[No. 24322-2-III. Division Three. August 23, 2007.]
[1] Open Government Public Disclosure Judicial Review Standard of Review De Novo Review. Under the de novo standard of former RCW 42.17.340(3) (2005) for judicial review of agency actions taken or challenged under former RCW 42.17.250 through .320 of the public disclosure act (2005), the courts owe no deference to agency interpretations of the act and of other statutes and rules and must independently determine whether a duty to disclose exists and whether a statutory exemption applies. [2] Open Government Public Disclosure Exemptions Burden of Proof In General. Under former RCW 42.17.340(1) (2005), a government agency claiming that a document is exempt from the public disclosure requirement of former RCW 42.17.260(1) (2005) has the burden of proving that the requested document falls within the scope of a specific statutory exemption. [3] Open Government Public Disclosure Judicial Review Appellate Review Standards of Review. When a trial court has taken testimony and made findings of fact in ruling on the validity of an agency action taken or challenged under the public disclosure act (former RCW 42.17.250-.348 (2005)), such findings are reviewed by an appellate court to determine whether they are supported by substantial evidence in the record. Under former RCW 42.17.340(3) (2005), all questions regarding the agency's obligations under the act are reviewed de novo. The remedies the trial court imposes under the act are reviewed for abuse of discretion. [4] Open Government Public Disclosure Statutory Provisions Duty To Disclose Presumption. The public disclosure act (former RCW 42.17.250-.348 (2005)) establishes a strong presumption in favor of full disclosure of public records by state and local agencies. [5] Open Government Public Disclosure Response by Agency Administrative Inconvenience or Difficulty Effect. Administrative inconvenience or difficulty does not excuse an agency from strict compliance with the public disclosure act (former RCW 42.17.250-.348 (2005)). [6] Open Government Public Disclosure Statutory Provisions Strict Enforcement. The provisions of the public disclosure act (former RCW 42.17.250-.348 (2005)) requiring agencies to provide prompt responses to record requests and to provide a specific written statement of reasons for denying a request are strictly enforced. [7] Open Government Public Disclosure Response by Agency Sufficiency Findings of Fact Necessity. A trial court may not excuse an agency's failure to fulfill a public disclosure request absent findings of fact as to whether the mandates of the public disclosure act (former RCW 42.17.250-.348 (2005)) have been satisfied with respect to the specific request made. [8] Open Government Public Disclosure Response by Agency Sufficiency Good Faith or Reasonableness Effect. The sufficiency of an agency's compliance with a disclosure request under the public disclosure act (former RCW 42.17.250-.348 (2005)) does not depend on the agency's good faith or reasonableness. Good faith is relevant only to determining the amount of a penalty assessment for a violation of the act. Reasonableness does not excuse noncompliance with the act. [9] Open Government Public Disclosure Multiple Requests Quantity Limitation. The public disclosure act (former RCW 42.17.250-.348 (2005)) does not place a limit on the number of record requests one individual may make. [10] Open Government Public Disclosure Response by Agency Sufficiency Substantial Compliance. A government agency's public disclosure obligation under the public disclosure act (former RCW 42.17.250-.348 (2005)) is not satisfied by substantial compliance. The act requires strict compliance. [11] Open Government Public Disclosure Judicial Review Appellate Review Disposition of Cause Remand. When an appellate court is unable to completely resolve a public disclosure controversy because the record includes a large quantity of live testimony and the issues involve application of the correct legal standard to the facts, the case must be remanded so that the trial court can make specific findings under the proper legal analysis and provide a suitable remedy. [12] Open Government Public Disclosure Response by Agency Time for Viewing Limitation Validity. An agency may not vary from the time allowed by former RCW 42.17.280 (2005) for a person to view public records absent an agreement with the person. [13] Open Government Public Disclosure Response by Agency Restrictions Disparate Treatment Validity. The public disclosure act (former RCW 42.17.250-.348 (2005)) does not allow an agency to justify restrictions on a citizen's access to records, after the fact, on the grounds that it would have so restricted other citizens in similar circumstances. Absent the adoption of rules and regulations consistent with former RCW 42.17.290 (1995), an agency's restrictions on a particular citizen's access to public records constitutes prohibited disparate treatment in violation of former RCW 42.17.270 (2005). [14] Open Government Public Disclosure Multiple Requests Test. A citizen's public record requests to an agency do not constitute unlawful harassment such as might excuse the agency's noncompliance with statutory public disclosure requirements if the citizen's conduct does not satisfy the RCW 10.14.020 definition of unlawful harassment, which requires a knowing and willful course of conduct directed at a specific person which seriously alarms, annoys, harasses, or is detrimental to such person, and which serves no legitimate or lawful purpose. [15] Open Government Public Disclosure Exemptions Opinions and Policy Recommendations Intra-Agency Document Prepared by Government Agency Publicly Cited Document. Under former RCW 42.17.310(1)(i) (2005), an intra-agency memorandum cited by an agency in connection with an agency action is not exempt from public disclosure. [16] Evidence Hearsay Business Records Review Standard of Review. A trial court's ruling that an item of evidence is admissible as a record made in the regular course of business within the meaning of RCW 5.45.020 will not be disturbed by a reviewing court if the reviewing court does not find that the trial court abused its discretion in making the ruling. [17] Evidence Hearsay Business Records What Constitutes Summary of Customer Contacts. An agency's summary or compilation of a particular customer's contacts with the agency can be a record made in the regular course of business within the meaning of RCW 5.45.020 even though such a summary or compilation is not regularly made of contacts by other customers. [18] Evidence Documents Summary Presentation of Underlying Records Necessity. ER 1006 allows the admission of a summary of the contents of voluminous writings only if the underlying records are made available to the opposing party. [19] Open Government Public Disclosure Denial Penalty Determination By Trial Court. The determination of the penalty to impose for an agency's violation of the public disclosure act (former RCW 42.17.250-.348 (2005)) is best left to the trial court, which must make specific findings in support of a penalty assessment and must exercise its discretion to determine the amount of the daily penalty assessment within the range authorized by the act. An appellate court's function is to review a trial court's exercise of discretion in imposing penalties, not to exercise such discretion itself. The amount of the penalty assessment may depend, in part, on the existence or absence of bad faith, which remains for the trial court to determine under a proper interpretation of the act's requirements. [20] Open Government Public Disclosure Denial Penalty Amount Multiple Records Per Each Record Requested. Under former RCW 42.17.340(4) (2005), a penalty assessment must be imposed against a government agency of from $5 to $100 per day for each request of a public record unlawfully denied by the agency. [21] Open Government Public Disclosure Attorney Fees Prevailing Party What Constitutes. For purposes of former RCW 42.17.340(4) (2005), which provides for an award of attorney fees and costs if a party prevails in seeking disclosure of public records, "prevailing" pertains to the legal question of whether the records should have been disclosed on request. [22] Open Government Public Disclosure Attorney Fees Amount Relation to Successful Claim. The amount of costs and reasonable attorney fees that may be awarded under former RCW 42.17.340(4) (2005) in an action to enforce a public disclosure request must relate to the portion of costs and fees involved in successfully compelling disclosure of the information sought. [23] Open Government Public Disclosure Attorney Fees Prevailing Party Partial Success. When a party seeking disclosure of public documents prevails in court with respect to some but not all of the requested documents, attorney fees and costs should be awarded under former RCW 42.17.340(4) (2005) only in relation to the documents or portions thereof that the court requires to be disclosed and not to any documents or portions thereof found by the court to be exempt from the statutory disclosure requirement. Nature of Action: Action to enforce public disclosure requests made to a city. The plaintiffs alleged that the city wrongfully denied or delayed several of their requests for access to and copies of public records maintained by the city. The plaintiffs also alleged that the city wrongfully limited the time available for viewing public records and charged excessive fees for copies. The plaintiffs sought an order compelling the city to allow them to view the public records claimed to have been wrongfully withheld and to provide them with copies of the documents at no more than the statutory maximum charge. The plaintiffs also asked for penalties of $100 for each day they were denied their rights under the public disclosure law, as well as costs and reasonable attorney fees. Superior Court: On a motion to show cause filed by the plaintiffs, the Superior Court for Franklin County, No. 03-2-50329-3, William D. Acey, J., on June 22, 2005, entered a judgment in favor of the city based on a general finding that the city had "more than substantially complied" with all of the plaintiffs' requests, ruling that there was a limit to the number of requests an individual can make to an agency and that it was a "practical impossibility" for the city to strictly comply with the plaintiffs' requests because there were so many and because the city had limited staffing. The court also ruled that the plaintiffs' public record requests "amounted to unlawful harassment" and that the city did not engage in disparate treatment of the plaintiffs. Court of Appeals: Holding that the trial court applied the wrong standard in determining whether the city complied with its statutory public disclosure duties and that the record does not support the trial court's determination that the plaintiffs unlawfully harassed city officials or that the city met its obligations under the public disclosure act, the court reverses the judgment and remands the case for further proceedings. Ronald F. St. Hilaire- (of Liebler Ivey Connor Berry & St. Hilaire), for appellants. Terry M. Tanner- (of Tanner & Hui), for respondent. [As amended by order of the Court of Appeals October 23, 2007.] Ά1 STEPHENS, J. Former RCW 42.17.340(3) (2002) Ά2 The trial court did not make specific findings on each of the PDA violations alleged by the Zinks. Instead, it found generally that the City had substantially complied with the Zinks' requests. We hold that "substantial compliance" is an incorrect standard by which to judge an agency's compliance with its statutory duties. We further hold that the record does not support the trial court's determination that the Zinks unlawfully harassed City officials or that the City met its obligations under the PDA. We therefore reverse and remand this matter to the trial court for determinations consistent with this opinion. FACTS Ά3 This action had its beginnings in August 2002, when the City decided to "expire" a building permit it had issued to the Zinks to repair and remodel their fire damaged home. In support of its decision, the City cited neighbors' complaints about the home's exterior. The Zinks appealed to the City's Board of Appeals. They also began filing disclosure requests for public documents held by the City. The requests, by the City's count, totaled 172 over the period beginning July 30, 2002 and ending January 31, 2005. Ά4 Many of the Zinks' requests were linked to the decision on their building permit. In addition, some requests related to their self-described "watchdog type" role in the City. Clerk's Papers (CP) at 343. Ms. Zink is both a former councilwoman and a former mayor of the City. She stated in a declaration that "[m]y husband and I have been asking for records to investigate several complaints we have received from other Mesa residents. . . . Many of the residents are non-English speaking and many do not know their rights." CP at 343. Ms. Zink later testified it was her impression that these watchdog activities generated the City's alleged resistance to filling her public record requests. Ά5 On April 30, 2003, the Zinks filed this action against the City. They alleged the City wrongfully denied or delayed many of their requests for access to and copies of public records maintained by the City. They further alleged the City wrongfully limited the time in which they could view public records and charged them excessive amounts for copies. They sought a court order compelling the City to allow them to view the public records it had wrongfully withheld from them and to provide the Zinks copies of the documents at no more than the statutory maximum charge. They also asked for penalties of $100 for each day they were denied their rights under the PDA, as well as costs and reasonable attorney fees. Ά6 On February 27, 2004, the Zinks filed a motion under former RCW 42.17.340 for an order to show cause why the court should not enter findings granting them the relief requested in their complaint. Ms. Zink specifically argued in the show cause motion that the City had violated RCW 42.17.250 through Ά7 At the hearing on the show cause motion, the trial court heard testimony from Jeff and Donna Zink, Anita Zink, City Clerk Teresa Standridge and Assistant City Clerk Carolyn Stephenson. On June 22, 2005, the court entered findings, conclusions, and an order denying the motion. Except in three instances, the court did not make specific findings on the numerous violations of the PDA alleged by the Zinks. Ά8 The trial court ordered judgment entered in favor of the City. The Zinks timely appealed. ANALYSIS A. Standard of Review Ά11 The Zinks urge us to engage in de novo review of the testimonial record, enter findings on the alleged PDA violations, and impose an appropriate remedy rather than remanding to the trial court. The Zinks cite Ockerman v. King County Department of Developmental & Environmental Services, 102 Wn. App. 212, 216, 6 P.3d 1214 (2000) in support of their argument that an appellate court, just as a trial court, reviews agency action de novo and enters its own findings of fact. See Appellants' Br. at 26. Ockerman does not support this argument, however, because the record in that case consisted only of documents without courtroom testimony. When a trial court hears live testimony and judges the credibility of the witnesses, appellate courts consistently afford deference to its determinations of fact. See Org. to Preserve Agric. Lands v. Adams County, 128 Wn.2d 869, 882, 913 P.2d 793 (1996) (applying substantial evidence review following trial on issues under Open Public Meetings Act of 1971, chapter 42.30 RCW). Ά12 The provision for de novo review in former RCW 42.17.340(3) does not supplant this general principle but, rather, serves to negate the usual deference that courts give to an agency's discretion in interpreting the rules governing it. Hearst Corp., 90 Wn.2d at 129-30. Thus, while we review de novo all questions regarding the City's obligations under the PDA, we review the trial court's findings of fact based on the testimonial record to determine if there is substantial evidence to support them. See Progressive Animal Welfare Soc'y, 125 Wn.2d at 252-53 (noting appellate court is not bound by trial court's findings of fact only where based solely on documentary record). B. Substantial Compliance Ά15 In Hearst Corp., the appellant, a county assessor, argued that "the cost and excessive disruption to the department of assessments clearly outweigh[ed] the public benefit of disclosing [documents]." Id. The court quoted the provision of the PDA, which was codified at that time in former RCW 42.17.340(2) (1975), that judicial review " 'shall take into account the policy of this chapter that free and open examination of public records is in the public interest, even though such examination may cause inconvenience . . . to public officials.' " Id. at 132 (alteration in original). The court concluded that "[t]he act's provisions would appear to have specifically addressed appellant's arguments and declared them to be of insignificant impact compared with the stated public purpose of the act." Id. Further, "[t]he fact that the material may be available in other records is not a reason stated in the act for failure to disclose." Id. Ά16 The court in Hearst Corp. also noted the various standards set forth in the PDA for agencies to meet, including provisions for prompt responses to record requests and specific written statements of reasons for denial of requests. Id. at 139. It commented that "[s]trict enforcement of these provisions where warranted should discourage improper denial of access to public records and adherence to the goals and procedures dictated by the statute." Id. at 140. Ά18 Unfortunately, the trial court did not enter findings of fact as to whether the City fulfilled the mandates of the PDA with respect to the specific violations alleged by Ms. Zink in her declarations. Ά19 Indeed, the trial court in its oral opinion agreed that the City's compliance may have been "short of total . . . hundred percent strict compliance with the act." Report of Proceedings (RP) at 543. But it concluded that, "given the uniqueness of this situation, the very, very limited number of personnel hours available in [the] city clerk's office, that . . . some allowance has to be made from absolute hundred percent strict compliance." RP at 544. The court also stated, "you [Zinks] were thoroughly one hundred percent provoked. I am not faulting you for any of your actions because most of all of your requests, the vast majority of your requests, had to do with your home or people involved in the decision as pertains to your home. . . . [But] [i]n the process you really interfered with the operation of the clerk's office." RP at 544. The court concluded: "There is a limit to the number of public requests an individual can make to a public agency." CP at 32 (Conclusion of Law 2). Ά20 We do not doubt that the impact of the Zinks' requests on the clerk's office was significant. There is substantial evidence in the record to support the trial court's findings to this effect. However, the findings are immaterial to the legal issue before us, because the PDA requires strict compliance. See Hearst Corp., 90 Wn.2d at 130. The City's good faith or reasonableness does not determine whether it complied with the PDA in responding to the Zinks' record requests. Id. at 131-32. Good faith is only relevant to assessing the amount of damages to be awarded for violations of the PDAan issue the trial court did not reach. Amren, 131 Wn.2d at 37-38. Similarly, the reasonableness of the City's actions does not excuse noncompliance with the PDA. Id. at 37. As our Supreme Court observed in Amren, "to require unreasonable conduct as the standard for award of penalties would be inconsistent with the strong policy of the Act to discourage improper denial of access to public records." Id. at 37 n.10. Finally, the PDA does not place a limit on the number of record requests an individual can make. We therefore hold that the trial court erred when it concluded substantial compliance with PDA provisions was sufficient. Ά22 It remains to decide whether the trial court erred in the instances in which it made specific findings sufficient to allow our review. C. Time Limitation on the Zinks' Access to Public Records D. Disparate Treatment Ά25 The trial court's finding that the City did not treat Ms. Zink differently from other persons making public record requests is based on Clerk Standridge's testimony that she placed restrictions on Ms. Zink's access because she was falling behind in her other official duties, and that anyone who made the number of requests that Ms. Zink made would have been treated the same. She estimated that between August 2002 and April 2003, all of her assistant clerk's time and 50 percent of her own time was spent filling Ms. Zink's public record requests. Ά26 Former RCW 42.17.290 (1995) of the PDA addresses how agencies should cope with record requests that become so time consuming that other work is impacted. Specifically, the law provides that an agency is to adopt rules to prevent undue interference with the agency's functions. It states in part: "Agencies shall adopt and enforce reasonable rules and regulations . . . consonant with the intent of this chapter to provide full public access to public records, to protect public records from damage or disorganization, and to prevent excessive interference with other essential functions of the agency." The City does not contend that it adopted any such rules. Ά27 While the record contains substantial evidence to support the trial court's finding that the City would have treated other persons making a large number of public record requests the same as it treated Ms. Zink, such treatment nonetheless violated the PDA. The PDA does not allow an agency to justify its restriction of a citizen's access to records, after the fact, on the ground that it would have so restricted other citizens in similar circumstances. Absent the adoption of rules and regulations consistent with former RCW 42.17.290, the City's restriction of the Zinks' access to public records amounted to disparate treatment, in violation of former RCW 42.17.270. On remand, the trial court is directed to determine an appropriate remedy. E. Unlawful Harassment Ά29 The record does not support a finding of unlawful harassment. Although Clerk Standridge testified Ms. Zink "threatened" her, her description of Ms. Zink's conduct in this regard does not satisfy the statutory definition of unlawful harassment. RP at 377. Specifically, Ms. Standridge testified that Ms. Zink told her "you better do this," "look this up," and "if you don't do this just right, I'm gonna sue ya." RP at 379. Ms. Standridge herself characterized Ms. Zink's "threats" as "nothing personal," and admitted she never felt that Ms. Zink was going to harm her physically. RP at 380. Ά30 Without questioning the trial court's view of the facts regarding Ms. Zink's conduct, we hold that it did not, as a matter of law, amount to harassment or excuse noncompliance with the PDA. Ms. Zink's conduct toward the city clerk was not directed at Ms. Standridge personally but instead served the legitimate purpose of achieving lawful disclosure of public documents. The trial court erred when it found the Zinks' public record requests constituted unlawful harassment. F. Request for Record of Complaint Against the Zinks' Home Ά31 The city council cited neighbors' complaints about the Zinks' home in support of its decision to expire the Zinks' building permit, and the Zinks' requested disclosure of records of such complaints. After making requests for files pertaining to the Zinks' address as well as files of the building official and of the City, Ms. Zink eventually obtained exhibit 78, the minutes of the August 22, 2002 city council meeting. These minutes stated, "written complaint regarding Donna Zink's unfinished house reviewed." CP at 591. When Ms. Zink cited these minutes in a renewed document request for the written complaint, the City supplied her with exhibit 79, a memo signed by the mayor, dated August 2, 2002. The memo stated, as follows: "Two citizens commented on unfinished construction on exterior of house. Complained about wood pile in back yard being a fire hazard." CP at 594. Ά32 The Zinks complain that either the City has not yet disclosed the written complaint referenced in the city council minutes or, if exhibit 79 is the only complaint, the City improperly delayed producing the requested record. The trial court held the record was exempt from disclosure, citing no provision of the PDA to support this holding. Ά34 Ms. Zink's initial request was sufficient to notify the City that the internal memo described above fell within the category of documents Ms. Zink was requesting. The city council's own minutes reflected a "written complaint" had been reviewed concerning the Zinks' property. CP at 591. The complaint was not exempt from disclosure under former RCW 42.17.310(1)(i). We therefore reverse the trial court's disposition of this PDA request and remand with instructions to determine an appropriate remedy for the City's improper denial or delay in responding to the Zinks' request. G. Fees Charged for Public Records Ά35 The Zinks challenge the City's charges for reproduction of a diskette and an audio tape, claiming they were excessive in violation of former RCW 42.17.300 (1995). This statute provides that "charges shall not exceed the amount necessary to reimburse the agency . . . for its actual costs directly incident to such copying." (Emphasis added.) Former RCW 42.17.260(7)(b) (1997) provides that "[i]n determining the actual . . . costs for providing copies of public records, an agency may not include staff salaries, benefits, or other general administrative or overhead charges, unless those costs are directly related to the actual cost of copying the public records. Staff time to copy and mail the requested public records may be included in an agency's costs." (Emphasis added.) Former RCW 42.17.260(7) also provides that "[e]ach agency shall establish, maintain, and make available for public inspection and copying a statement of the actual per page cost or other costs, if any, that it charges for providing photocopies of public records and a statement of the factors and manner used to determine the actual per page cost or other costs, if any." (Emphasis added.) Ά36 Exhibit 124 is a copy of the City's minimum fee schedule. The Zinks point out that the schedule was adopted by resolution of the city council in 2003, after the copy charges at issue here were incurred. For that reason, we remand to the superior court to determine the appropriate charges under the above-cited statutes and the fee schedule that was in effect at the time in question. H. Admission of Exhibit 216 Ά37 Finally, the Zinks argue the trial court abused its discretion in admitting exhibit 216, the city clerk's summary of the City's contacts with the Zinks. The Zinks contend that the exhibit is inadmissible hearsay, and also objectionable under ER 1006 as a "summary" of other records because the underlying records were never made available to the Zinks. Ά39 ER 803(a)(6) provides that records of regularly conducted activity are not inadmissible as hearsay. Under RCW 5.45.020: A record of an act, condition or event, shall in so far as relevant, be competent evidence if the custodian or other qualified witness testifies to its identity and the mode of its preparation, and if it was made in the regular course of business, at or near the time of the act, condition or event, and if, in the opinion of the court, the sources of information, method and time of preparation were such as to justify its admission. Ά40 The trial court determined that the summary based on the City clerk's notes was admissible as a record made in the regular course of business, and we do not find that it abused its discretion in this regard. Contrary to the Zinks' argument, it is not necessary to the business records exception that the City show the clerk's office regularly took notes of every citizen's requests for public records. Ά42 Accepting the trial court's view of exhibit 216 as a business record, ER 1006 nonetheless allows the admission of such a summary only when the underlying records are made available to the opposing party. The trial court relied upon exhibit 216 in determining that the Zinks made voluminous record requests. Because we must remand for further determinations by the trial court, the appropriate remedy is to allow the trial court to direct the parties to satisfy the conditions of ER 1006 if it chooses to consider exhibit 216. I. Penalties for PDA Violations J. Attorney Fees and Costs Ά46 While it is clear at this juncture that the Zinks have prevailed to some degree in showing certain PDA requests were improperly denied, it remains for the trial court to determine whether the City failed to comply in other instances, under an actual, not substantial, compliance analysis. Accordingly, the extent to which the Zinks have prevailed in this matter is best determined by the trial court. We therefore grant the Zinks' request for attorney fees and costs, including on appeal, and remand to the trial court for a determination of the amount of such fees and costs. ACLU I, 86 Wn. App. at 699. CONCLUSION Ά47 The PDA is a strongly worded mandate for full public access to information concerning the workings of government. It requires strict compliance with its provisions, not simply substantial compliance. We direct the trial court on remand to enter findings on whether the City strictly complied with the PDA in every instance identified by the Zinks. Where the City has violated the PDA, we leave it to the sound discretion of the trial court to award penalties, costs, and attorney fees to the Zinks, including costs and fees incurred in this appeal. Amren, 131 Wn.2d at 37-38. SCHULTHEIS, A.C.J., and KULIK, J., concur. Reconsideration granted and opinion modified October 23, 2007.