Civil action commenced in the Superior
Court Department on February 2, 2022.
The case was heard by James Budreau, J.,
on a motion for summary judgment.
The Supreme Judicial Court granted an
application for direct appellate review.
Mary Lee, Assistant District Attorney, for
the defendant.
Howard Friedman for the plaintiff.
Graham D. Welch for Lawyers for Civil
Rights Boston & others.
The following submitted briefs for amici
curiae:
Rebecca Jacobstein, Committee for Public
Counsel Services, Mason A. Kortz, Jessica J. Lewis, & Daniel L. McFadden
for Andrew Quemere & others.
Nick J. Erickson, of Colorado, Brian S.
Fraser, of New York, & David Milton for National Police Accountability
Project.
Randall E. Ravitz, Special Assistant
Attorney General, for Massachusetts Peace Officer Standards and Training
Commission.
David E. Sullivan, District Attorney,
& Cynthia M. Von Flatern, Assistant District Attorney, for district
attorney for the northwestern district.
GAZIANO, J. In this action, the plaintiff, Eric Mack, has
requested, pursuant to G. L. c. 66, § 10 (public records law),
certain records that relate to the fatal shooting of his brother, Anthony Harden
(decedent). A judge in the Superior Court
granted the plaintiff's motion for summary judgment, mandating disclosure of
the requested documents, absent a few minor exceptions. Seeking to prevent the disclosure of these
records, the district attorney for the Bristol district (district attorney's
office) appealed from the judge's order and asserts that each of the requested
records is exempt from the definition of "public records" under at
least one of three enumerated exemptions:
the privacy exemption, the policy deliberation exemption, and the
investigatory exemption. See G. L.
c. 4, § 7, Twenty-sixth (c), (d), (f). The district attorney's office further argues
that, pursuant to G. L. c. 6E, §§ 1 et seq., the Massachusetts
Peace Officer Standards and Training Commission (POST commission) has exclusive
authority to release officers' names.
For the following reasons, we affirm in part, reverse in part, and
remand the case to the trial court for a determination whether the
investigatory exemption applies to certain material.[1]
Background. We summarize the facts that are undisputed,
viewed in the light most favorable to the party against whom summary judgment
was entered -- here, the district attorney's office. See HSBC Bank USA, N.A. v. Morris, 490 Mass.
322, 326-327 (2022).
1.
The shooting. The following facts
are taken primarily from the final report of the district attorney's office on
its findings and conclusions regarding the officer-involved shooting of the
decedent (final DAO report), as well as from other documents in the record.
On November 22, 2021, Officers Michael
Sullivan and Chelsea Campellone of the Fall River police department traveled to
the residence of a woman who had reported a domestic violence incident.[2] The woman reported to the officers that a man
she was dating had choked her and struck her in the face with a stick two days
prior. After documenting her facial
injuries, the officers determined that there was probable cause to arrest the
man.
That man was the decedent. Having previously been charged with domestic
violence offenses and reckless endangerment of a child, the decedent was
confined to his residence by court order at the time the woman reported the
domestic violence incident. The decedent
resided with the plaintiff (his twin brother) and his landlord.
A surveillance camera outside the
decedent's residence recorded Sullivan and Campellone arriving on the evening
of November 22. The officers spoke first
with the decedent's landlord, who permitted the officers to enter the residence
and directed them to the decedent's bedroom.
Sullivan then went to the decedent's bedroom and announced his presence
to the decedent from the doorway. After
a brief exchange, the decedent refused to step outside and speak with the
officers. Sullivan explained to the
decedent that he was being placed under arrest.
The decedent reached for an item on his
desk. Although Sullivan was unable to
see what the decedent grabbed, Campellone believed the metallic and pointed
item in his possession was a knife. The
decedent quickly approached Sullivan, holding the item in his right hand, and
tried repeatedly to stab Sullivan in the neck and head with the item. As Sullivan and the decedent struggled,
Campellone fired two shots from her service weapon, and the decedent fell over.
Sullivan promptly requested emergency
medical personnel, who arrived at the decedent's residence minutes later, along
with several additional Fall River police officers. A police sergeant who arrived on the scene following
the shooting found Sullivan and Campellone with their weapons drawn, pointing
toward the decedent's bedroom. Sullivan
told the sergeant, "That guy just tried to kill me with a knife!"
On entering the decedent's bedroom, the
sergeant observed the decedent laying on his stomach just inside the doorway,
groaning and moving his hands. The
sergeant requested that the decedent stop moving his hands and attempted to
place handcuffs on him. The decedent
resisted at first, but ultimately, officers were able to handcuff him and began
administering medical aid.
As officers worked to clear the scene for
emergency personnel, one officer found a knife on the floor near the
decedent. That same officer then moved
the knife onto a table in the bedroom to ensure the safety of incoming
emergency personnel.
The decedent was treated for his gunshot
wounds and transported to a hospital.
Within thirty minutes from the time Sullivan and Campellone first
approached him in his bedroom, the decedent was pronounced dead.
The plaintiff raises several questions
regarding the final DAO report. Chief
among them is whether the decedent did in fact possess a knife when he
allegedly attacked Sullivan. Various
officers alternatively reported not seeing a knife at all, observing a black-handled
steak knife on the decedent's desk, finding a black-handled steak knife on the
floor near the decedent's feet, or discovering a knife underneath the decedent
after the decedent was rolled over to administer medical aid.[3]
2.
Investigation of the shooting. In
coordination with the State police, the district attorney's office conducted a
five-month long investigation into the decedent's death pursuant to G. L.
c. 38, § 4, which mandates that, in "cases of unnatural or
suspicious death . . . [t]he district attorney or his law enforcement
representative shall direct and control the investigation of the death."[4] The purpose of this investigation was to
determine whether the two responding officers were criminally responsible for
the decedent's death. Investigators
interviewed four percipient witnesses and approximately twenty additional
civilian and law enforcement witnesses.
The district attorney's office either
acquired or created the following records while investigating the decedent's
death: videotaped interviews of Fall
River police officers and fire department paramedics who were involved in the
incident (videotaped public employee interviews); Sullivan's personnel records;
the decedent's autopsy and medical records; crime scene reports listing items
recovered from the apartment and detailing subsequent forensic testing; video
footage from surveillance cameras on a neighboring property that was recorded
between November 20 and November 22, 2021 (home security videos); twenty-six crime
scene photographs depicting the decedent's residence, including his bedroom,
bathroom, kitchen, and shared living spaces (crime scene photographs); a brief
typewritten document titled "Room Summary," which was authored by an
assistant district attorney and consists of several bullet points that recount
the factual events leading to the decedent's death (room summary); and a
homicide report prepared by the State police, which includes a nine-paragraph
summary of the events surrounding the decedent's shooting and appends summaries
of the videotaped public employee interviews (MSP homicide report).[5]
While the investigation remained ongoing,
the district attorney's office prepared a preliminary report in December 2021
summarizing its findings and conclusions regarding the shooting (preliminary
DAO report).[6] The preliminary DAO
report includes details on the decedent's background, a summary of the domestic
violence incident that prompted the officers' arrival at the decedent's
residence, a description of the events surrounding the shooting, an explanation
of the Fall River police department's policy on the use of force, and a
conclusion that there was "no basis" to find that Sullivan or
Campellone had committed a crime.
On completing its investigation, the
district attorney's office released the final DAO report to the public in April
2022. In addition to the information
from the preliminary DAO report detailed supra, the final DAO report includes
supplemental details on the decedent's domestic violence offenses and child
endangerment charges, as well as a summary of the decedent's medical
examination and autopsy report. The
final DAO report again concludes that there was "no basis" to charge
either of the two responding officers with a crime. The district attorney's office also describes
the Fall River police department's use of force policy, which states that a
"law enforcement officer shall not use deadly force upon a person unless
de-escalation tactics have been attempted and failed or are not feasible based
on the totality of the circumstances."
The policy permits an officer to use deadly force if there is no other
reasonable alternative and the officer has an objectively reasonable belief
that deadly force is necessary to protect herself or another. The district attorney's office found in its
report that Sullivan and Campellone did not violate the use of force policy,
reasoning that the officers had probable cause to arrest the decedent and that
it was reasonable to believe that the decedent was attempting to use deadly
force.
3.
The public records request and responses. After receiving a copy of the preliminary DAO
report, the plaintiff wrote to the district attorney's office on January 10,
2022, requesting public records pursuant to G. L. c. 66, § 10
(b). In his letter, the plaintiff
requested (1) all documents relating to any incidents that occurred between
November 20 and November 22, 2021, involving Fall River police officers and the
decedent; (2) all audio recordings concerning the decedent between November 20
and November 22, 2021; (3) all video recordings and photographs that show the
decedent or officers who interacted with the decedent on November 22, 2021; and
(4) all documents relating to any investigations of incidents involving the
decedent that occurred between November 20 and November 22, 2021.
The district attorney's office responded
in a letter dated January 25, 2022, denying the plaintiff's request for public
records primarily because the investigation was ongoing. The district attorney's office further
explained its belief that many of the records the plaintiff requested were
exempt from the definition of "public records" under the public
records law and thus would not be disclosed, even after the completion of the investigation.
On April 1, 2022, the district attorney's
office sent another letter and the final DAO report to the plaintiff. This letter included the website address of
the district attorney's office, where anyone could view the public records that
the district attorney's office identified as responsive to the plaintiff's
request. The district attorney's office
explained in its letter that certain records would not be disclosed to the
plaintiff. Relevant here, the district
attorney's office stated, "[a]ll recorded witness interviews and certain
audio and video recordings," some photographs, and the names of police
officers were being withheld under the privacy exemption. The district attorney's office also indicated
certain records were being withheld under the investigatory exemption because
their production "would disclose investigatory techniques and potentially
hinder the effectiveness of future investigations." Last, the district attorney's office claimed
that records constituting work product were being withheld under the policy
deliberation exemption.
4.
The lawsuit. On February 2, 2022,
the plaintiff commenced an action in the Superior Court pursuant to G. L.
c. 66, § 10A, seeking injunctive and declaratory relief to compel the
disclosure of public records held by the district attorney's office. In his complaint, the plaintiff sought the
same four types of records he had identified in his initial public records
request to the district attorney's office.
In September 2022, the plaintiff filed a
motion for summary judgment in which he requested an order from the Superior
Court compelling the district attorney's office to produce the documents and
information he had requested. The
district attorney's office filed both an opposition to the plaintiff's motion
and a cross motion for summary judgment, asserting that it properly had
withheld certain records and redacted certain information that was not subject
to disclosure under the public records law.
Specifically, the district attorney's office maintained that the
additional records the plaintiff sought were exempt from disclosure under at
least one -- and in some instances, multiple -- of the following statutory
exemptions from the definition of "public records": (1) G. L. c. 4, § 7,
Twenty-sixth (c) (privacy exemption); (2) G. L. c. 4, § 7,
Twenty-sixth (d) (policy deliberation exemption); and (3) G. L. c. 4,
§ 7, Twenty-sixth (f) (investigatory exemption).
The motion judge held a hearing in
February 2023 at which he reviewed several contested documents in camera. On March 10, 2023, the judge issued an order
granting the plaintiff's motion for summary judgment with minor exceptions and
entered judgment in favor of the plaintiff.
In April 2023, the district attorney's office
appealed from the judge's decision and the resulting judgment in favor of the
plaintiff. We then allowed an
application for direct appellate review submitted by the district attorney's
office.
Discussion. On appeal, the district attorney's office
claims that the motion judge erred in granting the plaintiff's motion for
summary judgment because the requested records are exempted from
disclosure. The district attorney's
office asserts, as it did below, that the privacy exemption applies to (1) the
crime scene photographs; (2) the home security videos (and still images taken
from those video recordings); (3) the names of police officers and other public
employees, which were redacted from the preliminary and final DAO reports; and
(4) the videotaped public employee interviews.
Next, the district attorney's office claims that the investigatory
exemption applies to (1) the videotaped public employee interviews; (2) the
home security videos; and (3) a list of interview questions that a State police
investigator asked the two responding officers (investigator's interview
questions). Finally, the district
attorney's office argues that the policy deliberation exemption applies to (1)
a draft of the MSP homicide report; (2) a draft of the preliminary DAO report;
and (3) the room summary. We address
each asserted exemption below.
1.
Standard of review. We review a
judge's decision on a motion for summary judgment de novo. Matter of the Estate of Jablonski, 492 Mass.
687, 690 (2023). "Summary judgment
is appropriate where there is no material issue of fact in dispute and the
moving party is entitled to judgment as a matter of law" (citation
omitted). Adams v. Schneider Elec. USA,
492 Mass. 271, 280 (2023). As summary
judgment was entered against the district attorney's office, we review the
evidence in the light most favorable to it.
See HSBC Bank USA, N.A., 490 Mass. at 326-327.
2.
Public records law. Two statutes
govern public records requests:
G. L. c. 66, § 10 (a), which requires agencies, like the
district attorney's office, to provide access to public records on request; and
G. L. c. 4, § 7, Twenty-sixth, which defines the scope of public
records. See Rahim v. District Attorney
for the Suffolk Dist., 486 Mass. 544, 547 (2020). The primary purpose of these statutes is to
provide the public "broad access to government records" and
information on "whether public servants are carrying out their duties in
an efficient and law-abiding manner" (citations omitted). Attorney Gen. v. District Attorney for the
Plymouth Dist., 484 Mass. 260, 262-263 (2020).
The Legislature broadly defined the term
"public records." See
G. L. c. 4, § 7, Twenty-sixth.[7] See also Boston Globe Media Partners, LLC, v.
Department of Pub. Health, 482 Mass. 427, 432 (2019). Paired with this broad definition is a
statutory presumption in favor of disclosure, with the burden placed on the
government agency to prove by a preponderance of the evidence that a record may
be withheld. See G. L. c. 66,
§ 10A (d) (1) (iv).
See also Rahim, 486 Mass. at 549.
The Legislature has carved out various enumerated exemptions from the
definition of "public records," including the privacy exemption, the
policy deliberation exemption, and the investigatory exemption. See G. L. c. 4, § 7,
Twenty-sixth (c), (d), (f). See also
Attorney Gen., 484 Mass. at 263. These
exemptions are "strictly and narrowly construed" (citation omitted). Boston Globe Media Partners, LLC, supra. Whether an exemption applies requires a
case-by-case analysis. See Rahim, supra.
a.
Privacy exemption. The privacy
exemption applies to "personnel and medical files or information and any
other materials or data relating to a specifically named individual, the
disclosure of which may constitute an unwarranted invasion of personal
privacy." G. L. c. 4,
§ 7, Twenty-sixth (c). In 2020, the
Legislature passed "An Act relative to justice, equity and accountability
in law enforcement in the Commonwealth."
St. 2020, c. 253. Among
other provisions, this act amended the privacy exemption of the public records
law and established the POST commission to increase transparency in law
enforcement investigations. See St.
2020, c. 253, §§ 2, 30. See also
Letter from the Governor to the Senate and House (Dec. 10, 2020), 2020 Senate
Doc. No. 2975 ("This bill makes law enforcement more accountable for
their conduct and provides the public with direct insight into officers'
performance history[,] which not only creates greater transparency in law enforcement
but also gives departments greater ability to hire or promote only qualified
applicants"). Specifically, the act
created a new carve-out within the privacy exemption for "records related
to a law enforcement misconduct investigation." G. L. c. 4, § 7, Twenty-sixth
(c), as amended through St. 2020, c. 253, § 3. That is, records that would otherwise fall
within the privacy exemption but are "related to a law enforcement
misconduct investigation" may not be withheld from disclosure under this
exemption.
On appeal, the district attorney's office
argues it properly withheld the crime scene photographs, the home security
videos, the still images, the names of officers and public officials, and the
videotaped public employee interviews under the privacy exemption. The district attorney's office claims that
disclosing the crime scene photographs would violate the decedent's privacy
rights because they reveal the decedent's "unclean bathroom" and
"unkempt home" with "trash bags piled up" as well as
"a disturbing notation on the [decedent's] calendar." The district attorney's office also contends
that releasing the home security videos and still images would create an
unwarranted invasion of privacy for private individuals who voluntarily
provided the video recordings to the district attorney's office as part of its
investigation.[8] Moreover, the district
attorney's office asserts that the names of officers and public officials
should be withheld to protect their privacy.
Last, the district attorney's office argues that withholding the
videotaped public employee interviews and instead releasing reports summarizing
their substance properly balanced the public interest "in knowing about
the conduct of the public employees" with "the privacy interests and
safety of the individuals involved."
The motion judge balanced the decedent's
privacy interest in the requested records against the public interest in
disclosure and found that the "equities substantially favor[ed]"
disclosure. See Champa v. Weston Pub.
Sch., 473 Mass. 86, 96 (2015) ("The inquiry under the privacy exemption
requires that the seriousness of any invasion of privacy be balanced against
the public right to know" [quotation and citation omitted]). We need not review the judge's application of
the balancing test because all records identified by the district attorney's
office fall under the "law enforcement misconduct investigation"
carve-out to the privacy exemption.
Thus, the privacy exemption cannot be used to withhold these records
from disclosure.
The district attorney's office argues that
"[w]here the shooting was deemed to be justified in this death
investigation under [G. L. c. 38, § 4], and no criminal
prosecution ensued, the records are not 'law enforcement misconduct' records at
all." Essentially, the district
attorney's office asserts that unless an investigation ends in a finding that a
law enforcement officer engaged in misconduct, the carve-out to the privacy
exemption does not apply.
This contention of the district attorney's
office finds no support in the language of the statute. General Laws c. 4, § 7,
Twenty-sixth (c), provides, in relevant part, that the privacy exemption
"shall not apply to records related to a law enforcement misconduct
investigation."[9] In questions of
statutory interpretation, we begin with the plain language of the statute. See Commonwealth v. Escobar, 490 Mass. 488,
493 (2022). The ordinary meaning of
"misconduct" is "[a] dereliction of duty; unlawful, dishonest,
or improper behavior, esp[ecially] by someone in a position of authority or
trust." Black's Law Dictionary 1195
(11th ed. 2019). As the district
attorney's office has acknowledged, the purpose of the investigation in this
case was to determine whether the two responding officers committed any crimes
or violated the Fall River police department's use of force policy in relation
to the decedent's death. A police
officer's commission of a crime in the performance of his or her official duty
is both "unlawful" and a "dereliction of duty." An officer's use of excessive force is
likewise a dereliction of that officer's duty.
General Laws c. 4, § 7,
Twenty-sixth (c), clearly and unambiguously states that the privacy exemption
does not apply to an "investigation" of law enforcement
misconduct. To require the investigation
to end with a finding of police misconduct places the cart before the horse and
runs counter to the goals of police accountability and transparency. Thus, the investigation into the shooting of
the decedent in this case was a "law enforcement misconduct
investigation." Accordingly, the
crime scene photographs, the home security videos, the still images, the names
of officers and public officials, and the videotaped public employee interviews
each "relate[] to a law enforcement misconduct investigation" and may
not be withheld under the privacy exemption.[10]
b.
Investigatory exemption. Under
G. L. c. 4, § 7, Twenty-sixth (f), any "investigatory
materials necessarily compiled out of the public view by law enforcement or
other investigatory officials" are exempt from the definition of
"public records" if disclosing such materials "would probably so
prejudice the possibility of effective law enforcement that such disclosure
would not be in the public interest."
This exemption is "aimed at 'the avoidance of premature disclosure
of the Commonwealth's case prior to trial, the prevention of the disclosure of
confidential investigative techniques, procedures, or sources of information,
the encouragement of individual citizens to come forward and speak freely with
police concerning matters under investigation, and the creation of initiative
that police officers might be completely candid in recording their
observations, hypotheses and interim conclusion.'" Reinstein v. Police Comm'r of Boston, 378
Mass. 281, 289 (1979), quoting Bougas v. Chief of Police of Lexington, 371
Mass. 59, 62 (1976).
This is not a blanket exemption that
applies to any record kept by a police department for an investigation. See Bougas, 371 Mass. at 65. Instead, we analyze whether this exemption
applies on a case-by-case basis. See
Globe Newspaper Co. v. Police Comm'r of Boston, 419 Mass. 852, 859 (1995). In doing so, we ask whether a requested
disclosure "would be so prejudicial to effective law enforcement that it
is in the public interest to maintain secrecy." Id.
Where an investigation is closed, this fact alone "does not
automatically terminate the applicability" of the investigatory
exemption. Rahim, 486 Mass. at 552.
The district attorney's office argues that
the investigatory exemption applies to the videotaped public employee
interviews. It reasons that disclosing
these video-recorded interviews would chill prospective witnesses, both private
and public, from agreeing to video-recorded interviews in the future.[11] The district attorney's office also claims
that release of these interviews may reduce the likelihood that officers are
"completely candid" when questioned.
We previously have examined the
application of the investigatory exemption to the statements of law enforcement
officials. For example, in Globe
Newspaper Co., 419 Mass. at 864-865, we held that statements of police officers
compiled during internal affairs and criminal investigations were not subject
to the investigatory exemption. Given
the available summaries of the internal affairs investigation, the evident
public purpose behind the investigation, and prior publicity of these
summaries, any harmful effect that disclosure might have had was diminished. See id.
Because of the previous publicity, disclosing the officers' statements
was unlikely to decrease the likelihood that officers would be completely
candid in recording their observations, especially where the possibility of
public disclosure was "surely apparent" to the officers at the time
they made these statements. See id.
In Rahim, 486 Mass. at 554-555, we held
that the investigatory exemption applied to certain records that a district
attorney acquired during an investigation into a fatal shooting by law
enforcement officials. The district
attorney identified one withheld document as a five-page statement signed by a
Federal agent "concerning actions taken and observations made regarding
the shooting," and which "include[d] a one page annotated aerial
photograph." Id. at 554. While "succinct," this description
successfully demonstrated that the records sought identified at least one law
enforcement official, described the official's "observations, hypotheses,
and interim conclusion," and included a photograph related to these
observations. Id., quoting Bougas, 371
Mass. at 62. We remanded to the Superior
Court for a determination whether the investigatory exemption applied to other
material that was inadequately described and instructed the district attorney
to either provide a revised description with "enough details about the
nature and scope of the materials" or, where "fuller
descriptions" were not possible, to seek in camera review of the material
at issue. Rahim, supra at 555-556.
Here, the district attorney's office
contends that disclosure of the videotaped public employee interviews would
hamper investigation by discouraging witnesses -- both private and public --
from agreeing to video-recorded interviews in the future. However, the video recordings at issue do not
depict interviews of private citizens but rather the interviews of seven Fall
River police officers and two paramedics.
Where we previously have stated that the investigatory exemption is
aimed at "the encouragement of individual citizens to come forward and
speak freely with police" (emphasis added), Bougas, 371 Mass. at 62, we
only have considered this factor for private individuals -- not public
officials performing duties in their official capacity. See Rahim, 486 Mass. at 551; Globe Newspaper
Co., 419 Mass. at 859; District Attorney for the Norfolk Dist. v. Flatley, 419
Mass. 507, 512 (1995); WBZ-TV4 v. District Attorney for the Suffolk Dist., 408
Mass. 595, 603 (1990); Reinstein, 378 Mass. at 289.
Although the district attorney's office
asserted this exemption before the motion judge, the judge did not address
whether the investigatory exemption applied to these interviews. Therefore, we remand to the Superior Court to
address whether the district attorney's office has met its burden to show that
the investigatory exemption applies.[12]
If the judge finds that the investigatory exemption applies to any
record on remand, then the district attorney's office may withhold that record
even if another exemption does not apply.
See Globe Newspaper Co., 419 Mass. at 857.
c.
Policy deliberation exemption.
Under the policy deliberation exemption, "inter-agency or
intra-agency memoranda or letters relating to policy positions being developed
by [an] agency" are exempt from the definition of "public
records"; however, "reasonably completed factual studies or reports
on which the development of such policy positions has been or may be
based" are not exempt. G. L.
c. 4, § 7, Twenty-sixth (d). See Suffolk Constr. Co. v. Division of Capital
Asset Mgt., 449 Mass. 444, 457 (2007) (policy deliberation exemption applies to
"advisory opinions, recommendations and deliberations compromising part of
a process by which governmental decisions and policies are formulated"
[citation omitted]). This exemption
protects "open, frank intra-agency and intra-agency deliberations
regarding government decisions."
DaRosa v. New Bedford, 471 Mass. 446, 457 (2015). See General Elec. Co. v. Department of Envtl.
Protection, 429 Mass. 798, 807 (1999), overruled in part by DaRosa, supra at
453 (purpose of policy deliberation exemption "is to foster independent
discussions between those responsible for a governmental decision in order to
secure the quality of the decision").
In applying this exemption, the court
utilizes the work product doctrine and looks to Mass. R. Civ. P. 26, as
amended, 474 Mass. 1401 (2016), for guidance.
See DaRosa, 471 Mass. at 458.
There are two forms of work product:
opinion and fact. Id. Opinion work product is material that
contains "the mental impressions, conclusions, opinions, or legal theories
of an attorney or other representative of a party concerning the
litigation." Id. at 459, quoting
Mass. R. Civ. P. 26 (b) (3). All other
work product is considered fact work product.
See Attorney Gen. v. Facebook, Inc., 487 Mass. 109, 128 (2021)
(Facebook). Absent a "highly
persuasive showing" otherwise, opinion work product is exempt from
disclosure (citation omitted). DaRosa,
supra. Conversely, fact work product
must be disclosed "if it is a 'reasonably completed factual stud[y] or
report[] on which the development of [an agency's] policy positions has been or
may be based.'" Id., quoting
G. L. c. 4, § 7, Twenty-sixth (d).[13] Where a reasonably completed factual study or
report is intermingled with opinion, "a purely factual section of the
report might fall outside [the policy deliberation exemption] but a discussion
or analysis section interwoven with facts would be protected from disclosure." DaRosa, supra at 460.
Here, the district attorney's office
identifies three documents that it claims are work product to which the policy
deliberation exemption applies: (1) a
draft of the MSP homicide report, (2) a draft of the preliminary DAO report,
and (3) the room summary. The motion
judge found that these three records were fact-based documents to which the
policy deliberation exemption did not apply.
We agree that the district attorney's office has not proven that the
policy deliberation exemption applies to either the draft of the MSP homicide
report or the room summary. The draft of
the MSP homicide report includes only factual details of the decedent's death. Similarly, the room summary, written by an
assistant district attorney, contains only facts relating to the layout of the
decedent's residence, a brief summary of the conversation between the decedent
and the officers prior to the shooting, and a description of the altercation
between the decedent and the officers.
As neither document contains any "mental impressions, conclusions,
opinions, or legal theories," these records are not opinion work
product. See DaRosa, 471 Mass. at
459. Further, the district attorney's
office has not met its burden of showing that these documents are not
reasonably completed factual studies or reports.
The draft of the preliminary DAO report
stands on somewhat different footing.
Like the other two records at issue, the motion judge correctly noted
that this draft report primarily is comprised of factual detail. For example, the draft report includes --
much like the preliminary DAO report and the final DAO report, both of which
were released to the public -- sections that detail the decedent's criminal
background, the initial domestic violence report to officers by the decedent's
girlfriend, and the shooting. Where
sections of the draft report are identical to the corresponding sections in
either of the publicly available reports, the district attorney's office has
effectively waived the work product privilege with respect to these
sections. See Facebook, 487 Mass. at 135
(party cannot claim protection for opinion work product for information it has
released publicly).
However, the draft report is not
completely identical. Comparing the
different iterations of the DAO report reveals that certain sections of the
draft report, labeled "Applicable Laws" and "Conclusion,"
are different from the corresponding sections in the publicly available
reports. These sections also contain
discussions of the law and legal analysis addressing whether the responding
officers had committed any crime and whether the shooting was justified. Because these sections differ from their
publicly available counterparts, they may convey the "mental impressions,
conclusions, opinions, or legal theories" as to the criminal
responsibility of the officers. See
Facebook, 487 Mass. at 127. Moreover,
that the final DAO report was voluntarily released to the public does not mean
that these sections of an earlier draft report are not protected work
product. See Gilhuly v. Johns-Manville
Corp., 100 F.R.D. 752, 755 n.4 (D. Conn. 1983) ("Disclosure of a final
draft does not automatically waive the work product privilege of prior
drafts").
Therefore, it was error for the judge to
order disclosure of the entire draft preliminary DAO report. While the district attorney's office has not
met its burden of showing that the entire draft report is not a reasonably
completed factual study or report, see DaRosa, 471 Mass. at 460, the district
attorney's office has met its burden of showing that the policy deliberation
exemption applies to the "Applicable Laws" and "Conclusion"
sections of the draft report. These two
sections are severable from the purely factual sections of the draft
report. Therefore, the "Applicable
Laws" and "Conclusion" sections of the draft report may be
redacted, and the remaining factual sections of the report must be disclosed.
3.
General Laws c. 6E. The
district attorney's office separately claims that the POST commission has
exclusive authority under G. L. c. 6E, §§ 1 et seq., to release
publicly the names of police officers in connection with any investigations,
thereby taking such information out of the purview of the public records law.[14] In support, the district attorney's office
points to the level of detail within G. L. c. 6E, §§ 1 et seq.,
which it argues creates a clear implication that the Legislature intended the
POST commission to be the exclusive avenue for members of the public to access
law enforcement officers' names.
We turn to the plain language of the
statutory scheme at issue, which established the creation of the POST
commission. See G. L. c. 6E,
§ 2. Among other provisions, the
statutory scheme grants the POST commission the authority to "establish
uniform policies and standards for the certification of all law enforcement
officers," G. L. c. 6E, § 4; "to investigate officer
misconduct," G. L. c. 6E, § 8; and to "promulgate
rules and regulations for the use of force by law enforcement officers,"
G. L. c. 6E, § 15.
Notably absent from this statutory scheme is any provision granting the
POST commission exclusive authority to determine whether to release the names
of officers involved in law enforcement misconduct investigations. "We do not read into the statute a
provision which the Legislature did not see fit to put there, nor add words
that the Legislature had the option to, but chose not to include"
(citation omitted). Commonwealth v.
Dones, 492 Mass. 291, 297 (2023). Based
on the plain language of the statute, the statutory construction argument of
the district attorney's office fails, and we need not proceed any further. See Commonwealth v. Narvaez, 490 Mass. 807,
809 (2022) ("we follow the plain language when it is unambiguous and when
its application would not lead to an absurd result, or contravene the
Legislature's clear intent" [citation omitted]).[15]
Conclusion. Because the "Applicable Laws" and
"Conclusion" sections of the draft preliminary DAO report are exempt
from disclosure, we reverse the motion judge's order with respect to the
mandated disclosure of these sections.
We also reverse insofar as the order requires disclosure of the videotaped
public employee interviews and the investigator's interview questions, and we
remand this case to the Superior Court for further proceedings to determine
whether the investigatory exemption applies to the interviews or the
investigator's interview questions. In
all other respects, the order and judgment in favor of the plaintiff are
affirmed.[16]
So ordered.
BUDD, C.J. (concurring). I agree that this matter should be remanded
to allow the judge to address whether the investigatory exemption to the public
records law applies to the videotaped interviews of public employees, an issue
the judge did not address. See
G. L. c. 66, § 10A (d) (1) (iv);
G. L. c. 4, § 7, Twenty-sixth (f).[1] I write separately to note that although the
district attorney for the Bristol district (district attorney's office) argues
that records of police interviews fall under the exemption because disclosure
could disincentivize officers from being candid, attending to this concern is
not in keeping with the letter or spirit of the public records law.
The district attorney's office's argument
stems from this court's discussion of the investigatory exemption's possible
aims in Bougas v. Chief of Police of Lexington, 371 Mass. 59 (1976). In that case, the court concluded that the
records the plaintiffs sought were exempt from disclosure under the language of
G. L. c. 4, § 7, Twenty-sixth (f). Id. at 62.[2]
In discussing the statute generally, the court also listed possible
reasons that the Legislature provided for an investigatory exemption:
"Included
among the purposes in providing this exemption would be the avoidance of
premature disclosure of the Commonwealth's case prior to trial, the prevention
of the disclosure of confidential investigative techniques, procedures, or
sources of information, the encouragement of individual citizens to come
forward and speak freely with police concerning matters under investigation,
and the creation of initiative that police officers might be completely candid
in recording their observations, hypotheses and interim conclusions"
(emphasis added).
Id.
This court since has repeated the Bougas
language when discussing the investigatory exemption, including its reference
to officer candor, on several occasions.
See, e.g., Rahim v. District Attorney for the Suffolk Dist., 486 Mass.
544, 551, 554-555 (2020); Reinstein v. Police Comm'r of Boston, 378 Mass. 281,
289 (1979). However, in only two
subsequent cases has this court specifically addressed the argument. In Rahim, supra, this court concluded,
without elaboration, that a district attorney's office's justification as to
why one record could be shielded under the investigatory exemption was
"sufficient," where the record both displayed "the
identity" of a Federal Bureau of Investigation agent and contained that
agent's "observations, hypotheses, and interim conclusions" about the
incident. Id. at 554-555, citing Bougas,
371 Mass. at 62. In the other case,
Globe Newspaper Co. v. Police Comm'r of Boston, 419 Mass. 852, 864 (1995), the
court directly considered the effect that the disclosure of the police
statements at issue might have on officer candor, concluding that disclosure
would not "seriously threaten" it.
Moreover, in Globe Newspaper Co., the court appeared to question the
premise of the Bougas court's concern by noting that other courts have
concluded "with some persuasiveness" that, rather than deter officer
candor, "limited disclosure of investigatory materials might promote
candor." Id. at 865 n.13.[3]
Presuming that disclosure would be
detrimental to officer candor provides police departments (and other agencies)
with a ready excuse to oppose the disclosure of information, which otherwise
would be available to the public, based on a speculative, intangible, and
largely unverifiable concern. Cf. Kelly
v. San Jose, 114 F.R.D. 653, 664 (N.D. Cal. 1987) ("the premise that .
. . investigating officers will be less forthright in expressing their
opinions if there is a risk of disclosure[] is empirically unsupported and very
debatable"). As other decisions
favorably cited by this court have acknowledged, see Globe Newspaper Co., 419
Mass. at 865 n.13, if anything, "the stronger working hypothesis is that
fear of disclosure is more likely to increase candor than to chill it,"
King v. Conde, 121 F.R.D. 180, 193 (E.D.N.Y. 1988).[4]
An approach that allows concerns for the
effect that disclosure might have on officer candor to drive disclosure
determinations cannot be squared with the public records statute's
"presumption" of disclosure, against which exemptions must be
"strictly and narrowly construed" (citations omitted). Boston Globe Media Partners, LLC v.
Department of Pub. Health, 482 Mass. 427, 432 (2019). It also conflicts with one of the primary
purposes of the public records law, i.e., empowering the public to ensure that
"public servants are carrying out their duties in an efficient and
law-abiding manner." Attorney Gen.
v. District Attorney for the Plymouth Dist., 484 Mass. 260, 262-263 (2020),
citing Attorney Gen. v. Collector of Lynn, 377 Mass. 151, 158 (1979). Transparency is especially critical in the
context of community members' interactions with law enforcement. See District Attorney for the Plymouth Dist.,
supra at 263 (transparency is "an essential ingredient of public
confidence in government" [citation omitted]). See also St. 2020, c. 253, § 2 (amending
public records law to clarify that "records related to a law enforcement
misconduct investigation" shall not be exempt from disclosure under
privacy exemption).
Accordingly, I am doubtful of the
arguments to that effect raised by the district attorney's office and wary of
embracing the idea, despite its appearance in some of our cases.
footnotes
[1] We
acknowledge the amicus briefs submitted by the district attorney for the
northwestern district; National Police Accountability Project; Lawyers for
Civil Rights Boston, Citizens for Juvenile Justice, National Lawyers Guild, New
England First Amendment Coalition, and Strategies for Youth, Inc.; and Andrew
Quemere, Committee for Public Counsel Services, and American Civil Liberties
Union of Massachusetts, Inc. We also
acknowledge the amicus letter submitted by the POST commission.
[2] The officers
were identified as "the male officer" and "the female
officer" in the final DAO report, pursuant to a policy of the district
attorney's office to refrain from publicly identifying officers involved in
fatal shootings when no criminal charges are issued. The officers were named, however, in a search
warrant affidavit and in the plaintiff's complaint.
[3] After
conducting a search of the residence, officers reported finding a total of
three steak knives at various locations in the decedent's bedroom.
[4] No
independent internal affairs investigation of the Fall River police department
was performed.
[5] The names of
the officers being interviewed, among other information, are redacted from the
interview summaries appended to the MSP homicide report. A draft of the MSP homicide report, discussed
infra, was completed in November 2021.
The district attorney's office released the final MSP homicide report
online to the public in April 2022. The
most significant difference between the final MSP homicide report and the draft
MSP homicide report is the "approved" status indicated at the top of
the document.
[6] The
preliminary DAO report mistakenly was referred to as the final report in an
initial e-mail message to the plaintiff.
On December 22, 2021, a staff member at the district attorney's office
sent an e-mail message to the plaintiff indicating that a "final
report" on the shooting was attached.
However, this same staff member later submitted an affidavit in which he
explained that he had incorrectly assumed that the report was final. In addition to the preliminary DAO report
that was sent to the plaintiff and the final DAO report that was released to
the public, the district attorney's office prepared an earlier draft
preliminary DAO report, discussed infra, that was circulated within the
district attorney's office and "subject to attorney review."
[7] Specifically,
the term "public records" is defined, subject to certain exemptions,
as:
"all books,
papers, maps, photographs, recorded tapes, financial statements, statistical
tabulations, or other documentary materials or data, regardless of physical
form or characteristics, made or received by any officer or employee of any
agency, executive office, department, board, commission, bureau, division or
authority of the commonwealth, or of any political subdivision thereof, or of
any authority established by the general court to serve a public purpose, or
any person, corporation, association, partnership or other legal entity which
receives or expends public funds for the payment or administration of pensions
for any current or former employees of the commonwealth or any political
subdivision as defined in [G. L. c. 32, § 1]."
G. L.
c. 4, § 7, Twenty-sixth.
[8] The
plaintiff's request for video footage is limited to video recordings that show
either the decedent or the Fall River police department officers.
[9] The phrase
"related to" is construed broadly.
See, e.g., Marsh v. Massachusetts Coastal R.R., 492 Mass. 641, 651 n.21
(2023), petition for cert. filed, U.S. Supreme Ct., No. 23-669 (Dec. 21,
2023); Machado v. System4 LLC, 471 Mass. 204, 206 (2015).
[10] That the
privacy exemption does not apply to the videotaped public employee interviews
does not necessarily mean that the interviews must be disclosed. As discussed infra, this matter will be
remanded for a determination whether the investigatory exemption applies to the
videotaped public employee interviews.
[11] In addition
to potentially chilling future witnesses, the district attorney's office had
claimed that the release of these videotapes "might also indirectly
reveal" the identities of the two officers who were present at the
shooting. However, as discussed supra,
the names of these two officers were revealed in a trooper's affidavit and thus
already known to the public.
[12] The district
attorney's office has also asserted that the investigatory exemption applies to
the investigator's interview questions and to the home security videos. The motion judge did not address whether this
exemption applies to the interview questions.
Therefore, we also remand so that the judge may determine whether the
district attorney's office met its burden to show the investigatory exemption
applies to the investigator's interview questions. The judge did, however, consider whether the
release of the home security videos would "interfere with future
investigations." The district
attorney's office claims that releasing the home security videos will
discourage citizens from coming forward and volunteering information, harming
future investigations. We are not
convinced. As discussed supra, the home
security videos depict public employees, not private citizens, performing their
duties in public areas. We hold that the
district attorney's office has failed to demonstrate how the disclosure of
these video recordings "would probably so prejudice the possibility of
effective law enforcement that such disclosure would not be in the public interest." See G. L. c. 4, § 7,
Twenty-sixth (f). Therefore, the
district attorney's office has not met its burden of showing that the
investigatory exemption applies to the home security videos.
[13] The policy
deliberation exemption is a "time-limited protection" (citation
omitted). DaRosa, 471 Mass. at 455. It "protects documents from disclosure
only while policy is 'being developed,' that is, while the deliberative process
is ongoing and incomplete" (quotation and citation omitted). Id. at 459 n.16.
[14] The POST
commission was created through the same act that added the carve-out for law
enforcement misconduct investigations to the privacy exemption. See St. 2020, c. 253, §?30
(effective July 1, 2021).
[15] Insofar as
the district attorney's office claims that, because of the comprehensive nature
of G. L. c. 6E, §§ 1 et seq., the public records law impliedly
was repealed to the extent that it allows for the disclosure of officers'
names, this argument also fails because we do not see an "irreconcilable
conflict" between the two statutory schemes (citation omitted). See Concord v. Water Dep't of Littleton, 487
Mass. 56, 61 (2021).
[16] In his
brief, the plaintiff has requested that we award him appellate attorney's fees
and costs. We decline to do so.
footnotes for concurring
[1] General Laws
c. 4, § 7, Twenty-sixth (f), exempts from disclosure
"investigatory
materials necessarily compiled out of the public view by law enforcement or
other investigatory officials the disclosure of which materials would probably
so prejudice the possibility of effective law enforcement that such disclosure
would not be in the public interest."
[2] The
plaintiffs in that case sought police reports of an incident that allegedly
involved police misconduct. Bougas, 371
Mass. at 60-61. Noting that the records
contained "complete accounts of police investigatory efforts including the
police officer's own observations of the incident in question, statements taken
from witnesses, additional information obtained from other sources, some
confidential, and leads and tips to be pursued," the court concluded that
the requested reports fell under the investigatory exemption because they were
"prepared by police officers in connection with their investigation of an
incident which led to criminal proceedings." Id. at 62.
[3] In Globe
Newspaper Co., 419 Mass. at 865 n.13, the court cited three Federal cases that
emphatically rejected the argument that police records may be withheld due to
the same concern regarding officer candor.
See id., citing Kelly v. San Jose, 114 F.R.D. 653, 664-666 (N.D. Cal.
1987); Wong v. New York, 123 F.R.D. 481, 483 (S.D.N.Y. 1989); and King v.
Conde, 121 F.R.D. 180, 193 (E.D.N.Y. 1988).
[4] Notably, we
are not aware of any case since Bougas was decided in which the Commonwealth
demonstrated that concern for police candor was a viable reason to shield
police testimony, including in the instant case. See G. L. c. 66,
§ 10A (d) (1) (iv) ("the burden shall be on the
defendant agency or municipality to prove, by a preponderance of the evidence,
that such record or portion of the record may be withheld in accordance with
[S]tate or [F]ederal law").