. GOA offered four document groups to support its position.

The first document was a letter from the Philadelphia District Attorney which addressed the “staggering” increase in identity theft. She noted that full names, combined with addresses and dates of birth, were the tools criminals could use to obtain financial information and commit identity theft. She referenced Federal Trade Commission reports on identity theft.

The second document was a lengthy affidavit from Joseph E. Campana, Ph.D., an expert in the field of identity theft, privacy and information security. Campana opined:

A person’s date of birth is one of the most sensitive pieces of personally identifiable information. For this reason, some identity theft experts have referred to a person’s name, Social Security number and date of birth, as “The Holy Trinity.” These three key pieces of information together can be used by identity thieves to establish new financial accounts in the name of the identity theft victim and to commit a variety of other types of identity fraud. While one cannot hold one’s name secret, one can often protect their Social Security number and date of birth.... Organizations that maintain records that contain consumer date of births must protect that personal identifier and other personally identifiable information that the consumer entrusted with the organization.

GOA Response before OOR, Attachment 2; Reproduced Record (R.R.) at 30a. Cam-pana discussed different types of identity theft, and he noted the Federal Trade Commission estimated that between 2007 and 2008 identity theft crimes increased 29% nationally and 19% statewide.

Campana further opined as follows: “disclosure of personally identifiable information such as dates of birth would result in a substantial and demonstrable risk to the personal security of individuals because the risk of identity theft through disclosure would be substantially heightened.” Id.

Campana also identified several federal statutes that identify birth dates as personally identifiable information: (1) The Identify Theft and Assumption Deterrence Act of 1998;5 (2) The Family Educational [814]*814Rights and Privacy Act of 1974 (a/k/a FERPA or Stuckley Amendment);6 (3) The Health Insurance Portability and Accountability Act (HIPAA) of 1996;7 and (4) Health Information Technology for Economic and Clinical Health (HITECH) Act.8 He noted that, based on HIPAA’s terms, many health professionals now only require a person’s first and last name and birth date to gain access to medical files. He also stated that date of birth is protected personal health information under the HITECH Act.

The third document was an extensive affidavit from the Commonwealth’s Chief Information Security Officer, Erik Aval-dan. He noted that various federal and national standards classify birth dates as “Personally Identifiable Information.” GOA Response before OOR, Attachment 3; R.R. at 34a-37a. He opined that “divulging of a consolidated list containing birth date information for each employee would likely result in a substantial and demonstrable risk to the personal security of individual employees by creating such a significant and predictable increase in the amount of social engineering, targeted, and well crafted phishing attacks (known as spear-phishing) against commonwealth employees.” Id. at 3; R.R. at 36a. He also opined that making this information public “is likely to result in a substantial and demonstrable risk of identity theft and fraud, as evidenced by the number of employees involved and current figures regarding the proliferation of such crimes once birth dates are accessed....” Id.

GOA’s fourth document was a Management Directive from the Governor’s Office dated July 26, 2010, which addressed the prospective handling of RTKL requests for state employee information.

D.

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Bluebook (online)
35 A.3d 811, 40 Media L. Rep. (BNA) 1065, 33 I.E.R. Cas. (BNA) 779, 2011 Pa. Commw. LEXIS 619, Counsel Stack Legal Research, https://law.counselstack.com/opinion/governors-office-of-administration-v-purcell-pacommwct-2011.