Perry v. Department of Financial and Professional Regulation
Perry v. Department of Financial and Professional Regulation
Opinion
¶ 1 In separate cases, both plaintiff-appellants, (1) Christopher J. Perry and Perry
*1019
& Associates, LLC (collectively, Perry), and (2) the Institute for Justice (Institute), filed causes of action under section 11 of the Illinois Freedom of Information Act (FOIA) ( 5 ILCS 140/11 (West 2012) ) seeking the disclosure of certain information from the Department of Financial and Professional Regulation (Department). After the circuit court denied in part and granted in part Perry's motion for summary judgment, section 2105-117 of the Department of Professional Regulation Law took effect, which, if applicable, would exempt the type of information sought by Perry from disclosure. Pub. Act 99-227 (eff. Aug. 3, 2015) (adding 20 ILCS 2105/2105-117 ). Both Perry and the Department moved for reconsideration, and the circuit court applied section 2105-117 to the action, concluding that the information Perry sought was exempt from disclosure. The circuit court denied Perry's motion to reconsider, and the appellate court affirmed.
Perry v. Department of Financial & Professional Regulation
,
¶ 2 During the pendency of the Institute's lawsuit in the circuit court, Public Act 98-911 became effective on January 1, 2015, adding section 4-24 to the Barber, Cosmetology, Esthetics, Hair Braiding, and Nail Technology Act of 1985 (Barber Act), which, if applicable, would exempt the type of information sought by the Institute from disclosure. Pub Act. 98-911 (eff. Jan. 1, 2015) (adding 225 ILCS 410/4-24 ). After the circuit court granted the Institute's motion for summary judgment and denied the Department's motion for summary judgment, concluding in part that section 4-24 could not be applied to the Institute's action, the Department appealed. The appellate court reversed.
Institute for Justice v. Department of Financial & Professional Regulation
,
¶ 3 We allowed Perry's and the Institute's petitions for leave to appeal ( Ill. S. Ct. R. 315 (eff. Nov. 1, 2017) ), which have been consolidated to determine whether section 2105-117 and section 4-24 are to apply to Perry's and the Institute's pending causes of actions, respectively. We allowed the following parties to file amicus curiae briefs: the American Civil Liberties Union of Illinois, the Better Government Association, the Chicago Appleseed Fund for Justice, the Chicago Council of Lawyers, the Citizen Advocacy Center, and the Illinois Press Association; the Reporters Committee for Freedom of the Press; and the Illinois Policy Institute and Edgar County Watchdogs.
¶ 4 BACKGROUND
¶ 5 Perry's Request for Review and Circuit Court Proceedings
¶ 6 On January 21, 2013, Perry filed a FOIA request with the Department seeking disclosure of a complaint that had been made against his structural engineer's license. The Department denied his request on January 23, 2013. Perry sought review of the Department's denial by the Public Access Counselor (PAC). See 5 ILCS 140/9.5(a) (West 2012) ("A person whose request to inspect or copy a public record is denied by a public body, except the General Assembly and committees, commissions, and agencies thereof, may file a request for review with the Public Access Counselor established in the Office of the Attorney General."). In a nonbinding opinion letter, the PAC concluded that Perry's request was properly denied under section 7(1)(d)(iv) of the Illinois FOIA because disclosure of the complaint would "unavoidably disclose the identity of a confidential source, confidential information furnished only by the confidential source, or *1020 persons who file complaints with or provide information to administrative, investigative, law enforcement, or penal agencies." 5 ILCS 140/7(1)(d)(iv) (West 2014).
¶ 7 Perry amended the FOIA request on August 26, 2013, requesting that the Department disclose the complaint "redacted to exclude proper names and 'confidential information' " pursuant to section 7(1) of the FOIA. See 5 ILCS 140/7 (West 2012) ("When a request is made to inspect or copy a public record that contains information that is exempt from disclosure under this Section, but also contains information that is not exempt from disclosure, the public body may elect to redact the information that is exempt."). The Department denied the amended request.
¶ 8 On November 6, 2014, Perry filed an action against the Department in the Cook County circuit court. Pursuant to section 11(d), Perry requested the circuit court to order the Department to produce the redacted complaint. 5 ILCS 140/11(d) (West 2014) ("The circuit court shall have the jurisdiction to enjoin the public body from withholding public records and to order the production of any public records improperly withheld from the person seeking access."). Pursuant to sections 11(i) and (j), respectively, Perry also sought an award of attorney fees and the imposition of a civil penalty for the Department's willful and bad-faith failure to comply with the Illinois FOIA. See 5 ILCS 140/11(i), (j) (West 2014).
¶ 9 Perry moved for summary judgment. Alternatively, Perry sought an in camera inspection of the complaint by the circuit court. 5 ILCS 140/11(f) (West 2014). A hearing was held on July 27, 2015. After an in camera inspection, the circuit court concluded that, pursuant to section 7(1)(d)(iv), the complaint was exempt from disclosure but that two of the complaint's exhibits could be disclosed, as they had already been made available to third parties. Thus, Perry's motion for summary judgment was granted in part and denied in part. Both Perry and the Department moved for reconsideration, with Perry arguing that the court should have ordered the disclosure of the complaint with redaction of any names that would have revealed the complainant's identity and the Department contesting the disclosure of the exhibits because they would necessarily reveal the complainant's identity.
¶ 10 As another basis for exempting disclosure of the complaint and exhibits, regardless of redaction, the Department cited section 2105-117 of the Department of Professional Regulation Law. 20 ILCS 2105/2105-117 (West Supp. 2015). Section 2105-117 took effect on August 3, 2015, as a statutory amendment to the Department of Professional Regulation Law. Pub. Act 99-227 (eff. Aug. 3, 2015) (adding 20 ILCS 2105/2105-117 ). Perry asserted that section 2105-117 was inapplicable to the case, as it was not yet in effect at the time Perry made the FOIA request or at the time of the circuit court's ruling on Perry's summary judgment motion.
¶ 11 On January 7, 2016, at a hearing on the motions to reconsider, the circuit court observed that section 2105-117 had become effective about one week after its initial ruling on Perry's summary judgment motion and that it therefore could not have applied section 2105-117 when ruling on the motion. The circuit court also noted, however, that due to the parties' motions for reconsideration, it had retained jurisdiction over the case. As such, the circuit court determined that, per
Kalven v. City of Chicago
,
¶ 12 Perry filed a motion to reconsider, arguing that the circuit court erred in applying section 2105-117 and failing to specifically address Perry's claims for attorney fees and a civil penalty against the Department. The circuit court denied Perry's motion to reconsider, reaffirmed its dismissal of Perry's FOIA action, dismissed Perry's claim for attorney fees under section 11(i) because Perry was not the prevailing party, and dismissed Perry's claim for a civil penalty.
¶ 13 The Institute's Request for Review and Circuit Court Proceedings
¶ 14 On September 12, 2013, the Institute filed a request pursuant to the Illinois FOIA ( 5 ILCS 140/1 et seq. (West 2012) ) seeking the disclosure of "[a]ll complaints regarding licensed cosmetologists and hair braiders received by the [Barber, Cosmetology, Esthetics, Hair Braiding, and Nail Technology Board] from 2011 to present." The Department denied the request on September 30, 2013, asserting that six separate FOIA exceptions exempted the requested records from disclosure. On November 22, 2013, the Institute filed a request for review of the denial with the PAC. See 5 ILCS 140/9.5(a) (West 2012) ("A person whose request to inspect or copy a public record is denied by a public body, except the General Assembly and committees, commissions, and agencies thereof, may file a request for review with the Public Access Counselor established in the Office of the Attorney General."). For over a year, the Institute's request remained pending with the PAC without resolution. Pursuant to section 11, the Institute filed a complaint in the Cook County circuit court. See 5 ILCS 140/11 (West 2012).
¶ 15 During the pendency of the lawsuit in the circuit court, Public Act 98-911 became effective on January 1, 2015. Pub. Act 98-911 (eff. Jan. 1, 2015) (adding 225 ILCS 410/4-24 ). Relevant here, the law added section 4-24 to the Barber Act, providing that complaints against licensees on file with the Department are "for the confidential use of the Department and shall not be disclosed" except to law enforcement officials, other regulatory agencies, or pursuant to subpoena.
¶ 16 The Institute and the Department filed cross-motions for summary judgment. The circuit court granted the Institute's motion for summary judgment on November 12, 2015, denied the Department's cross-motion for summary judgment, and continued the matter for presentation of a formal order and to resolve miscellaneous issues.
¶ 17 On December 16, 2015, the circuit court issued an order, explaining that it found inapplicable the six FOIA exemptions claimed by the Department, that section 4-24 did not apply to the Institute's request because section 4-24 was enacted after the Institute's FOIA request, and that section 4-24 did not apply retroactively. On June 30, 2016, the court ordered the Department to produce the requested records by December 23, 2016, and awarded the Institute $35,000 in attorney fees and costs as the prevailing party. See 5 ILCS 140/11(i) (West 2012) ("If a person seeking the right to inspect or receive a copy of a public record prevails in a proceeding under this Section, the court shall award such person reasonable attorneys' fees and costs."). In a separate order, the court *1022 denied the Department's motion for a stay of the production order. The Department appealed the orders separately, which were consolidated on appeal by the appellate court.
¶ 18 The appellate court granted the Department's motion for a stay of the production order pending appeal.
¶ 19 Appellate Court Analysis
¶ 20 In his appeal, Perry argued that the circuit court erred in applying section 2105-117 of the Department of Professional Regulation Law retroactively to his FOIA action. Citing
Landgraf v. USI Film Products
,
¶ 21 In its appeal, the Department argued only that section 4-24 of the Barber Act applied to the Institute's request. The Institute asserted that, because section 4-24 contained no express provision regarding its temporal reach and because it is a substantive amendment that "redefines confidentiality protections and information availability," its application would have a retroactive impact upon the Institute.
¶ 22 The appellate court majority's analysis and reasoning was similar for both cases. See
Perry
,
" Kalven , [2014 IL App (1st) 121846 ,379 Ill.Dec. 903 ,7 N.E.3d 741 ,] Center for Biological Diversity [ v. United States Department of Agriculture ,626 F.3d 1113 (9th Cir. 2010) ], and Wisniewski [ v. Kownacki ,221 Ill. 2d 453 ,303 Ill.Dec. 818 ,851 N.E.2d 1243 (2006),] compel the conclusion that when a statutory amendment only affects the present or future disclosure of information (either by allowing for its disclosure or exempting it from disclosure) and does not otherwise impair anyone's rights with respect to completed transactions made in reliance on the prior law, the application of the amendment has no impermissible retroactive effect, and therefore, the amendment must be applied by the court if it is in effect at the time of the court's decision." Perry ,2017 IL App (1st) 161780 , ¶ 40,413 Ill.Dec. 329 ,77 N.E.3d 1136 .
See also
Institute for Justice
,
¶ 23 Regarding Perry's case, the appellate majority stated that:
"as section 2105-117 of the [Department of Professional Regulation Law] only exempts the complaint and exhibits requested by the plaintiffs from present or future disclosure, and does not otherwise impair plaintiffs' rights with respect to any completed transactions made in reliance on any prior law, its application has no impermissible retroactive effect. Therefore, the court properly applied section 2105-117 when ruling on the reconsideration motions and dismissing plaintiffs' FOIA request." Perry ,2017 IL App (1st) 161780 , ¶ 41,413 Ill.Dec. 329 ,77 N.E.3d 1136 .
¶ 24 The appellate majority rejected Perry's claim that the circuit court erred in dismissing Perry's claim for attorney fees under section 11(i) because section 11(i) only allows recovery of attorney fees when " 'a person seeking the right to inspect or receive a copy of a public record prevails in a proceeding' " under section 11. (Emphasis omitted.) Id. ¶ 46 (quoting *1023 5 ILCS 140/11(i) (West 2014) ). Because Perry did not prevail in the FOIA proceeding, the appellate majority held that the circuit court did not err in dismissing the claim for attorney fees. Id. The appellate majority also rejected Perry's assertion that the matter should be remanded for a hearing on the application of civil penalties against the Department under section 11(j). The appellate majority determined that Perry had forfeited review of this issue by failing to make an adequate argument regarding the imposition of civil penalties under section 11(j).
¶ 25 As to the Institute's case, the appellate majority stated:
"[a]s section 4-24 of the Barber Act only exempts the requested records from disclosure, and does not otherwise impair the Institute's rights with respect to any completed transaction made in reliance on any prior law, its application has no impermissible retroactive effect. Therefore, the circuit court should have applied section 4-24, which was in effect at the time of its ruling, and exempted the requested records from disclosure. Accordingly, we reverse the November 12, 2015, order granting the Institute's motion for summary judgment, and the June 30, 2016, order requiring the Department to produce the subject records and awarding the Institute $35,000 in attorney fees as a prevailing requestor." Institute for Justice ,2017 IL App (1st) 162141-U , ¶ 23.
¶ 26 Citing
Kalven
,
¶ 27 The appellate majority also rejected both Perry's and the Institute's arguments that this court's decision in
People ex rel. Madigan v. J.T. Einoder, Inc.
,
¶ 28 Separately, Perry and the Institute petitioned for leave to appeal to this court. Ill. S. Ct. R. 315 (eff. Mar. 15, 2016). We granted leave to appeal and consolidated the matters for review.
¶ 29 ANALYSIS
¶ 30 We must decide whether section 2105-117 of the Department of Professional Regulation Law and section 4-24 of the Barber Act apply to Perry's and the Institute's requests for information, respectively. 20 ILCS 2105/2105-117 (West Supp. 2015) ; 225 ILCS 410/4-24 (West 2016). First, however, we must determine the proper governing analysis. The standard of review is
de novo
, as this appeal presents an issue of statutory construction and also because it arises from a summary judgment order. See
Stern v. Wheaton-Warrenville Community Unit School District 200
,
¶ 31 Section 2105-117 provides:
"Confidentiality. All information collected by the Department in the course of an examination or investigation of a licensee, registrant, or applicant, including, but not limited to, any complaint against a licensee or registrant filed with the Department and information collected to investigate any such complaint, shall be maintained for the confidential use of the Department and shall not be disclosed. The Department may not disclose the information to anyone other than law enforcement officials, other regulatory agencies that have an appropriate regulatory interest as determined by the Director, or a party presenting a lawful subpoena to the Department. Information and documents disclosed to a federal, State, county, or local law enforcement agency shall not be disclosed by the agency for any purpose to any other agency or person. A formal complaint filed against a licensee or registrant by the Department or any order issued by the Department against a licensee, registrant, or applicant shall be a public record, except as otherwise prohibited by law." 20 ILCS 2105/2105-117 (West Supp. 2015).
¶ 32 Section 4-24 provides:
"Confidentiality. All information collected by the Department in the course of an examination or investigation of a licensee or applicant, including, but not limited to, any complaint against a licensee filed with the Department and information collected to investigate any such complaint, shall be maintained for the confidential use of the Department and shall not be disclosed. The Department may not disclose the information to anyone other than law enforcement officials, other regulatory agencies that have an appropriate regulatory interest as determined by the Secretary, or a party presenting a lawful subpoena to the Department. Information and documents disclosed to a federal, State, county, or local law enforcement agency shall not be disclosed by the agency for any purpose to any other agency or person. A formal complaint filed against a licensee by the Department or any order issued by the Department against a licensee or applicant shall be a public record, except as otherwise prohibited by law." 225 ILCS 410/4-24 (West 2016).
¶ 33 Prior to the effective dates of both sections 2105-117 and 4-24, certain information collected by the Department could properly be sought and disclosed. No one contends otherwise. Both Perry and the Institute filed their respective Illinois FOIA causes of action prior to the effective dates of both sections. Thus, both Perry's and the Institute's cases were pending at the time sections 2105-117 and 4-24 went into effect. If sections 2105-117 and 4-24 are held to apply to Perry's and the Institute's pending causes of actions, then under section 7(1)(a) of the Illinois FOIA, the information sought would be exempt. See 5 ILCS 140/7(1)(a) (West 2016) ("Information specifically prohibited from disclosure by federal or State law or rules and regulations implementing federal or State law."). By way of background, section 1 of the Illinois FOIA provides, in part:
"The General Assembly hereby declares that it is the public policy of the State of Illinois that access by all persons to public records promotes the transparency and accountability of public bodies at all levels of government. It *1025 is a fundamental obligation of government to operate openly and provide public records as expediently and efficiently as possible in compliance with this Act.
* * *
* * * This Act shall be construed to require disclosure of requested information as expediently and efficiently as possible and adherence to the deadlines established in this Act." 5 ILCS 140/1 (West 2016).
¶ 34 Under the Illinois FOIA, statutory exemptions are to be construed narrowly.
Lieber v. Board of Trustees of Southern Illinois University
,
¶ 35 Accordingly, we must decide whether sections 2105-117 and 4-24 apply to causes of action pending at the time of both sections' effective dates. We now turn to the parties' arguments regarding the proper analysis to employ to determine whether sections 2105-117 and 4-24 are to apply to Perry's and the Institute's causes of actions. Perry and the Institute assert that this court should simply apply its retroactivity analysis, which is summarized below. Were section 2105-117 and section 4-24 to be applied to Perry's and the Institute's cases, respectively, Perry and the Institute contend that application thereof would have a retroactive impact, which would result in inequitable consequences in contravention of J.T. Einoder, Inc. and strip them of their accrued causes of actions under Illinois FOIA, which they contend became vested rights, their entitlement to the requested documents and attorney fees, and their settled expectations regarding the law at the time of the requests.
¶ 36 The Department maintains that this court need not utilize a retroactivity analysis because Perry and the Institute seek declaratory and injunctive relief. According to the Department, because declaratory relief allows a court to announce the scope of a person's present right to information and injunctive relief allows it to order the public body to disclose information in the future based on present rights, the application of a statute that becomes effective during a pending FOIA action is not retroactive. A law applies if it is effective at the time the court determines, under current law, whether a public body can be ordered to disclose information in the future. Because FOIA determines present rights, not past rights, the Department maintains that there can be no vested right at issue, as prospective relief merely allows a court to declare present rights and order future compliance with those rights. Therefore, because "prospective relief is the only relief available here, the court need not engage in Illinois's modified Landgraf retroactivity analysis."
¶ 37 The Department explains that, "[u]nlike in the typical Landgraf analysis, the court is not looking back at an event and applying present law to a past moment to determine whether a right that vested should remain free from interference ... [a]nd because it is not retrospectively assessing the legality of a past event involving a vested right, no present laws are being applied retroactively." In response to the Department's prospective relief argument, Perry and the Institute claim that they are both actually seeking retrospective relief in the form of a mandatory injunction to remedy the Department's past misconduct.
¶ 38 We begin by detailing Illinois's retroactivity jurisprudence, which parties
*1026
still appear to be confused by, understandably, given its convoluted and muddled evolution. See
Commonwealth Edison Co. v. Will County Collector
,
¶ 39 In
Commonwealth Edison Co.
, this court adopted the United States Supreme Court's retroactivity analysis as set forth in
Landgraf
,
¶ 40 Under step one of
Landgraf
, a court first determines whether the legislature has " 'expressly prescribed' " the temporal reach of the new law. See
Commonwealth Edison Co.
,
¶ 41 However, in
Caveney v. Bower
, this court subsequently explained that, in light of section 4 of the Statute on Statutes, Illinois courts need not go beyond step one of the
Landgraf
approach.
¶ 42 Moreover, where the legislature has not expressly indicated its intent as to temporal reach, "a presumption arises that the amended statute is not to be applied retroactively."
J.T. Einoder, Inc.
,
*1027 "No new law shall be construed to repeal a former law, whether such former law is expressly repealed or not, as to any offense committed against the former law, or as to any act done, any penalty, forfeiture or punishment incurred, or any right accrued, or claim arising under the former law, or in any way whatever to affect any such offense or act so committed or done, or any penalty, forfeiture or punishment so incurred, or any right accrued, or claim arising before the new law takes effect, save only that the proceedings thereafter shall conform, so far as practicable, to the laws in force at the time of such proceeding. If any penalty, forfeiture or punishment be mitigated by any provisions of a new law, such provision may, by the consent of the party affected, be applied to any judgment pronounced after the new law takes effect. This section shall extend to all repeals, either by express words or by implication, whether the repeal is in the act making any new provision upon the same subject or in any other act." 5 ILCS 70/4 (West 2016).
¶ 43 "Section 4 is a general savings clause, which this court has interpreted as meaning that procedural changes to statutes will be applied retroactively, while substantive changes are prospective only."
Howard
,
¶ 44 Thus, after determining that a change is substantive, we need not reach the issue of whether application of the substantive change would have a retroactive impact or operation. Were we to undertake this inquiry, we would essentially be engaging in step two of the
Landgraf
analysis, which this court does not utilize. See
Caveney
,
¶ 45 To illustrate this distinction, we cite the Landgraf analysis:
"When a case implicates a federal statute enacted after the events in suit, the court's first task is to determine whether Congress has expressly prescribed the statute's proper reach. If Congress has done so, of course, there is no need to resort to judicial default rules. When however, the statute contains no such express command, the court must determine whether the new statute would have retroactive effect, i. e. , whether it would impair rights a party possessed when he acted, increase a party's liability for past conduct, or impose new duties with respect to transactions *1028 already completed. If the statute would operate retroactively, our traditional presumption teaches that it does not govern absent clear congressional intent favoring such a result." Landgraf ,511 U.S. at 280 ,114 S.Ct. 1483 .
¶ 46 Thus, under the
Landgraf
analysis, federal courts will engage in a retroactive impact inquiry if a statute's reach has not been expressly prescribed.
Landgraf
,
¶ 47 Department's Prospective Relief Argument
¶ 48 In support of its argument that a retroactivity analysis is inapplicable where prospective relief is sought, the Department relies upon several cases. We now examine each in turn, beginning with the Illinois cases.
¶ 49 First, the Department cites
Wisniewski v. Kownacki
,
"Plaintiff argues that applying the nondisclosure provisions of the Confidentiality Act and the Dependency Act to Kownacki's preenactment treatment records would have a retroactive impact because it would impose new duties with respect to documents and transactions completed years before the statutes' enactment. We reject this argument and conclude that the applicability of the Confidentiality Act and the Dependency Act to Kownacki's treatment records does not hinge upon a retroactivity analysis. Disclosure, which is the act regulated by both statutes, takes place only in the present or the future . Thus, any new duties regarding disclosure or nondisclosure would likewise be imposed only in the present or the future, not in the past. In other words, applying the nondisclosure provisions of the Confidentiality Act and the Dependency Act to preenactment treatment records and communications would not impair anyone's rights with respect to past transactions.
*1029 Neither statute impacts any actions that may have taken place in the past with regard to Kownacki's records. For these reasons, we conclude that the Confidentiality Act and the Dependency Act are applicable to treatment records and communications that were created pursuant to treatment given prior to the effective dates of those statutes." (Emphasis added.) Id. at 462-63,303 Ill.Dec. 818 ,851 N.E.2d 1243 .
¶ 50 The Department asserts that, in Wisniewski , this court "faced the question of whether the future disclosure of information had any retroactive impact" and "correctly concluded that it did not." The Department also points to the italicized portion above for support that, because disclosure occurs only in the future, a retroactivity analysis is inapplicable.
¶ 51 We disagree.
Wisniewski
analyzed whether the nondisclosure provisions of the Confidentiality Act and the Dependency Act could be applied to treatment records that were
created
nearly 20 years before either act's effective date.
Id. at 462,
¶ 52 Second, the Department cites
Hayashi v. Illinois Department of Financial & Professional Regulation
as also standing for the proposition that a retroactivity analysis is inapplicable where only prospective relief is at issue.
¶ 53 This court determined that "the plain language of the Act clearly indicate[d] that the legislature intended it to apply to convictions predating its effective date." Id. ¶ 17. Next, the court considered plaintiffs' argument that, even if they fell "within the plain language of the Act based on their prior convictions, the application of section 2105-165 to them is impermissibly retroactive in violation of their substantive *1030 due process rights." Id. ¶ 22. We explained:
"Applying the Landgraf test to the Act, we find that the legislature plainly indicated the temporal reach by stating that the license of a health care worker who has been convicted of one of the triggering offenses shall by operation of law be permanently revoked without a hearing. [Citation.] The Act provides that revocation of health care licenses pursuant to its provisions takes place only after its effective date. Thus, the Act is solely prospective and not retroactive in its operation. That being so, there is no need to turn to the alternative statutory sources suggested by plaintiffs in order to define the temporal reach of the Act. Section 4 of the Statute on Statutes [citation] controls by default only where the legislature has not clearly defined the temporal reach of a statute. [Citation.] If the legislature has clearly indicated the temporal reach of a provision, section 4 is inapplicable. [Citation.]" Id. ¶ 24.
¶ 54 However, despite the court's conclusion regarding the plainly indicated intent as to prospective reach, plaintiffs argued that the Act was retroactive "as applied to them because their health care licenses were revoked as a consequence of their prior convictions." Id. ¶ 25. Noting that the Act relied upon antecedent facts for its operation, this court explained that the Act did not apply retroactively to plaintiffs because the Act defined "new per se eligibility requirements with which licensees must comply in order to practice their health care professions in Illinois." Id. ¶ 26. Citing Wisniewski , this court explained that "[a]n amended statute which creates new requirements to be imposed in the present or future, and not in the past, does not have a retroactive impact on the parties." Id. Because the Act affected only the present and future eligibility of plaintiffs to continue to use their health care licenses, the court stated that the impact of applying the Act to plaintiffs was thus "solely prospective and not impermissibly retroactive within the meaning of the test articulated in Landgraf ." Id.
¶ 55 Like Wisniewski , Hayashi does not support the Department's argument. First and foremost, Hayashi is distinguishable because the legislature had clearly prescribed the temporal reach of the Act, unlike in the present cases. In such cases where temporal reach is not clearly expressed, as here, the analysis is instead guided by section 4 of the Statute on Statutes. Second, Hayashi did not involve the issue of whether the amended statute could properly be applied to a pending cause of action. In Hayashi , all three plaintiffs initiated suit after the amendment went into effect.
¶ 56 Finally, the Department relies upon several federal cases to support its assertion that, where prospective relief is sought, a retroactivity analysis does not govern.
¶ 57 Every federal case cited by the Department involves an analysis of the second step of
Landgraf
, which Illinois courts never reach. See,
e.g.
,
Center for Biological Diversity
,
¶ 58 In its brief, the Department asserts that Perry and the Institute "start from the misunderstanding that a right to information vested at some point before the intervening amendments became effective." Rather, the Department starts from the misunderstanding that Illinois courts
*1031
will skip over section 4 of the Statute on Statutes and instead conduct a retroactive impact inquiry. See
Thomas v. Guardsmark, LLC
,
¶ 59 Although the Department does not cite
Kalven
, to the extent that the appellate majority relied upon
Kalven
for the proposition that, "[w]hen claims are prospective, a court must apply the law that is in effect at the time of its decision," the appellate majority's reliance was misplaced. See
Kalven
,
¶ 60 Accordingly, to the extent that
Kalven
conflicts with our decision herein, it is hereby overruled. See
¶ 61 Vested Rights
¶ 62 We note that the parties contest whether any vested rights are at issue so as to bar retroactive application of section 2105-117 and section 4-24 to Perry's and the Institute's causes of actions, respectively. For example, the Department cites
Armstead
for the proposition that "there is no vested right in the mere continuance of a law" and that "[t]he legislature has an ongoing right to amend a statute."
¶ 63 Under the vested rights approach, if an amendment had no retroactive impact, a court would not apply further rules of construction to determine legislative intent.
Id. at 290,
*1032
Commonwealth Edison Co.
,
" 'Retroactivity' is a term often used by lawyers but rarely defined. On analysis it soon becomes apparent, moreover, that it is used to cover at least two distinct concepts. The first, which may be called 'true retroactivity,' consists in the application of a new rule of law to an act or transaction which was completed before the rule was promulgated. The second concept, which will be referred to as 'quasi-retroactivity,' occurs when a new rule of law is applied to an act or transaction in the process of completion. ... [T]he foundation of these concepts is the distinction between completed and pending transactions ...." (Internal quotation marks omitted.) Black's Law Dictionary 1511-12 (10th ed. 2014) (quoting Trevor C. Hartley, The Foundations of European Community Law 129 (1981) ).
¶ 64 Illinois courts no longer utilize a vested rights analysis to determine temporal reach. See
Commonwealth Edison Co.
,
¶ 65 Legislative Intent as to Temporal Reach
¶ 66 We first ask whether the legislature has clearly prescribed the temporal reach of sections 2105-117 and 4-24. Examining the plain language of both sections, we find that the legislature has not done so. To illustrate, we note that the legislature is undoubtedly aware of how to clearly indicate its intent that a statute apply to causes of action currently pending in the
*1033
courts.
Lazenby
,
¶ 67 We also presume that the legislature is fully aware of both section 4 and this court's case law.
In re Marriage of O'Neill
,
¶ 68 Because the legislature has not expressly prescribed its intent as to the temporal reach of either section 2105-117 or section 4-24, we now discern the legislature's intent by examining whether sections 2105-117 and 4-24 are procedural or substantive
changes in law
.
Hunter
,
¶ 69 As has previously been acknowledged by our case law, distinguishing between procedural and substantive changes can sometimes be unclear. See
People v. Atkins
,
¶ 70 Black's Law Dictionary defines "procedural law" as "[t]he rules that prescribe the steps for having a right or duty judicially enforced, as opposed to the law that defines the specific rights or duties themselves." Black's Law Dictionary 1398 (10th ed. 2014). "Substantive law" is in turn defined as "[t]he part of the law that creates, defines, and regulates the rights, duties, and powers of the parties." Black's Law Dictionary 1658 (10th ed. 2014).
¶ 71 Because both sections 2105-117 and 4-24 alter the scope of information that is accessible, both amendments are substantive changes. The scope of accessible information necessarily determines whether a cause of action would arise or accrue under the Illinois FOIA. Certainly, sections 2105-117 and 4-24 do not speak to pleading, evidence, or steps and practice. Nor can sections 2105-117 or 4-24 be said to be changes to special remedial statutes. See
Glisson
,
¶ 72 The Department asserts that both Perry and the Institute always had and still have causes of action under section 11 of the Illinois FOIA but that sections 2105-117 and 4-24 changed Perry's and the Institute's present right to information. This argument is unpersuasive, as we have already rejected the Department's prospective relief argument. Before the effective dates of sections 2105-117 and 4-24, a party could seek and potentially obtain the type of information sought by Perry and the Institute. Today, a party would not be able to do so.
¶ 73 Briefly, we note that any concern that our holding would impermissibly order a public officer to disclose documents which the legislature has dubbed confidential and therefore exempt from disclosure under section 7 of the Illinois FOIA is baseless. See 5 ILCS 140/7(1)(a) (West 2016). Such an argument would mean that a court would have to ignore the legislature's clear intent. If the legislature has made clear that a change in law is not to apply to pending causes of action, then it follows that, in select cases, a public official is not legally constrained by a new provision.
¶ 74 In a similar vein, as to the Institute's case, the Department insinuates that, because the Institute's complaint sought disclosure of documents "from 2011 to the present," that the word "present" is still operative in the future sense. However, the circuit court already determined that the word "present" meant until December 23, 2013, ordering that "[d]efendant shall provide to Plaintiff '[a]ll complaints regarding licensed cosmetologists and hair braiders received by the Board from January 1, 2011 to December 23, 2013.' " Further, the record also reveals that the Department understood "present"
*1035 to hold the same meaning. In its response to Perry's motion to establish the scope of document production, the Department contended "the scope of the FOIA request only extends from 2011 to September 12, 2013."
¶ 75 As to relief, Perry requests that the grant of summary judgment for the Department be reversed with direction to provide the documents as redacted and further that this matter be remanded for further hearings as to the application and assessment of costs as permitted under section 11(j) or other relief as this court deems just and proper. See 5 ILCS 140/11(j) (West 2016) ("If the court determines that a public body willfully and intentionally failed to comply with this Act, or otherwise acted in bad faith, the court shall also impose upon the public body a civil penalty of not less than $2,500 nor more than $5,000 for each occurrence."). We reverse the grant of summary judgment for the Department with directions that the circuit court hold a hearing to reconsider whether Perry is also entitled to disclosure of the subject complaint in a redacted form and, if Perry is the prevailing party, whether Perry is entitled to attorney fees under section 11(i). See 5 ILCS 140/11(i) (West 2016) ("If a person seeking the right to inspect or receive a copy of a public record prevails in a proceeding under this Section, the court shall award such person reasonable attorney's fees and costs.").
¶ 76 With respect to Perry's request for a hearing to be held on section 11(j) penalties, we note the Department's argument that Perry forfeited any claim for penalties and makes no argument to this court that the appellate court's forfeiture finding was an abuse of discretion. See
Perry
,
¶ 77 With respect to the Institute, we reverse the appellate *1036 court's order and reinstate the circuit court's grant of summary judgment in favor of the Institute.
¶ 78 CONCLUSION
¶ 79 Illinois's retroactivity analysis governs where a change of law becomes effective during the pendency of a lawsuit. Because the legislature did not clearly prescribe its intent as to whether sections 2105-117 and 4-24 should be applied to pending lawsuits, we considered whether, under section 4 of the Statute on Statutes, the changes in law are procedural or substantive. As both sections 2105-117 and 4-24 are substantive changes to the law, sections 2105-117 and 4-24 are to apply prospectively only. Accordingly, as to Perry, we reverse the grant of summary judgment for the Department with directions that the circuit court hold a hearing to reconsider whether Perry is also entitled to disclosure of the subject complaint in a redacted form and, if Perry is the prevailing party, whether Perry is entitled to attorney fees under section 11(i). See 5 ILCS 140/11(i) (West 2016). We also direct the circuit court to hold a hearing on section 11(j) civil penalties. With respect to the Institute, we reverse the appellate court's order and reinstate the circuit court's grant of summary judgment in favor of the Institute.
¶ 80 No. 122349, Reversed.
¶ 81 No. 122411, Reversed and remanded with directions.
Chief Justice Karmeier and Justices Freeman, Thomas, Kilbride, Burke, and Theis concurred in the judgment and opinion.
Reference
- Full Case Name
- Christopher J. PERRY Et Al., Appellants, v. the DEPARTMENT OF FINANCIAL AND PROFESSIONAL REGULATION, Appellee. Institute for Justice, Appellant, v. the Department of Financial and Professional Regulation, Appellee.
- Cited By
- 14 cases
- Status
- Unpublished