C.A. Hoffman v. Norfolk Southern Railway Co. ~ Appeal of: The Patriot News/PennLive
CourtCommonwealth Court of Pennsylvania
Date FiledAugust 17, 2026
Docket1162 C.D. 2024
JudgeCohn Jubelirer
StatusPublished
📰 News Coverage: Read the LAWS.com news report on this case
Full Opinion
IN THE COMMONWEALTH COURT OF PENNSYLVANIA
Cory A. Hoffman, as Administrator :
of the Estate of Trisha Lyn Hoffman, :
and in his own right :
:
v. : No. 1162 C.D. 2024
: Argued: September 11, 2025
Norfolk Southern Railway Company :
and Pennsylvania Fish and Boat :
Commission :
:
Appeal of: The Patriot News/ :
PennLive :
BEFORE: HONORABLE RENÉE COHN JUBELIRER, President Judge
HONORABLE MICHAEL H. WOJCIK, Judge (P.)
HONORABLE MATTHEW S. WOLF, Judge
OPINION BY
PRESIDENT JUDGE COHN JUBELIRER FILED: August 17, 2026
The Patriot News/PennLive (Patriot News)1 appeals from the Order of the
Court of Common Pleas of Dauphin County (common pleas) entered on June 25,
2024, denying Patriot News’ Motion to Intervene and Unseal (Motion). The Motion
requested that common pleas unseal a Petition for Approval of Wrongful Death and
Survival Action under Seal (Petition for Approval) and accompanying documents
relating to two settlement agreements (together, Settlement Agreements) between
Cory A. Hoffman (Hoffman), as Administrator of the Estate of Trisha Lyn Hoffman
(Decedent) and in his own right, and Norfolk Southern Railway Company (Norfolk
Southern) and the Pennsylvania Fish and Boat Commission (PFBC),2 respectively.
1
Patriot News is a digital news platform with general digital circulation providing news
coverage in Pennsylvania and its neighboring regions.
2
The PFBC is an independent administrative commission. Section 301(a) of the Fish and
Boat Code, 30 Pa.C.S. § 301(a).
Common pleas’ initial order sealing the Settlement Agreements was not appealed
and went unchallenged until Patriot News’ Motion. Because we clarify the shifting
burdens of proof relevant to a motion seeking to open an unappealed order sealing
court records, and it is not clear from the record that the parties understood their
respective burdens, including evidentiary burdens, we vacate and remand for further
proceedings consistent with this opinion.
I. BACKGROUND
A. Common Pleas’ Proceedings
The relevant facts of this case are not contested.3 This case stems from a tragic
accident where, on September 5, 2016, a vehicle driven by Decedent, Hoffman’s
wife and the mother of their then three-month-old child (Child), was struck by a train
operated by Norfolk Southern resulting in her death. The accident occurred while
Decedent was leaving a boat launch owned by the PFBC in Halifax Township,
Pennsylvania. (Common Pleas’ Opinion (Op.) at 2.)4 The PFBC closed the boat
launch, and it remains closed. Patriot News published several articles between 2016
and 2017 related to Decedent’s death, the accident, and the safety of the railroad
crossing and boat launch. (Id. at 3.)
Following this accident, Hoffman filed negligence claims against Norfolk
Southern and the PFBC, and extensive litigation ensued between the parties for over
five years. (Id.) Motions for summary judgment, motions in limine, responses and
briefs were filed on the public docket, and oral arguments were heard in open court.
Before trial commenced, Hoffman reached a settlement with Norfolk Southern and
3
See, e.g., Real Pro Enters., LP v. New Hanover Township (Pa. Cmwlth., No. 1347 C.D.
2021, filed Oct. 4, 2024), slip op at 1 n.2 (noting that the relevant facts were not in dispute and
deriving the background from the trial court’s opinion and original record).
4
Common Pleas’ Opinion begins on page 319a of the Reproduced Recorded.
2
the PFBC. However, because the minor child was included in the Settlement
Agreements, in accordance with Rule 2206(a) of the Pennsylvania Rules of Civil
Procedure, common pleas had to approve the Settlement Agreements as being “fair
and equitable” before they could be executed. Pa.R.Civ.P. 2206(a). The Settlement
Agreements thus were filed with common pleas for approval.
Therefore, on November 14, 2022, Hoffman filed on the record a Joint
Petition to File Under Seal the Petition for Approval of Wrongful Death and Survival
Action (Petition to Seal). (Common Pleas’ Op. at 4.) Hoffman sought to file the
Settlement Agreements and accompanying documents under seal contending that
members of the community appeared to blame Decedent, Hoffman, and Child for
the accident and closure of the boat launch, and because the Settlement Agreements
required Hoffman to take steps to maintain the confidentiality of the Settlement
Agreements. The Petition to Seal was granted by the Honorable John F. Cherry, the
common pleas’ judge overseeing the proceedings at the time, in a two-sentence
order, in which no findings supporting closure were made.5 (Id.; Reproduced Record
(R.R.) at 101a.) On November 22, 2022, Hoffman filed the Petition for Approval
and accompanying documents, which were approved by Judge Cherry and sealed.
(Common Pleas’ Op. at 4.)
The case was then marked discontinued and ended on March 20, 2023. (Id.
at 5.) The Petition for Approval and accompanying documents remain under seal
pursuant to common pleas’ sealing orders. (Id. at 4.)
5
While both the Petition to Seal and the order granting that petition were arguably subject
to the sealing order, they do not contain any financial or confidential information and appear,
unredacted, in the Reproduced Record at pages 90a to 102a.
3
Patriot News sought access to the Settlement Agreement with the PFBC via
the Right-to-Know Law6 (RTKL) in May 2023, which the PFBC denied on June 2,
2023, based on common pleas’ sealing of the Settlement Agreements. On October
23, 2023, approximately one year after the initial sealing order was entered, Patriot
News filed the Motion, seeking to intervene in the matter and requesting common
pleas to unseal the Petition for Approval and accompanying documents. (Id.)
Hoffman and Norfolk Southern opposed the Motion, and the PFBC did not
participate. (Id.) On February 21, 2024, the case was reassigned to the Honorable
Andrew H. Dowling. (R.R. at 303a.) On February 26, 2024, Judge Dowling held a
hearing on the Motion, where counsel for the parties presented oral argument. (Id.
at 304a-14a.) Hoffman was present at the hearing but did not testify. (Id.) Neither
party presented evidence at the hearing, with Hoffman’s counsel indicating he could
not produce evidence of the original comments from the community blaming
Decedent, Hoffman, and Child because Patriot News no longer had the comments
online. (Id. at 312a.)
B. Common Pleas’ Opinion
On June 25, 2024, common pleas denied the Motion. In its accompanying
memorandum opinion, common pleas first considered whether Patriot News had
demonstrated good cause to modify Judge Cherry’s order originally placing the
Settlement Agreements under seal. (Common Pleas’ Op. at 5 (citing In re Est. of
duPont (duPont II), 2 A.3d 516, 525 (Pa. 2010)).)7 Common pleas reasoned that,
6
Act of February 14, 2008, P.L. 6, 65 P.S. §§ 67.101-67.3104.
7
Initially, common pleas noted that Patriot News was not required to formally intervene to
petition for the unsealing of the settlement agreements because the judicial proceedings had
concluded. (Common Pleas’ Op. at 4-5 (citing Milton Hershey Sch. v. Pa. Hum. Rels. Comm’n,
226 A.3d 117, 123 (Pa. Cmwlth. 2020)).)
4
under duPont II, a request to open sealed records is a distinct issue from whether
records should be sealed in the first place. (Id.) Specifically, common pleas
determined that Patriot News did not demonstrate the requisite “good cause” to open
the sealed Settlement Agreements based on the asserted interest of public safety.
(Id.) Common pleas noted that most of the documents filed in the litigation remain
publicly available, including the parties’ claims, expert reports reflecting their
opinions as to which entities bore responsibility for the accident, public hearings
held by the PFBC, and the applicable regulations. (Id. at 5-6.) Common pleas found
that the only documents Patriot News cannot access are the sealed Settlement
Agreements, and no evidence was presented by Patriot News that unsealing these
documents “would shed additional light on the safety of the subject railroad crossing,
the subject boat launch, or the closure of the subject boat launch,” because “[t]he
[s]ettlement [d]ocuments contain nothing regarding public safety or information as
to the specific crossing.” (Id. at 6.)
Common pleas next considered whether unsealing the Settlement Agreements
would allow Patriot News to enlighten the public as to the attribution of fault and
liability between the parties. (Id.) Common pleas noted that typical settlement
agreements contain language denying liability and all that the instant Settlement
Agreements do is “set forth the allegations that were made, which are available in
the publicly filed pleadings, the history of the case, which is also available in the
publicly filed pleadings, [and] the total settlement amount and the proposed
distribution of said settlement.” (Id.) Therefore, common pleas determined that
because the only information in the Settlement Agreements that is not part of
publicly available documents is “purely financial information” and how the same
will be distributed, Patriot News did not establish how disclosure would be useful to
5
the public. Instead, common pleas noted that the public’s interest in the sealed
information was based on curiosity, which is not a permissible basis for opening
sealed records. (Id. at 6-7 (citing Katz v. Katz, 514 A.2d 1374, 1377 (Pa. Super.
1986)).)8
Common pleas also considered Patriot News’ claim that the RTKL is
applicable to the instant case and determined that the propriety of a trial court
decision sealing documents is distinct from the public access requirements of the
RTKL and the issue of Patriot News’ RTKL request was not properly before
common pleas. (Id. at 7 (citing Section 101 of the RTKL, 65 P.S. § 67.101).)
Specifically, common pleas reasoned that the Motion did not constitute a request for
judicial review of the PFBC’s denial of Patriot News’ request made under the RTKL
because Patriot News was notified of the proper appeal procedures and did not
appeal the PFBC’s denial of disclosure to the OOR. (Id. at 8 (citing Kyziridis v. Off.
of Northampton Cnty. Dist. Att’y, 308 A.3d 908, 912 (Pa. Cmwlth. 2024)).) As to
Patriot News’ claims that the settlement agreements utilized taxpayer funds and the
use of taxpayer funds outweighs the parties’ privacy interests, common pleas noted
that Norfolk Southern is not a public entity and while the PFBC is a public entity, it
is subject to a statutory cap for recoverable damages and any public funds related to
the settlement between Hoffman and the PFBC is statutorily limited.9 (Id. at 7.)
8
“In general, Superior Court decisions are not binding on this Court, but they offer
persuasive precedent where they address analogous issues.” Lerch v. Unemployment Comp. Bd.
of Rev., 180 A.3d 545, 550 (Pa. Cmwlth. 2018).
9
While common pleas cited Section 8553(b) of the act commonly known as the Political
Subdivision Tort Claims Act, 42 Pa.C.S. § 8553(b), which relates to tort actions against local
government entities, as the basis for the statutory cap, Section 8528 of the Sovereign Immunity
Act, 42 Pa.C.S. § 8528, cited by Hoffman imposes the statutory cap on the tort damages a
Commonwealth agency may pay.
6
Finally, common pleas considered whether there had been good cause for
sealing the Settlement Agreements in the first place and for them to remain sealed.
Common pleas noted that there exists a common law right to access judicial records,
but this right is not absolute, and courts retain supervisory power to manage their
own files and records. (Id. at 8-9 (citing In re 2014 Allegheny Cnty. Investigating
Grand Jury (Grand Jury), 223 A.3d 214, 220 (Pa. 2019); R.W. v. Hampe, 626 A.2d
1218, 1220 (Pa. Super. 1993)).) Moreover, citing Pennsylvania Rule of Civil
Procedure 223(4), Pa.R.Civ.P. 223(4),10 common pleas had “the authority to exclude
the public or persons not interested from the proceedings.” (Id. at 10.)
Common pleas then reviewed the two methods under which to analyze
requests for closure of judicial proceedings or records arising under the common law
and the First Amendment to the United States Constitution, U.S. CONST. amend. I.
(Id. at 9 (citing In re M.B., 819 A.2d 59, 63 n.2 (Pa. Super. 2003)).)11 Under the
common law approach, the trial court must “balance the harm to the party seeking
closure with the importance of disclosure to the public,” and the moving party bears
the burden of showing that their secrecy outweighs the presumption of openness.
10
Pennsylvania Rule of Civil Procedure 223(4), in relevant part, provides:
Subject to the requirements of due process of law and of the constitutional rights of
the parties, the court may make and enforce rules and orders . . . [r]egulating or
excluding the public or persons not interested in the proceedings whenever the court
deems such regulation or exclusion to be in the interest of the public good, order or
morals.
Pa.R.Civ.P. 223(4).
11
The First Amendment provides, in part, that “Congress shall make no law . . . abridging
the freedom of speech, or of the press; or the right of the people peaceably to assemble, and to
petition the government for a redress of grievances.” U.S. CONST. amend. I. “[T]he First
Amendment right [of access speaks to] accessing the judicial proceedings and the ‘information’
contained therein.” Commonwealth v. Long, 922 A.2d 892, 897 n.6 (Pa. 2007).
7
(Id. (citing In re M.B., 819 A.2d at 63 n.2).) Under the constitutional analysis, the
party moving for closure must show that “closure serves an important governmental
interest, and there is no less restrictive way to serve that interest.” (Id. (quoting In re
M.B., 819 A.2d at 63 n.2).) Moreover, “[t]he Constitutional law approach is
generally applied in cases where the press or another interested party is seeking
access to the proceedings.” (Id. (citing PA ChildCare, LLC v. Flood, 887 A.2d 309
(Pa. Super. 2005); Zdrok v. Zdrok, 829 A.2d 697, 699-700 (Pa. Super. 2003)).) In
order to rebut the presumption of openness, “a party must demonstrate good cause
which exists where closure is ‘necessary in order to prevent a clearly defined and
serious injury to the party seeking closure’” and “‘[g]eneral concerns for harassment
or invasion of privacy’ are not sufficient to support closure.” (Id. at 12 (alterations
omitted) (first quoting R.W., 626 A.2d at 1221; and then quoting Commonwealth
v. Long, 922 A.2d 892, 906 (Pa. 2007)).)
Common pleas acknowledged Patriot News’ assertions that it has a
constitutional right to access the sealed Settlement Agreements based on what is
referred to as the “experience and logic test,” which was first adopted to
preliminarily determine if the right to access attaches. (Id. at 11 (citing Grand Jury,
223 A.3d at 222).) However, common pleas did not engage in that analysis because
it concluded that there was no dispute that the Settlement Agreements were only
sealed because of common pleas’ order sealing the documents. Thus, common pleas
determined that the general presumption of openness applied, and it was unnecessary
to apply the experience and logic test to determine the openness of the documents.
(Id. at 11-12.)
Applying the above-referenced balancing framework, common pleas
determined that Hoffman and Norfolk Southern had satisfied their burden of
8
establishing good cause to seal the Settlement Agreements because they included
sealed financial information related to Child, the privacy rights of a minor constitute
an important government interest, and the financial information at issue is private
information. (Id. at 12.) Moreover, common pleas stated that the only reason the
Settlement Agreements and documents were filed with the court was because
Pennsylvania Rule of Civil Procedure 2206, Pa.R.Civ.P. 2206,12 requires court
approval of settlements involving minors in wrongful death and survival actions.
(Id. at 13-14.) Common pleas determined that it would be inconsistent with Rule
2206’s mandate “to require the [s]ettlement [d]ocuments to be opened to the public
when the only reason they were filed was to provide protection for . . . [C]hild.” (Id.)
In addition, common pleas determined that Hoffman set forth sufficient
factual information to show that he experienced harassment resulting from the
12
Rule 2206, in relevant part, provides:
(a) No action for wrongful death in which a minor or an incapacitated person has
an interest shall be discontinued nor shall the interest of a minor or an incapacitated
person in any such action or in a judgment for damages recovered therein be
compromised or settled until the court, upon petition of any party in interest, shall
allow the discontinuance or approve the compromise or settlement as being fair and
equitable.
(b)(1) When as the result of a verdict, judgment, compromise, settlement or
otherwise it has been determined that a sum of money is due the plaintiff in an
action for wrongful death, the court, upon petition of any party in interest, shall
make an order designating the persons entitled to share in the damages recovered
and the proportionate share of the net proceeds to which each is entitled. If a share
shall be payable to a minor or incapacitated person, the court shall designate as the
person to receive such share a guardian of the estate of the minor or incapacitated
person, qualified to receive the fund, if there is one or one is to be appointed. The
share to be received by the guardian of the estate may include a structured
settlement underwritten by a financially responsible entity that assumes
responsibility for future payments or a trust as described in subdivision (b)(4)(iii)
of this [R]ule.
Pa.R.Civ.P. 2206(a)-(b)(1).
9
accident, closure of the boat launch, and lawsuit and was seeking to keep the
Settlement Agreements private to not subject himself or Child to any further
harassment. (Id. at 12-13.) Common pleas rejected Patriot News’ claim that
Hoffman was seeking to avoid mere embarrassment, reasoning that
this is not a case where a [p]laintiff generally alleges that [they] might
experience harassment if the public discovers the amount that [they]
received from a settlement. Rather, this is a case where a widower, who
has been diagnosed with Post Traumatic Stress Disorder after watching
his wife perish in front of him, and his seven-year-old [Child], who lost
[their] mother only a few months after [they were] born, have already
experienced harassment and blame from the public as a result of this
case and may experience intensified harassment if the [s]ettlement
[d]ocuments are made public. Based on these facts, protecting
[Hoffman] and . . . [C]hild from further harassment and protecting the
little privacy that they have in this case serves the compelling
government interests of protecting minor children, protecting privacy
interests, and protecting citizens of this Commonwealth from harm.
(Id. at 13.) Common pleas determined that “[t]hese facts also greatly outweigh any
presumption of openness.” (Id.) Common pleas further stated that in addition to
protecting Hoffman and Child’s privacy, the Settlement Agreements were
conditioned on confidentiality, and while not determinative on its own, “[i]t is
axiomatic that courts have a policy in encouraging fair and amicable settlements of
civil cases.” (Id.) In sum, common pleas concluded that “the relief was narrowly
tailored to serve the interest of protecting . . . [Child] and preventing purely financial
information from being released to the public while still providing the public with
the information that it needs to determine the safety of the subject boat launch and
train crossing.” (Id. at 14.) Patriot News then timely appealed.13
13
Patriot News initially filed this appeal with the Superior Court. The appeal was then
transferred to this Court because of the inclusion of the PFBC, a Commonwealth agency, as a party.
The PFBC, although a party, is not participating in this appeal.
10
II. DISCUSSION
Patriot News raises three issues which we have summarized: (1) whether
common pleas erred by improperly imposing a burden on Patriot News to modify
Judge Cherry’s initial sealing order and by finding that Hoffman and Norfolk
Southern met their burden of proving that the records should remain sealed;
(2) whether it was error for common pleas to seal and maintain the seal of the
Settlement Agreements where they contain payment of taxpayer funds despite the
RTKL presumption of disclosure; and (3) whether common pleas erred in failing to
address whether there was a constitutional right to access. Patriot News’ first two
issues raise questions about who bears the burden of proof in these types of cases,
what the burden or burdens should be, and whether the parties here understood their
respective burdens in these proceedings. In short, Patriot News appears to contend
it was not required to make any showing (or present any evidence) before common
pleas was obligated to determine whether the seal should be maintained and that
Hoffman and Norfolk Southern always retained the burden of maintaining that seal.
A. General Legal Principles
In Milton Hershey School v. Pennsylvania Human Relations Commission, this
Court summarized the general legal principles applicable to public access of judicial
records, stating:
There is no dispute that “[o]ur courts have recognized a constitutional
right of public access to judicial proceedings” under both the United
States and Pennsylvania Constitutions, as well as an independent
common law basis for such access. P[A] ChildCare, LLC, 887 A.2d at
312 (internal quotations and citations omitted). Thus, there is a
“mandate for open and public judicial proceedings in both the criminal
and civil settings.” Id. The right to open and public judicial
proceedings includes “a general right to inspect and copy public records
and documents, including judicial records and documents.”
11
[Commonwealth v.] Fenstermaker, 530 A.2d [414,] 418 [(Pa. 1987)]
(quoting Nixon v. Warner Commc’ns, Inc., 435 U.S. 589, 602 . . .
(1978)). These rights are “not absolute, as the public may . . . be
excluded from such proceedings or records to protect public or private
interests.” duPont [II], 2 A.3d at 519 (internal quotations and citations
omitted); see also Fenstermaker, 530 A.2d at 420 (stating “the common
law right to inspect documents . . . has not been held to be absolute,”
but there is a presumption of openness). Pennsylvania courts have
“recognized in many contexts that our courts have an inherent power to
control access to their records and proceedings and may deny access
when appropriate—for example, to protect the privacy rights of
individuals.” In re M.B., 819 A.2d at 62. Importantly, “general
concerns for harassment or invasion of privacy” are not sufficient to
support closure. Long, . . . 922 A.2d [at] 906 . . . .
226 A.3d 117, 126-27 (Pa. Cmwlth. 2020) (alterations added).14
In resolving questions of public access to judicial records, this Court has set
forth the constitutional and common law analyses and the respective burdens related
thereto, as follows:
We begin by “highlighting that a request to seal or unseal judicial
records is a matter committed to the discretion of the . . . court” whose
records are at issue. duPont [II], 2 A.3d at 521 (citing [Commonwealth
v.] Upshur, 924 A.2d [642,] 651 [(Pa. 2007)]. In reviewing public
access to judicial records, there are two methods of analysis: a
constitutional analysis and a common law analysis. In re M.B., 819
A.2d at 62 n.2. “[T]here is [an] overlap between the common law and
the constitutional inquiries, since both rights of access seek to foster the
fairness and the appearance of fairness of the . . . justice system.” Long,
922 A.2d at 897. The inquiry begins with a presumption of openness.
In addressing the constitutional right of access, courts have “adopted
the ‘experience and logic’ test.” Id. at 900-01. The experience test
“considers whether there has been a ‘tradition of accessibility,’” and the
14
Pursuant to Pennsylvania Rule of Appellate Procedure 126(c)(2), “single-judge opinions,
even if reported, shall be cited only for persuasive value and not as binding precedent.” Pa.R.A.P.
126(c)(2). Likewise, Section 414(b) of this Court’s Internal Operating Procedures provides that
“a single-[j]udge opinion of this Court, even if reported, shall be cited only for its persuasive value
and not as a binding precedent.” 210 Pa. Code § 69.414(b). Here, we cite Milton Hershey School
for its outline of the applicable law in these matters.
12
logic test considers “‘whether public access plays a significant positive
role in the functioning of the particular process in question.’” Id. at 900
(quoting [Press-Enter. Co. v. Sup. Ct. of Cal., 478 U.S. 1, 8 (1986)
(Press-Enterprise II)]). “In conducting the ‘logic’ inquiry, [the court]
must balance two competing concerns – the value of openness . . . that
enhances the fairness and perception of fairness in the . . . justice system
versus the . . . privacy concerns” involved. Id. at 903. “If the right
asserted is grounded in both experience and logic, then a right of access
to the proceedings in question exists.” Id. It is then the burden of the
party seeking closure to “rebut the presumption of openness by showing
that closure serves an important governmental interest and there is no
less restrictive way to serve that interest.” In re M.B., 819 A.2d at 63
n.2.
The common law approach requires “the party seeking closure [to]
show that [the] interest in secrecy outweighs the presumption of
openness.” Id. “Where the presumption of openness attached to a
public judicial document is outweighed by circumstances warranting
closure of the document to public inspection, access to the document
may be denied.” Fenstermaker, 530 A.2d at 420. Thus, under the
common law approach, “the public may be ‘excluded, temporarily or
permanently, from court proceedings or the records of court
proceedings to protect private as well as public interests[, including]:
. . . the privacy and reputations [of innocent parties] . . . .’” Katz, 514
A.2d at 1377 (quoting In re Nat’l Broad. Co., 653 F.2d 609, 613 (D.C.
Cir. 1981)) (first alteration added).
Id. at 127-28 (alterations added). The Court further explained:
Access to judicial records may be limited by other principles as well,
such as statutory or regulatory provisions or court rules. For example,
access to “files and records of the court in a proceeding under” the
Juvenile Act is limited, and those materials are disclosable to the public
under only very limited circumstances. Section 6307 of the Juvenile
Act, 42 Pa.[]C.S. § 6307. Similarly, . . . [courts are] bound by the Case
Records Public Access Policy of the Unified Judicial System of
Pennsylvania (Public Access Policy) adopted by the Pennsylvania
Supreme Court. The Public Access Policy recognizes the importance
of the public’s access to the courts, but also acknowledges that court
filings may contain “extensive amounts of personal data concerning
individuals’ finances, unique identifiers, medical history, and so on”
and the need for courts to consider “issues regarding the need for
13
openness and transparency and the concern for personal privacy and
security.” Explanatory Report of the Public Access Policy at 1-2.[]
Sections 7 and 8 of the Public Access Policy address how to file
“Confidential Information” and “Confidential Documents” with the
Court, as such information and documents are not subject to access by
the public. Notably, both sections reflect that they are “not applicable
to cases that are sealed,” meaning that none of the relevant redactions
or special filing of forms apply to sealed cases as those cases are not
accessible to the public. See Section 7.0(A) and Commentary, and
Section 8.0(A) and Commentary of the Public Access Policy.
In applying these principles, the Court is mindful that access to court
records is to
assure the public that justice is done even-handedly and
fairly; to discourage perjury and the misconduct of
participants, to prevent decisions based on secret bias or
partiality; to prevent individuals from feeling that the law
should be taken into the hands of private citizens; to satisfy
the natural desire to see justice done; to provide for
community catharsis; to promote public confidence in
government and assurance that the system of judicial
remedy does in fact work; to promote the stability of
government by allowing access to its workings, thus
assuring citizens that government and the courts are
worthy of their continued loyalty and support; to promote
an understanding of our system of government and courts.
Fenstermaker, 530 A.2d at 417.
Id. at 128-29 (brackets added).
B. Burden Shifting
Patriot News argues that common pleas erred in imposing any burden on it to
prove a reason to modify Judge Cherry’s initial sealing order and the burden of proof
always rested with Hoffman and Norfolk Southern to establish the ongoing need to
maintain the seal. Patriot News reasons that because, in the initial sealing order,
Judge Cherry did not make any findings supporting that order, the cases imposing
the burden of proof on the proponent of sealing the record, see Long, 922 A.2d 892;
14
In re M.B., 819 A.2d 59, require that Hoffman and Norfolk Southern bore the only
burden of proof in this matter. (Patriot News’ Reply Brief (Br.) at 6.) Patriot News
asserts that duPont II is inapplicable and should not have been relied upon here to
require it to justify the unsealing. (Patriot News’ Br. at 19, 25; Patriot News’ Reply
Br. at 16.) In contrast, common pleas, Hoffman, and Norfolk Southern rely on
duPont II to hold that Patriot News, as the proponent of unsealing, bore the burden
of establishing good cause to unseal the Petition for Approval and both Settlement
Agreements before common pleas had to rebalance the interests. Moreover, it
appears that Hoffman and Norfolk Southern believed they bore no evidentiary
burden to maintain the seal with updated reasons for doing so by not presenting
evidence at the hearing.
Before us is a request to unseal documents that are subject to a previously
issued sealing order. In duPont II, our Supreme Court addressed non-party requests
to unseal documents, distinguishing between the initial request to seal records and
instances where a non-litigant later petitions to unseal such records. The Supreme
Court explained that “[w]here a judicial record has been impounded and there is no
claim that such action was improper, a qualitatively different circumstance pertains”
to later attempts to unseal the impounded records. duPont II, 2 A.3d at 524.
Following an extensive analysis, our Supreme Court reasoned that there is no
“authority tending to support the concept that a constitutional presumption of
openness attaches to the record of proceedings in a case . . . where a sealing order
has been entered and remains unchallenged.” Id. at 525. Thus, our Supreme Court
held that the moving party “bore the burden to ‘demonstrate good cause’ to
modify the [initial] order placing the [subject] documents under seal.” Id.
(emphasis added). duPont II involved the sealing of records in incapacity
15
proceedings under Section 5511(a) of the Probate, Estates and Fiduciaries Code
(PEF Code), 20 Pa.C.S. § 5511(a), which statutorily allows for the closure of the
proceedings and records to the public given the inherent nature of those proceedings.
The import of the nature of those proceedings was at the forefront of the Supreme
Court’s analysis in duPont II.15
We later examined duPont II in Milton Hershey School, a case involving
complaints made to the Pennsylvania Human Relations Commission and records
relating to students at the private school, observing:
In duPont [II], the Supreme Court emphasized that, in determining
whether to grant public access to a sealed record, its analysis was
guided by the nature of the underlying proceedings, there,
incapacity and guardianship proceedings, in which “the common-law
presumption of openness ha[d] been substantially curtailed
through legislative enactment . . . .” 2 A.3d at 522. See Section
5511(a) of the [PEF] Code, 20 [Pa.C.S.] § 5511(a) (which allows for
the closure of incapacity proceedings to the public). In this context, the
Supreme Court rejected the idea that the burden forever remained on
the party who sought to seal or to retain the seal on the record because
“[s]uch an approach would be, at best, inflexible” and “at odds with the
concept that the constitutional mandate is not absolute.” duPont [II], 2
A.3d at 524-25. Rather, the Court permitted flexibility “in view of the
courts’ supervisory powers over their records.” Id. at 525. For these
reasons, the Supreme Court held that neither the common law nor
15
In In re Estate of duPont, 966 A.2d 636 (Pa. Super. 2009) (duPont I), which was affirmed
by our Supreme Court in duPont II, the Superior Court found the reasoning of the United States
Court of Appeals for the Third Circuit (Third Circuit) in Pansy v. Borough of Stroudsburg, 23 F.3d
772 (3d Cir. 1994), a case involving a sealed settlement agreement with a local government entity,
persuasive in determining whether good cause exists. The Superior Court explained:
The Third Circuit held that a party seeking to modify an order of confidentiality or
sealed settlement agreement must come forward with a reason to modify the order,
and once this is done, the court should balance the interests, including reliance by
the original parties to the order, to determine whether good cause still exists for the
order.
duPont I, 966 A.2d at 639. In duPont II, our Supreme Court did not disturb this reasoning in
affirming the Superior Court’s order.
16
constitutional law requires a court to place the burden of
demonstrating the need for continued confidentiality whenever a
non-litigant seeks access to the record in an incapacity proceeding.
Id. at 521, 525. Rather, in that context, the burden lies on the
individual seeking public access to the records to “demonstrate
good cause” to modify the order sealing the matter, an approach that
respects a court’s prior order, while also providing a means through
which the public can seek to access those records. Id. at 525.
Milton Hershey School, 226 A.3d at 127 (emphasis added). However, Milton
Hershey School also recognized the differing nature of the proceedings in that case
and those in duPont II, observing that it was unclear that duPont II’s discussion of
the burden of proof would apply in situations where the openness of the proceedings
was not substantially curtailed by statute. With that observation, the Court in Milton
Hershey School explained that if the duPont II standard applied, the party seeking to
unseal the judicial records there had come forward with good cause to modify the
initial sealing order and this Court then proceeded to balance the interests.
Similar to duPont II, the proceedings here, a civil tort action, involve a
situation where the right to access may be curtailed by the civil rules reflecting the
importance of protecting minors’ best interests, similar to how the right to access
was substantially curtailed by statute in duPont II. For example, the Norfolk
Southern Settlement Agreement, a settlement agreement between private parties,
was filed with common pleas only because the interests of a minor were involved,
and Rule 2206 and Pennsylvania Rule of Civil Procedure 2039, Pa.R.Civ.P. 2039,16
require court approval of settlements involving minors. In Estate of Murray by York
Bank and Trust Co. v. Love, a wrongful death action involving minor children, the
Superior Court held that “[t]he purpose of [] [R]ule [2206] is to ensure that a minor’s
16
Pennsylvania Rule of Civil Procedure 2039(a) states that “[n]o action to which a minor
is a party shall be compromised, settled or discontinued except after approval by the court pursuant
to a petition presented by the guardian of the minor.” Pa.R.Civ.P. 2039(a).
17
interest is protected and that any settlement entered into for the benefit of the minor
is fair and equitable” and that “Rule 2039 was adopted to ensure that the interests
of minor litigants are protected above all other conflicting interests.” 602 A.2d
366, 369 (Pa. Super. 1992) (emphasis added). Moreover, in Storms v. O’Malley, the
Superior Court stated that “Rule[ 2039’s] primary purpose is to ‘prevent settlements
which are unfair to minors, and to ensure that the minor receive[s] the benefit of the
money awarded[,]’” and “[i]n considering whether to approve the settlement of a
minor’s claim, the court focuses on the best interests of the minor.” 779 A.2d 548,
556 (Pa. Super. 2001) (citation omitted). In other words, Rules 2206 and 2039 focus
on protecting the interests of minors, similar to the statutory protections permitting
closure of proceedings in the best interests of incapacitated individuals examined in
duPont II. It was on this basis, at least partially, that Hoffman sought the sealing of
the documents in the first instance. (Hoffman’s Br. at 4-6; Common Pleas’ Op. at 1.)
While this matter is unlike duPont II because