Pa.R.J.A. 509 (Financial Records Access)

Rule 509. Access to Financial Records.

(a) General Policy. Financial records of the Unified Judicial System are

presumed to be open to any member of the public for inspection or copying

during established business hours. The term “financial records” is defined

as any account, contract, invoice or equivalent dealing with: 1) the receipt or

disbursement of funds appropriated to the system; or 2) acquisition, use or

disposal of services, supplies, materials, equipment or property secured

through funds appropriated to the system.

(b) Accessibility. All financial records are accessible to the public except

the following:

(1) any part of a record setting forth information to which access is

otherwise restricted by federal law, state law, court rule, court order or

court policy;

(2) any part of a record setting forth a person’s social security number,

home address, home telephone number, date of birth, operator’s

license number, e-mail address, or other personal information;

(3) any part of a record setting forth financial institution account

numbers, credit card numbers, personal identification numbers (PINs)

and passwords used to secure accounts;

(4) any part of a record setting forth information presenting a risk to

personal security, personal privacy, or the fair, impartial and orderly

administration of justice, as determined by the Court Administrator of

Pennsylvania.

(c) Procedure for Requesting Access.

(1) A request to inspect or obtain copies of records accessible

pursuant to this rule and in possession or control of the Administrative

Office of Pennsylvania Courts shall be made in writing to the records

manager, as designated by the Court Administrator of Pennsylvania.

A request to inspect or obtain copies of records accessible pursuant to

this rule and in possession or control of a court of a judicial district

shall be made in writing to the records manager, as designated by the

president judge. A written request may be submitted in person, by

mail, by e-mail, by facsimile, or, to the extent provided, any other

electronic means, on a form provided by the Administrative Office.

Note: Information related to procedures applicable to written

requests to the AOPC may be found on the UJS website, located

at www.courts.state.pa.us. Information related to procedures

applicable to requests for courts within a judicial district

should be posted on the local court’s website.

(2) A request should identify or describe the records sought with

sufficient specificity to enable the records manager to ascertain which

records are being requested. A request need not include any

explanation of the requester’s reason for requesting or intended use of

the records.

(3) The records manager shall not be required to create financial

records which do not currently exist or to compile, maintain, format or

organize such records in a manner in which the records are not

currently compiled, maintained, formatted or organized.

(4) Within 10 business days of receipt of a written request, the

records manager shall respond in one of the following manners:

(i) fulfill the request, or if there are applicable fees and costs

that must be paid by the requester, notify requester that the

information is available upon payment of same;

(ii) notify the requester in writing that the requester has not

complied with provisions in this rule and specifically identify

the reason(s) why;

(iii) notify the requester in writing that the information cannot

be provided and specifically identify the reason(s) why;

(iv) notify the requester in writing that the request has been

received and the expected date that the information will be

available, not to exceed 30 business days.

Note: Subsection (c)(4)(iv) contemplates that bona fide reasons

may impede the ability of the records manager to fulfill a

request within 10 business days (e.g., extensive redaction

required of personal identifiers; retrieval of a record(s) stored

in a remote location may be required; timely response cannot

be accomplished due to staffing limitations; or the extent or

nature of the request precludes a response within the requisite

time period).

(5) If the AOPC records manager denies a written request for access,

the denial may be appealed in writing within 15 business days of the

mailing date of the written response by the records manager to the

Court Administrator of Pennsylvania or designee. Within 20 business

days of receipt of the appeal, the Court Administrator or designee

shall make a determination and forward it in writing to the requester.

This remedy need not be exhausted before other relief is sought. Any

further appeal shall be subject to Chapter 15, Judicial Review of

Governmental Determinations, of the Pennsylvania Rules of Appellate

Procedure.

If the records manager of a judicial district denies a written request for

access, the denial may be appealed in writing within 15 business days

of the mailing date of the written response by the records manager to

the president judge or designee. Within 20 business days of receipt of

the appeal, the president judge or designee shall make a determination

and forward it in writing to the requester. This remedy need not be

exhausted before other relief is sought. Any further appeal shall be

subject to Chapter 15, Judicial Review of Governmental

Determinations, of the Pennsylvania Rules of Appellate Procedure.

(d) Fees.

(1) Reasonable costs incurred in providing public access to records

may be charged pursuant to this rule. Such costs may include, but are

not limited to, postage, photocopying, copying onto electronic media,

transmission by facsimile or other electronic means, and other means

of duplication.

(2) Prior to granting a request for access in accordance with this rule,

the records manager may require a requester to prepay an estimate of

the fees associated with the request, if the fees are expected to exceed

$100.

(e) Publication of Financial Record Information.

(1) The Administrative Office shall make contract information available on

the Unified Judicial System’s website.

(2) For the appellate courts and Administrative Office, the Unified Judicial

System’s website shall also contain:

(i) appropriation names, descriptions and annual funding amounts;

(ii) expenditure data, including name and address of entity

receiving payment, payment amount, applicable appropriation

and fiscal year;

(iii) employee complement information, including position title and

current annual salary, posted on a monthly basis; and

(iv) a listing of position titles and total annual compensation paid as

of the end of the prior calendar year for each employee, posted

on a yearly basis.

Note: The Pennsylvania Judiciary’s long-standing practice of

providing open, public access to its records, both administrative and

case-related, has been formalized in this rule and other policies

adopted by the Supreme Court. The underlying premise for public

access policies and practices in the Unified Judicial System is always

the presumption of open records.

Initially promulgated by the Supreme Court on May 14, 2007,

this rule furthers the Judiciary’s commitment to establishing

systematic processes for requesting and accessing state court system

records. The rule took effect July 1, 2007.

The enactment of revisions to the Right-to-Know Law (Act 3 of

2008) occurred on February 14, 2008. Act 3 includes the judiciary

only as it pertains to access of financial records, as defined by the

Act, and regarding the Internet publication of judiciary contracts by

the Commonwealth’s Treasury Department. Section 304 of Act 3 of

2008 provides that a “judicial agency shall provide financial records

in accordance with this act or any rule or order of court providing

equal or greater access to the records.” [Emphasis added.].

This rule, as amended, is promulgated pursuant to the

Pennsylvania Supreme Court’s constitutional authority regarding the

administration of the courts under Article V, Section 10 and Section

304 of Act 3 of 2008. The expansion of the scope of this rule is in

accordance with the continuing effort to promote the Unified Judicial

System’s policy of the public’s right of access to records that deal

with the use of public funds.

Pursuant to the Supreme Court’s Order of June 23, 2008,

access to financial records and publication of contract information of

the Unified Judicial System shall be provided in accordance with this

rule.

Effective on December 17, 2012, the Supreme Court directed

the Administrative Office to augment the Unified Judicial System’s

website to include annual appropriation, expenditure, personnel

complement and annual compensation information for the appellate

courts and Administrative Office of Pennsylvania Courts, pursuant to

its Order of November 8, 2012. The term “entity” shall not include

employees of the Unified Judicial System.