DeLaMater v. Marion Civil Service Com'n

• Decision Date: 23 October 1996
• Docket Number: No. 95-1650,95-1650
• Citation: 554 N.W.2d 875
• Parties: Michael DeLaMATER, Appellee, v. MARION CIVIL SERVICE COMMISSION and City of Marion, Appellants.
• Court: Iowa Supreme Court

Page 875

554 N.W.2d 875

Michael DeLaMATER, Appellee, v. MARION CIVIL SERVICE COMMISSION and City of Marion, Appellants.

No. 95-1650.

Supreme Court of Iowa.

Oct. 23, 1996.

Jay H. Honohan of Honohan, Epley, Braddock & Brenneman, Iowa City, for appellant Marion Civil Service Commission.

Donald C. Hoskins, City Attorney, for appellant City of Marion.

William H. Roemerman of Crawford, Sullivan, Read, Roemerman & Brady, P.C., Cedar Rapids, for appellee.

Considered by HARRIS, P.J., and CARTER, LAVORATO, SNELL, and TERNUS, JJ.

TERNUS, Justice.

Appellee, Michael DeLaMater, requested the opportunity to review and copy the scores of individuals who took two promotional examinations given by the appellant, Marion Civil Service Commission, as well as the grading scales for the examinations. When DeLaMater's request was denied, he brought this action pursuant to Iowa's open records law, Iowa Code chapter 22 (1995), against the appellant, City of Marion, and its civil service commission. The district court granted DeLaMater's motion for summary judgment, ordering the disclosure of "the raw scores and the grading scale." The City and the Commission appeal. We affirm as modified.

I. Standard of Review.

We review an order of summary judgment for correction of errors of law. Gabrilson v. Flynn, 554 N.W.2d 267, 270 (Iowa 1996). The movant must show there is no genuine issue of material fact and he is entitled to judgment as a matter of law. Iowa R. Civ. P. 237(c). In reviewing the record, we consider the evidence in the light most favorable to the party opposing the motion for summary judgment. C-Thru Container Corp. v. Midland Mfg. Co., 533 N.W.2d 542, 544 (Iowa 1995).

II. Background Facts and Proceedings.

The following facts are undisputed. DeLaMater is a police officer employed by the City. In 1991 and again in 1993, he took civil service examinations given by the Commission for the purpose of considering candidates for promotion to the rank of lieutenant. In both years, DeLaMater was placed on the civil service certified eligible promotional list; he was first on the list in 1993. Nevertheless, DeLaMater was not promoted.

DeLaMater began to suspect the Commission was not following its own rules in establishing the promotional lists. Therefore, pursuant to Iowa Code chapter 22, he asked to review the raw scores of each person who took the examination and the grading scales used by the Commission in scoring the examinations. See Iowa Code §§ 22.2, .7 (with certain exceptions for confidential records, every person has the right to examine and copy public records). When DeLaMater's request was denied, he filed this action. See id. § 22.10 (any aggrieved person may seek judicial enforcement of the requirements of chapter 22). The City and Commission did not dispute that the information DeLaMater requested constituted public records. See id. § 22.1(3) (defining "public records" in part as "all records ... of or belonging to this state or any ... political subdivision"). They contended, however, the records fell within three exceptions to the disclosure requirement: (1) the documents were protected trade secrets within the meaning of section 22.7(3); (2) the information requested was "[p]ersonal information in confidential personnel records" within the meaning of section 22.7(11); and (3) the request required disclosure of examinations, which disclosure would interfere with the validity of the examinations within the meaning of section 22.7(19). ¹ The district court rejected these arguments and granted DeLaMater's motion for summary judgment requiring disclosure of the requested information. This appeal followed.

Before we consider the merits of the issues raised by the defendants, we pause to clarify the precise nature of the documents requested because there has been some confusion between the parties on this count. DeLaMater does not want the test questions nor does he want the answer key, i.e., the set of answers to the questions. DeLaMater wants the grading scale, which he defines as the maximum possible score for each portion of the exam, and the raw scores of each examinee on each component of the promotional examination.

The reason for the limited nature of DeLaMater's request becomes apparent upon review of the manner in which the test is graded and scored. The promotional examination consists of two written tests, an oral examination, and promotional points awarded for years of service and education. One of the written examinations is general in nature and the second is based on the duty manual. Only persons passing the written examinations are allowed to complete the remainder of the promotional testing.

To pass the written examination, one must have a minimum score of seventy percent of the highest score of those taking the test. DeLaMater suspects that persons not achieving this minimum score are being placed on the promotional lists. Consequently, he wants to know the maximum possible points permitted for each part of the examination, as well as the raw scores of each person taking the test. We conclude he is entitled to this information.

III. Governing Legal Principles.

This case requires us to interpret and apply statutory exceptions to the general rule requiring disclosure of public records. Our interpretation of these exceptions depends solely on legislative intent. City of Sioux City v. Greater Sioux City Press Club, 421 N.W.2d 895, 897 (Iowa 1988). In prior cases considering the scope of the confidentiality exceptions, we have said "the legislature intended for the disclosure requirement to be interpreted broadly, and for the confidentiality exception to be interpreted narrowly." In re Des Moines Indep. Community Sch. Dist. Pub. Records, 487 N.W.2d 666, 669 (Iowa 1992); accord City of Dubuque v. Telegraph Herald, Inc., 297 N.W.2d 523, 527 (Iowa 1980). Nevertheless, where the legislature has used broadly inclusive language in the exception, we do not mechanically apply the narrow-construction rule; instead, we give effect to the legislative purpose underlying the exception. Gabrilson, 554 N.W.2d at 271; City of Sioux City, 421 N.W.2d at 897. The defendants bear the burden to demonstrate the applicability of an exemption.

Our review of the district court's interpretation of section 22.7 is at law. US West Communications, Inc. v. Office of Consumer Advocate, 498 N.W.2d 711, 713 (Iowa 1993). Our review of the district court's application of section 22.7 to the undisputed facts shown in the record before it is de novo. Northeast Council on Substance Abuse, Inc. v. Iowa Dep't of Pub. Health, 513 N.W.2d 757, 759 (Iowa 1994).

IV. Trade Secret Exemption.

Iowa Code section 22.7(3) requires that "[t]rade secrets which are recognized and protected as such by law" must be kept confidential. The defendants do not seriously contend the raw scores and the grading scale are trade secrets. We agree that they are not. Nevertheless, the defendants fear DeLaMater needs the test questions and answer keys to meaningfully review the validity of the Commission's grading process. Therefore, they request a ruling that these materials are trade secrets. Because DeLaMater is not seeking the examinations and answer keys, this issue is not before us and we do not address it.

V. Personal Information Exemption.

Iowa Code section 22.7(11) provides that "[p]ersonal information in confidential personnel records of public bodies" is not subject to disclosure under the public records law. The defendants claim the raw scores of other applicants fall within this exemption. ²

Most states have a privacy exemption in their open records or freedom of information laws. See Andrea G. Nadel, Annotation, What Constitutes Personal Matters Exempt from Disclosure by Invasion of Privacy Exemption Under State Freedom of Information Act, 26 A.L.R.4th 666, 670 (1983) [hereinafter "Nadel Annotation"]. These exemptions are often patterned after the federal Freedom of Information Act's privacy exemption for "personnel and medical files and similar files the disclosure of which would constitute a clearly unwarranted invasion of personal privacy." See id. n. 5; 5 U.S.C. § 552(b)(6) (1995). In applying the federal statute, federal courts balance the public interests served by disclosure against the private interest in protecting against invasions of privacy. City of Dubuque, 297 N.W.2d at 527.

The use of a balancing test in construing privacy exemptions under public records laws is common: [T]he courts will usually first examine the specific statutory provision involved to see if the statute delineates exactly what types of records or other information are considered private and thus subject to the public disclosure exemption. If, however, the particular record, report, or other information sought to be disclosed is not specifically listed in the personal privacy provision as a personal matter, or if the provision does not define those matters, the disclosure of which would constitute an invasion of personal privacy, the courts most often will apply general privacy principles, which examination involves a balancing of conflicting interests--the interest of the individual in privacy on the one hand against the interest of the public's need to know on the other.

Nadel Annotation, 26 A.L.R.4th at 670-71. Courts applying a balancing test consider several factors: (1) the public purpose of the party requesting the information; (2) whether the purpose could be accomplished without the disclosure of personal information; (3) the scope of the request; (4) whether alternative sources for obtaining the information exist; and (5) the gravity of the invasion of personal privacy. E.g., Young v. Rice, 308 Ark. 593, 826 S.W.2d 252, 255 (1992) (considering the existence of an alternative source for the requested information and the gravity of the invasion); Bowie v. Evanston Community Consol. Sch. Dist., 128 Ill.2d 373, 131 Ill.Dec. 182, 185, 538 N.E.2d...