International Union, United Plant Guard Workers v. Department of State Police
International Union, United Plant Guard Workers v. Department of State Police
Opinion of the Court
The question is whether the Department of State Police may refuse to disclose to the United Plant Guard Workers of America reports, sought by upgwa pursuant to the Michigan Freedom of Information Act,
The circuit court ordered disclosure of the reports and taxed a nominal attorney fee. The Court of Appeals affirmed.
In Kestenbaum v Michigan State University, 414 Mich 510; 327 NW2d 783 (1982), an evenly divided Court affirmed a Court of Appeals decision denying an foia request for the names and addresses of students. Both opinions in Kestenbaum employed the balancing test articulated, in dictum,
In Tobin v Civil Service Comm, 416 Mich 661; 331 NW2d 184 (1982), a "reverse foia” case in which a third person attempted to prevent disclosure, the parties agreed that the information requested was within the privacy exemption.
This Court thus has not decided whether, in determining if an invasion of privacy is "clearly
Our conclusion that providing the information requested in the instant case would not constitute a clearly unwarranted invasion of privacy under either approach makes it unnecessary to decide whether a court should balance the interest in disclosure against the individual right to privacy or consider only the nature and extent of the potential invasion of privacy.
The Attorney General contends that disclosure is required only where it would serve the foia’s "core” purpose of revealing the inner workings of the government. This argument is based on the following declaration of public policy at the outset of the foia:
It is the public policy of this state that all persons are entitled to full and complete information regarding the affairs of government and the official acts of those who represent them as public officials and public employees, consistent with this act. The people shall be informed so that they may fully participate in the democratic process.[8 ]
While the federal Freedom of Information Act does not contain such a declaration of policy, the inclusion of the policy section does not mean that the Legislature intended for use of the foia to be limited to its core purpose.
The foia does not require that all requests further the core purpose, or even that all requests affecting the rights of third persons further the core purpose. The act presumes records are dis-closeable and provides that a person has a right to public records "except as otherwise expressly provided by [the exceptions section].”
The Legislature decided on a broad policy of disclosure not limited to special circumstances. By declining to confine use of the foia to its core purpose, the Legislature seems to have decided that society would be better off if the government shares valuable information. As has been said, one aim of a freedom of information act is "to facilitate the exploitation of positive externalities created by the government’s acquisition of valuable information.”
Restricting the use of the foia to its core purpose would also put a premium on the ingenuity with which a requester can characterize his interest as furthering the core purpose of the act.
Thus while the policy statement underscores the core purpose, it cannot properly be read as words of limitation, requiring that all information requests further the core purpose.
Ill
In Part III, we discuss the "public interest” in
A
Assuming a balancing test is to be applied, it must still be determined whether a court should consider only the classic public interest, or whether a court should also consider the benefits that disclosure would bestow on the requester and other directly interested parties.
In addition, if courts consider only the classic public interest, the balancing test would account
The benefits to both directly interested groups and the general public should be considered.
B
The requester, upgwa, has a strong proprietary interest since the information would be useful and is difficult otherwise to obtain.
The classic "public interest” is very limited in this case. The union did not assert that the request would further the foia’s core purpose. The general public purpose claimed is the encouragement of collective bargaining, but this is not compelling. Collective bargaining is governed by its own body of law. If the information requested were neces
Although labor law does not provide a means for the acquisition of the requested information, it does not follow that the information cannot be obtained pursuant to the foia. In Excelsior Underwear, Inc, 156 NLRB 1236; 61 LRRM 1217 (1966), the National Labor Relations Board recognized that a union might attempt to secure names and addresses by means other than the acquisition of an 'Excelsior list” of employees eligible to vote in a representation election.
In Washington Post Co v Dep’t of Health & Human Services, 223 US App DC 139, 145; 690 F2d 252 (1982), the United States Court of Appeals for the District of Columbia Circuit, in concluding that "information that is privileged against discovery can nonetheless be obtained under foia,” reasoned that "the issues in discovery proceedings and the issues in the context of an foia action are quite different” and that therefore an "independent inquiry” was required to evaluate the privacy issues.
Also, an Excelsior list is available only after the direction or approval of an election,
Finally, because the list requested is in the possession of the state, the employer has no bur
Certain addressees who would like to unionize might be unaware of upgwa, and would be pleasantly surprised by the receipt of an upgwa solicitation.
IV
Solicitation could result in an invasion of an addressee’s privacy interest. The "short, though regular, journey from the mail box to the trash can,”
There is little evidence concerning the actual effects upgwa’s solicitations might have on addressee privacy.
While we realize that foia is often used as a shortcut to obtain information, and that the compilation of empirical data might therefore defeat a requester’s objective, and that, in cases in which the requested information is truly embarrassing, the state might find it difficult to secure witnesses who would openly testify about, and thereby reveal their relation to, the embarrassing information, we nonetheless conclude that the state has failed to meet its burden of demonstrating that the requested information is so personal and private
V
Upgwa claims it is entitled to recover reasonable, actual attorney fees, costs, and disbursements, and is not limited to an attorney fee taxed as costs pursuant to § 2441(l)(b) of the Revised Judicature Act.
(4) If a person asserting the right to inspect or to receive a copy of a public record or a portion thereof preveáis in an action commenced pursuant to this section, the court shall award reasonable attorneys’ fees, costs, and disbursements. If the person prevails in part, the court may in its discretion award reasonable attorneys’ fees, costs, and disbursements or an appropriate portion thereof. The award shall be assessed against the public body liable for damages under subsection (5).[45 ]
The act clearly provides that reasonable fees and other expenses must
We remand to the circuit court for a determination of the amount, and reasonableness, of upgwa’s claimed attorney fees, costs, and disbursements.
In my judgment, the provisions of § 13 of the Michigan Freedom of Information Act do not justify the refusal to disclose the information requested by plaintiff in this case because revelation of the requested information would not consti
My views concerning the general purpose of the state foia, the intent of its drafters, the meaning of the principal operative language of the public policy section,
It suffices to say that the only reasonably debatable point upon which the resolution of this litigation ought to turn is whether disclosure by the state police of the names and home addresses of the security guards in this case, and the identity of their employers, if an invasion of privacy at all, is one "clearly unwarranted” within the meaning of § 13 of the act.
My colleagues seem to be divided over the question whether courts should engage in a balancing of interests as a means of determining whether, in a given case, particularly this one, the public benefit to be derived from disclosure of requested information so outweighs the privacy interest involved as to warrant the conclusion that the privacy invasion was not clearly unwarranted.
It seems plain to me that deciding whether an asserted invasion of privacy is warranted, unwarranted, or clearly unwarranted involves identification and application of a standard, a criterion, to provide an answer to the question, "Compared to what?” That is the "balancing” I referred to in
I confess to great difficulty in identifying any basis for the conclusion, in this day and age, that one’s name, address, and the identity of his employer is "information of a personal nature,” within the meaning of the exemption from disclosure provisions of § 13 of the foia or that public disclosure of such information is, per se, a clearly unwarranted invasion of privacy, whether considered in the abstract or as compared to an assert-edly countervailing public purpose. See Kesten-baum, opinion of Ryan, J., n 18.
I concur in part V of my brother Levin’s opinion concerning attorney fees.
I
I believe that the release by the Department of
The foia provides for public access to public records kept by governmental bodies provided that the requested information does not fall within any enumerated exemption set forth in the act.
The legislative intent of the foia is articulated in MCL 15.231(2); MSA 4.1801(1X2):
(2) It is the public policy of this state that all persons are entitled to full and complete information regarding the affairs of government and the official acts of those who represent them as public officials and public employees, consistent with this act. The people shall be informed so that they may fully participate in the democratic process. [Emphasis added.]
Thus the foia provides public access to valuable information regarding the affairs of government, and at the same time, it subjects the activities of government to public scrutiny.
"Public body” and "public record” are defined in §§ 2(b) and 2(c) of the act. MCL 15.232(b), 15.232(c); MSA 4.1801(2)(b), 4.1801(2)(c). The parties here agree that the defendant department is a "public body.” The parties also agree that the requested information is contained in a "public record.”
The parties hereto agree that the thrust of the
A public body may exempt from disclosure as a public record under this act:
(a) Information of a personal nature where the public disclosure of the information would constitute a clearly unwarranted invasion of an individual’s privacy. [MCL 15.243(l)(a); MSA 4.1801(13)(l)(a).]
In analyzing requests for release of records which are claimed to fall within the privacy exemptions of the state and federal acts, many courts have followed the approach articulated by the United States Supreme Court in Dep’t of the Air Force v Rose, 425 US 352; 96 S Ct 1592; 48 L Ed 2d 11 (1976), i.e., that the public interest must be weighed against the invasion of privacy. In Dep’t of the Air Force, supra, 372, the Court explained:
Congress sought to construct an exemption that would require a balancing of the individual’s right of privacy against the preservation of the basic purpose of the Freedom of Information Act "to open agency action to the light of public scrutiny.”
As Justice Levin recognizes, it has not been clear, however, exactly what is the public interest that is to be balanced against the invasion of privacy. I conclude that the extent to which disclosure would effectuate the purpose of the foia, as expressed in § 1(2), is a factor properly considered in evaluating the public interest in disclosure. This
It is significant to note that there is an important difference between the Michigan foia and the federal act, 5 USC 552. The federal act, unlike our act, contains no statement of public policy. In addition, a survey of the federal cases indicates that their decisions have gone far beyond the initial standard first enunciated by the United States Supreme Court in Dep’t of the Air Force v Rose, supra.
I agree with Justice Levin that "[t]he foia does not require that all requests further the core purpose” as expressed in the policy section because that would, in effect, be creating a separate exemption not intended by the Legislature. However, I believe this section cannot be ignored. The foia’s policy section must be used in defining the public interest side when determining whether a request for information gives rise to a clearly unwarranted invasion of privacy. The more the release of the information would further the core purpose of the act, the more the scale will tip in favor of disclosure.
It is for these reasons that I decline to follow the federal lead, or that of Justices Levin and Ryan today,
II
In evaluating the privacy interests involved in
A complete employee personnel list shall be filed with the department by each licensee on a quarterly basis. This list shall be kept conñdential except for oficial use. [1979 AC, R 28.4003. Emphasis added.]
These quarterly reports (which include names and home addresses of each licensee’s employees) are used by the department to verify that the individuals who are employed with private security guard agencies are in compliance with the employment qualifications specified in the act.
Turning next to the public interest asserted, the quarterly reports in the instant case were requested by the upgwa for the purpose of furthering union activity. The request with regard to one agency was to disseminate information concerning organization of a union. The purpose with regard to the other two agencies was to facilitate the enactment of collective bargaining agreements. As Justice Levin notes, the general public purpose asserted — the encouragement of collective bargaining — is not compelling. Further, in assessing the extent to which disclosure would further the core purpose of the act as expressed in § 1(2), no claim is made that release of the requested information would either serve to increase public awareness and understanding of the actions and operations of public agencies, officials, or employees, or that it would facilitate participation in the democratic process.
IV
I conclude that in balancing the privacy interest at stake with the public interest in disclosure (which includes the "core purpose” factor), it is clear that the privacy interest does outweigh the public interest, thus mandating denial of disclosure of the requested records. While release of names and home addresses in some instances may not be a clearly unwarranted invasion of privacy, I am persuaded that it is in this case. Here the requested information is from an involuntary submitter under a requirement that also provides that the information be kept confidential. Moreover, this request intrudes upon and may adversely affect the confidentiality needs usually associated with private security personnel.
Finally, I conclude that it is a distortion of the language of the foia and the legislative intent declared therein to argue that the controlling factor, in weighing whether an invasion of privacy is warranted, is the particular public purpose claimed by those requesting the information contained in the public records. To be sure, my colleagues cite several cases to support the conclusion they have reached today, but in almost every instance they rely on federal cases which speak to the federal act which contains no express statement of public policy. I decline, however, to read the policy section out of the Michigan act. I consider this act in its entirety as it was written. Thus, I am persuaded that we are not bound by the balancing of interests test espoused by either Justices Levin or Ryan (i.e., the public purposes of those seeking disclosure versus the extent of the invasion of privacy). I agree with former Chief Justice Fitzgerald’s opinion in Kestenbaum v Michigan State University, 414 Mich 510; 327 NW2d 783 (1982), holding that the particular purpose for which the information is requested is not the controlling focus of analysis when scrutinizing the public benefits of disclosure. The determination should also include whether the release is
MCL 15.231 et seq.; MSA 4.1801(1) et seq.
The privacy exemption provides:
"(1) A public body may exempt from disclosure as a public record under this act:
"(a) Information of a personal nature where the public disclosure of the information would constitute a clearly unwarranted invasion of an individual’s privacy.” MCL 15.243(l)(a); MSA 4.1801(13)(l)(a).
Upgwa asserted that the request was in the public interest because it would "facilitate the dissemination to . . . employees of information concerning the union,” and facilitate enforcement of existing collective bargaining agreements.
Int’l Union, United Plant Guard Workers of America v Dep’t of State Police, 118 Mich App 292; 324 NW2d 611 (1982).
Because the United States Supreme Court in Dep’t of the Air Force v Rose, 425 US 352; 96 S Ct 1592; 48 L Ed 2d 11 (1976), ordered that the requested information be disclosed, the privacy exemption was not operative. In United States Dep’t of State v Washington Post Co, 456 US 595; 102 S Ct 1957; 72 L Ed 2d 358 (1982), the Court held only that records need not be similar to personnel or medical records to qualify for the privacy exemption.
In Breckon v Franklin Fuel Co, 383 Mich 251, 278-279; 174 NW2d 836 (1970), this Court, considering the effect of opinions signed by four of eight justices, quoted approvingly from 20 Am Jur 2d, Courts, § 195, pp 530-531:
"A decision by an equally divided court does not establish a precedent required to be followed under the stare decisis doctrine.”
Accord Hertz v Woodman, 218 US 205, 213-214; 30 S Ct 621; 54 L Ed 1001 (1909); Meredith v Bd of Public Instruction, 112 F2d 914, 916 (CA 5, 1940).
The issue is not a simple one. Although the language of the privacy exemption in the federal Freedom of Information Act, like its Michigan counterpart, does not mandate balancing, some authority for balancing can be found in the Senate report:
"The phrase 'clearly unwarranted invasion of personal privacy’ enunciates a policy that will involve a balancing of interests between the protection of an individual’s private affairs from unnecessary public scrutiny, and the preservation of the public’s right to governmental information.” (Emphasis added.)
In contrast, the House report seems to imply that Congress itself struck the balance with the phrase "clearly unwarranted”:
"The limitation of a 'clearly unwarranted invasion of personal privacy’ provides a proper balance between the protection of an individual’s right of privacy and the preservation of the public’s right to Government information by excluding those kinds of files the disclosure of which might harm the individual.” (Emphasis added.)
(Both reports are reproduced in Hoglund & Kahan, Comment: Invasion of privacy and the Freedom of Information Act: Getman v NLRB, 40 Geo Wash L R 527, 530, ns 19, 20 [1972]).
Some courts and commentators have said that the Senate report provides more useful insight into Congressional intent. In Getman v NLRB, 146 US App DC 209, 212, n 8; 450 F2d 670 (1971), the United States Court of Appeals for the District of Columbia Circuit said:
"[T]he Senate report is to be preferred over the House report as a reliable indication of legislative intent because the House report was not published until after the Senate had already passed its bill.”
Accord Benson v GSA, 289 F Supp 590, 595 (WD Wash, 1968), and Consumers Union, Inc v Veterans Administration, 301 F Supp 796, 801 (SD NY, 1969).
Professor Davis said that "the House committee yielded to pressures to restrict the disclosure requirements, but instead of changing the bill, it wrote the restrictions into the committee report.” Davis, Administrative Law (3d ed), p 69. The House report, in this context, seems to support more liberal disclosure than the Senate report.
MCL 15.231; MSA 4.1801(1).
MCL 15.233(1); MSA 4.1801(3)(1). (Emphasis added.)
The foia provides for exemption from disclosure only (see MCL 15.243[1]; MSA 4.1801[13][1]) for:
"(g) Trade secrets or commercial or financial information voluntarily provided to an agency for use in developing governmental policy if:
(i) The information is submitted upon a promise of confidentiality by the public body.
(ii) The promise of confidentiality is authorized by the chief administrative officer of the public body or by an elected official at the time the promise is made.
(iii) A description of the information is recorded by the public body within a reasonable time after it has been submitted, maintained in a central place within the public body, and made available to a person upon request. This subdivision shall not apply to information submitted as required by law or as a condition of receiving a governmental contract, license, or other beneñt.” (Emphasis added.)
The foia provides for exemption from disclosure only (see MCL 15.243[1]; MSA 4.1801[13][1]) for:
"(p) Information which would reveal the exact location of archeological sites. The secretary of state may promulgate rules pursuant to Act No. 306 of the Public Acts of 1969, as amended, being sections 24.201 to 24.315 of the Michigan Compiled Laws, to provide for the disclosure of the location of archeological sites for purposes relating to the preservation or scientific examination of sites.”
The foia provides for exemption from disclosure only (see MCL 15.243[1]; MSA 4.1801[13][1]) for:
"(q) Testing data developed by a public body in determining whether bidders’ products meet the specifications for purchase of those products by the public body, if disclosure of the data would reveal that only 1 bidder has met the speciñcations. This subdivision shall not apply after 1 year has elapsed from the time the public body completes the testing.”
The foia provides for exemption from disclosure only (see MCL 15.243[1]; MSA 4.1801[13][1]) for:
"(r) Academic transcripts of an institution of higher education established under sections 5, 6 or 7 of article 8 of the state constitution of 1963, where the record pertains to a student who is delinquent in the payment of financial obligations to the institution.”
See ns 16 and 21 and accompanying text.
Kestenbaum, supra, p 542, n 10, quoting Kronman, The privacy exemption to the Freedom of Information Act, 9 J Legal Studies 727, 744 (1980).
See n 21. Although the note discusses problems with the "public interest,” similar problems exist in determining the core purpose.
A request which would benefit the general public might not further the core purpose of the foia, and vice versa. For instance, a request by a tax attorney for Internal Revenue Service revenue rulings for use in his private practice would further the core purpose (it would reveal how government officers make governmental decisions), but would probably not benefit the general public. Conversely, a request by a philanthropist for the names of students receiving financial aid, so that the philanthropist could set up a broad-based scholarship fund, would appear to benefit the general public (students would receive aid and taxpayers would be less burdened), but would not seem to further the core purpose of the foia.
See n 7.
MCL 15.234(1); MSA 4.1801(4)(1).
MCL 15.243(l)(a); MSA 4.1801(13)(l)(a). (Emphasis added.)
In Washington Post Co v Dep’t of Health & Human Services, 223 US App DC 139, 148; 690 F2d 252, 261 (1982), the United States Court of Appeals for the District of Columbia Circuit said that the privacy exemption
"requirement that disclosure be 'clearly unwarranted’ instructs us to 'tilt the balance [of disclosure interests against privacy interests] in favor of disclosure . . .’ the [privacy exemption’s] presumption in favor of disclosure is as strong as can be found anywhere in the Act.”
Accord Rose, supra, p 378, n 16; Kestenbaum, supra, p 554 (opinion of Ryan, J.); Mullin v Detroit Police Dep’t, 133 Mich App 46, 50; 348 NW2d 708 (1984); UPGWA, n 3 supra, p 295; Penokie v Michigan Technological University, 93 Mich App 650, 663; 287 NW2d 304 (1979); Ditlow v Shultz, 170 US App DC 352, 355; 517 F2d 166 (1975); Getman, n 7 supra, p 213; Rural Housing Alliance v United States Dep’t of Agriculture, 162 US App DC 122; 498 F2d 73 (1974); Disabled Officer’s Ass’n v Rumsfeld, 428 F Supp 454 (D DC, 1977).
Because the "public interest” is a vague, difficult-to-quantify concept, courts have had trouble using it in this context. One commentator has noted that "[a]s a result [of the public interest requirement] there is a premium on the ingenuity with which a requester’s lawyer can characterize a client’s interest as public.” Adler, Litigation Under the Federal Freedom of Information Act and Privacy Act (10th ed), p 111. Compare, for example, American Federation of Government Employees v Dep't of Health & Human Services, 712 F2d 931 (CA 4, 1983) (union’s request for addresses of employees denied because benefits "inure primarily to the union”) and Van Bourg,
In a pluralistic society, there cannot be a public interest — there only can be a diverse hodgepodge of values and interests, the sum of which might be called the "public interest.” The "public interest” is often a shorthand method of accounting for difficult-to-quantify benefits that accrue to a large number of persons. Upgwa is part of "the public”; its interests, even if "private,” are part of a broader public interest. Similarly, benefits to addressees also further a broadly viewed public interest.
It is unclear whether harm to nonaddressees and the public interest should be considered in balancing interests. The state, if required to divulge information in contravention of a promise of confidentiality, might find it more difficult to obtain cooperation in the future, and increased compliance costs would harm the public. (See generally Washington Post Co, n 20 supra, pp 146, 168.) Also, the submission by the Michigan Association of Private Detectives and Security Guard Agencies, Inc., of an amicus brief opposing disclosure suggests that security guard agencies might prefer that the addresses of their employees not be disclosed. We are of the opinion that the Legislature, by providing for broad disclosure limited by few exceptions, determined that only specified interests (i.e., the privacy interests of addressees) should weigh against disclosure.
Except as exemptions to disclosure provide (see generally MCL 15.243; MSA 4.1801[13]), the foia makes the agency’s interests subservient to the other interests.
Without use restrictions, addressees for whom the privacy cost is greater than the benefit from contact if there are no use restrictions, but for whom benefit from contact is greater than privacy cost if use restrictions are used, are "harmed addressees.” With use restrictions, such addressees are "benefited addressees.”
The availability of alternative sources of information has been considered by some courts. See Kestenbaum, supra, pp 530-533; Mullin, n 20 supra, p 53; UPGWA, n 3 supra, p 295; Penokie, n 20 supra, p 659; Getman, n 7 supra, pp 215-216; Ditlow, n 20 supra, p 358; Disabled Officer’s, n 20 supra, p 458; Van Bourg, n 21 supra, p 1273; Rural Housing Alliance, n 20 supra, p 127; Minnis v Dep’t of Agriculture, 737 F2d 784, 786 (CA 9, 1984).
Here, upgwa could attempt to obtain an "Excelsior list” of employees who are eligible to vote in a union election, but only after the approval or direction of an election, and this would require a showing by upgwa that thirty percent of the employees were interested in the union. See Excelsior Underwear, Inc, 156 NLRB 1236; 61 LRRM 1217 (1966). The nlrb has acquiesced to the disclosure of "Excelsior lists” which contain up to a thirteen percent error factor in the addresses of eligible voters. See Days Inn of America, Inc, 216 NLRB 384; 88 LRRM 1224 (1975). Upgwa could also negotiate with the employers for a list of employee addresses, but this would presumably require some concession by the union. Finally, while upgwa might use other means of communicating with potential members, methods such as distributing leaflets might be ineffective at organizing dispersed workers.
UPGWA, n 3 supra, p 297. See also Kronman, n 15 supra, p 744.
Under certain circumstances, a union may require an employer to disclose the names and addresses of certain employees. See the discussion of Excelsior, n 26 supra.
Michigan law appears to be in accord with Excelsior. See Helper v Dep’t of Labor, 64 Mich App 78; 235 NW2d 161 (1975).
In contrast, in United States v Weber Aircraft Corp, 465 US 792;
In Weber the Supreme Court was construing foia exemption 5 which allows withholding of:
"inter-agency or intra-agency memorandums or letters which would not be available by law to a party other than an agency in litigation with the agency.” 5 USC 552(b)(5). (Emphasis added.)
Because exemption 5 requires consideration of availability in litigation, a court, in determining whether information must be disclosed pursuant to the foia, must first decide whether the information would be discoverable.
The separate privacy exemption, however, stands on its own, and does not incorporate another body of law.
See Excelsior, supra. See also Morris, The Developing Labor Law (2d ed), p 382.
See Gray Drug Stores, Inc, 197 NLRB 924; 80 LRRM 1449 (1972).
In Disabled Officer’s, n 20 supra, p 458, a United States district court considered that disclosure might benefit certain addressees.
Upgwa could, for instance, have attempted to show that guards had communicated with the union regarding representation. In some cases, benefit to the addressees can probably be assumed. In Ditlow, n 20 supra, for instance, an attorney wished to communicate with travelers who might recover damages in a class action. See also UPGWA, n 3 supra, p 296.
Kestenbaum, supra, p 555 (opinion of Ryan, J.), quoting Lamont v Comm’r of Motor Vehicles, 269 F Supp 880, 883 (SD NY, 1967). See also Kronman, n 15 supra, p 745.
See Kromnan, n 15 supra, p 747.
Id., p 745.
In Kestenbaum, supra, pp 544, 551, Justice Ryan suggested that a court first inquire whether requested information was "of a personal nature” and, if so, then determine whether the disclosure of the information "would constitute a 'clearly unwarranted invasion of an individual’s privacy.’ ”
It has been said that "[o]ther things being equal, release of information provided under a pledge of confidentiality involves a greater invasion of privacy than release of information provided without such a pledge.” Washington Post Co, supra, 223 US App DC 150. Accord Ditlow, n 20 supra, p 358. See also Rural Housing, n 20 supra, p 127, n 21; Robles v EPA, 484 F2d 843, 846 (CA 4, 1973). The reasons for this belief are not compelling, and apply with little force in this case.
While the foia exempts from disclosure “[rjecords or information specifically described and exempted from disclosure by statute” (emphasis added), MCL 15.243(l)(d); MSA 4.1801(13)(l)(d), there is no corresponding provision concerning information described in administrative regulations or promises. A regulation, qua regulation, therefore, does not defeat disclosure. See Legal Aid Society of Alameda County v Schultz, 349 F Supp 771, 776 (ND Cal, 1972) ("administrative promises of confidentiality cannot extend the command of the Freedom of Information Act that only matters 'specifically exempted ... by statute’ are [exempted from disclosure]”).
The significance, if any, of a pledge of confidentiality is attributable to the expectation of privacy the pledge may generate (see Washington Post Co, supra, 223 US App DC 150) or to the belief that such a pledge would not have been made unless the information submitted was truly personal.
Assuming that a pledge of confidentiality can create an expectation of privacy if properly communicated, there is no evidence that the guards in this case were aware of the pledge. The Court should not assume such awareness especially since the employers, not the guards, submitted the information to the State Police. See MCL 338.1068(1); MSA 18.185(18X1).
While, arguably, a pledge of confidentiality might give rise to the inference that the underlying information is personal in nature, there is no need to rely on an inference. This Court can directly examine the content of the information and make a judgment whether it is personal. The State Police may have honestly believed that the information was "personal” and thus in need of confidentiality, but the State Police possess no special ability to determine whether information is personal (in the generic sense), and the State Police certainly have no expertise in determining whether information is "of a personal nature” within the meaning of the foia.
Although there has been no allegation in the instant case that the pledge of confidentiality was given to subvert the foia, an agency might make such a pledge to accomplish that objective. See, e.g., Washington Post Co, supra, 223 US App DC 150 ("to allow the government to make documents exempt by the simple means of promising confidentiality would subvert foia’s disclosure mandate”); Ackerly v Ley, 137 US App DC 133, 136-137, n 3; 420 F2d 1336 (1969) ("it wül obviously not be enough for the agency to assert simply that it received the file under a pledge of confidentiality to the one who supplied it. Undertakings of that nature can not, in and of themselves, override the Act”). Accord Robles, supra, p 846; Providence Journal Co v FBI, 460 F Supp 778, 786 (DC RI, 1978); Legal Aid Society, supra, p 776. See, also, Davis, Administrative Law (Supp 1970), § 3A.22, p 164.
Because a confidentiality pledge is of limited value in determining whether information is "[¡Information of a personal nature” disclosure of which "would constitute a clearly unwarranted invasion of an individual’s privacy,” and because there is a potential for abuse, a pledge of confidentiality should be given little, if any, weight.
The foia, MCL 15.243(l)(t); MSA 4.1801(13)(l)(t), permits an agency to withhold "[ujnless the public interest in disclosure outweighs the public interest in nondisclosure in the particular instance, public records of a police or sheriffs agency or department, the release of which would do any of the following: . . . (iii) Disclose the personal address or telephone number of law enforcement officers or agents or any special skills that they may have.”
The Attorney General argues that because security guards are quasi-law enforcement officers subject to some of the same risks as
Under the foia, however, withholding of information is permitted only when "expressly provided by [the exceptions section]” MCL 15.233(1); MSA 4.1801(3)(1) (emphasis added). The exceptions section does not "expressly” permit withholding the addresses of security guards.
The fact that the addresses of law enforcement officers need not be disclosed does not mean that the addresses comprise "[information of a personal nature” the disclosure of which "would constitute a clearly unwarranted invasion of an individual’s privacy.” If addresses were personal, there would have been no reason to include a separate section exempting from disclosure officers’ addresses. The exemption for the addresses of law enforcement officers was added not because an address is information of a personal nature, but because the exemption is thought to promote effective police work or to he necessary for the protection of law enforcement officers and their families. The Legislature did not feel that such an address exemption was necessary for security guards.
See Kestenbaum, supra, pp 544, 554; Ditlow, n 20 supra, p 356, n 12; Kronman, n 15 supra, p 752.
A showing that disclosure would constitute the tort of "public
The federal Freedom of Information Act characterizes as especially private "medical and personnel” files, 5 USC 552(b)(6), and, although the federal courts no longer require an agency to show that records are similar to personnel or medical records in order to qualify for the privacy exemption (see United States Dep’t of State v Washington Post Co, 456 US 595, 600; 102 S Ct 1957; 72 L Ed 2d 358 [1982]), such a demonstration would still militate in favor of withholding information.
Surveys of interested persons’ attitudes about confidentiality have also been considered as evidence of the personal nature of information. See Simpson v Vance, 208 US App DC 270, 274; 648 F2d 10 (1980); Washington Post Co, supra, 223 US App DC 149. But see the dissent in Washington Post Co, supra, 223 US App DC 164-165. Similarly, in Kestenbaum, supra, p 546, Justice Ryan, apparently believing that the amount of effort expended to keep information confidential relates to whether information is personal and private, felt it was important that very few students had "opted out” of being listed in the student directory. Here, the Post Office's list of persons who have elected to be removed from mailing lists pursuant to 39 USC 3008 might have been compared, in camera if necessary, to the persons on the lists requested by upgwa. Also, the state could have attempted to demonstrate that similar unionization attempts involved invasions of privacy. See Getman, n 7 supra, p 214.
Because the privacy interest invaded is minimal, regardless of whether use is restricted, and because upgwa has not objected to the use restrictions added by the Court of Appeals, we need not decide whether use restrictions are valid.
MCL 600.2441(l)(b); MSA 27A.2441(l)(b).
MCL 15.240(4); MSA 4.1801(10)(4).
We note, in passing, that under the federal Freedom of Information Act, the award of costs is discretionary. See 5 USC 552(a)(4)(E).
See, however, n 43.
MCL 15.231(2); MSA 4.1801(1)(2).
MCL 15.243(l)(a); MSA 4.1801(13)(l)(a).
MCL 15.243; MSA 4.1801(13).
For purposes of this opinion, I accept, without agreeing, that the information sought herein is contained in a "public record.”
I recognize that Justice Levin does not expressly endorse a balancing approach.
MCL 338.1056(l)(a), (e), (fj, (k), 338.1067(2); MSA 18.185(6)(l)(a), (e), (f), (k), 18.185(17)(2).
Concurring Opinion
I concur with Justice Riley for the following reasons.
I agree that the Department of State Police may refuse to relinquish the security guards’ names and addresses to the union on the ground that such "[information [is] of a personal nature where the public disclosure of the information would constitute a clearly unwarranted invasion of an individual’s privacy.” MCL 15.243(l)(a); MSA 4.1801(13)(l)(a). However, I would employ a balancing test to reach this conclusion. The privacy interests at stake in this case, in my opinion, clearly outweigh any potential public interest, regardless of whether the definition of public interest is limited by the words of the preamble to the Michigan Freedom of Information Act, MCL 15.231(2); MSA 4.1801(1 )(2), as Justice Riley advocates, or given a more expansive reading, as exemplified by Justice Ryan’s opinion in Kestenbaum v Michigan State University, 414 Mich 510, 552-555; 327 NW2d 783 (1982).
A balancing test is an appropriate means of implementing the words of the statutory exemption. Determining whether "public disclosure of the information would constitute a clearly unwarranted invasion of an individual’s privacy” neces
As Justice Levin observes, both opinions in Kestenbaum employed a balancing test. The Fitzgerald opinion in Kestenbaum noted:
It generally has been accepted, however, that where the requested information might fall under the federal privacy exemption, a balancing test must be employed, i.e., the public interest in disclosure must be weighed against the potential invasion of privacy. [Kestenbaum, supra, p 526, emphasis added (citing federal cases).]
That opinion further stated that it "also is necessary under the state act to balance interests.” Id., p 527. The Ryan opinion in Kestenbaum also indicated that "[t]he Court must balance the public interest against the privacy interests with a 'tilt’ in favor of disclosure.” Id., p 561.
On the federal level, the balancing test first articulated in Dep’t of the Air Force v Rose, 425 US 352; 96 S Ct 1592; 48 L Ed 2d 11 (1976), has gained wide acceptance. See Minnis v Dep’t of Agriculture, 737 F2d 784, 786 (CA 9, 1984); Heights Community Congress v Veterans Administration, 732 F2d 526, 528 (CA 6, 1984); American Federation of Government Employees v Dep’t of Health & Human Services, 712 F2d 931, 932 (CA 4, 1983); Washington Post Co v Dep’t of Health & Human Services, 223 US App DC 139, 147; 690 F2d 252 (1982); Wine Hobby USA, Inc v Internal Revenue Service, 502 F2d 133, 136 (CA 3, 1974); Getman v NLRB, 146 US App DC 209; 450 F2d 670 (1971). For example, the Circuit Court of Appeals for the District of Columbia, in Washington Post Co, supra, stated that in "determining whether disclosure is clearly unwarranted — we
the Supreme Court mandated that the court balance the individual’s right to privacy against disclosure’s benefit to the public interest in determining if the disclosure would result in a "clearly unwarranted invasion of personal privacy.” [Heights Community Congress, supra, p 528.]
Application of the balancing test under either the state or federal exemption is a two-part process. Under the federal act, a court must first determine whether the information contained may be identified as applying to a particular individual.
Likewise, under the state act, a court must first determine whether the requested information is "of a personal nature.” If it is found to be personal, then the question is whether disclosure would constitute a clearly unwarranted invasion of an individual’s privacy. Again, this is where the
I
I find the information sought in this case to be of such a sufficiently personal nature as to give rise to a cognizable privacy interest under the act. In Kestenbaum, Justice Ryan concluded that the names and addresses of Michigan State University students were not sufficiently personal to allow nondisclosure under the exemption. Kestenbaum, supra, p 546. However, Justice Ryan’s analysis does not seem to preclude the possibility that names and addresses of different persons, in a different situation, might be sufficiently personal in nature.
In reaching his conclusion in Kestenbaum, Justice Ryan noted "that names, addresses, telephone numbers, and other standard identifying information simply are not embarrassing information 'of a personal nature’ for the overwhelming majority of students at Michigan State University.” Id., p 546 (emphasis added). It may be said that linking names and addresses with the fact of employment by a security guard agency is not "standard information.” Also, Justice Ryan seems to have considered the characteristics and situation of the persons subject to the disclosure in coming to his conclusion. That opinion noted explicitly:
We leave for another day the question whether, in certain unusual circumstances, ordinarily impersonal information might take on an intensely personal character. [Id., p 547.]
There are several aspects of this case that heighten the privacy interest at stake. First, the information here would reveal more than the
A public body may exempt from disclosure as a public record under this act[,]
[u]nless the public interest in disclosure outweighs the public interest in nondisclosure in the particular instance, public records of a police or sheriff’s agency or department, the release of which would do any of the following:
Disclose the personal address or telephone number of law enforcement officers or agents .... [MCL 15.243(l)(t)(iii); MSA 4.1801(13)(l)(t)(iii). Emphasis added.]
Although obviously not directly applicable to this case, these provisions indicate that when names and addresses are linked with the fact of law enforcement employment, the privacy interest is augmented.
Second, the State Police Department’s promise of confidentiality regarding this information also weighs on the side of a heightened privacy interest. As Justice Riley points out, the department’s rule provides:
A complete employee personnel list shall be filed with the department of each licensee on a quarterly basis. This list shall be kept conffdential except for office use. [1979 AC, R 28.4003. Emphasis added.]
Other things being equal, release of information provided under a pledge of confidentiality involves a greater invasion of privacy than release of information provided without such a pledge. On the other hand, to allow the government to make documents exempt by the simple means of promising confidentiality would subvert foia’s disclosure mandate. On balance, we believe that a government pledge of conñdentiality, made in good faith and consistently honored, should generally be given weight on the privacy side of the scale in accord with its effect on expectations of privacy. Cf. Ditlow v Shultz, [170 US App DC 352, 358] 517 F2d 166, 172 (1975) (footnote omitted) ("the absence of a governmental assurance of confidentiality . . . would seem to undercut the privacy expectations protected by exemption 6”). However, such a pledge should not be given determinative weight where the public interest in disclosure is high and the privacy interest in the information would otherwise be low. See Ackerly v Ley, [137 US App DC 133, 137, n 3] 420 F2d 1336, 1340, n 3 (1969) ("pledge of confidentiality . . . can not, in and of [itself], override the Act”); Robles v EPA, 484 F2d 843, 846 (CA 4, 1973) (similar). [Id., p 150. Emphasis added.]
Clearly, the Department of State Police had good public policy and safety reasons for promulgating the confidentiality rule. Those reasons presumably do not include the subversion of foia requests. This conclusion is supported also by the existence of the specific law enforcement exemptions. There have been no allegations of bad faith or a lack of consistency in applying the confidentiality rule. Thus, the pledge should "be given weight on the privacy side of the scale in accord with its effect on expectations of privacy.”
because privacy is so subjective a concept — virtually anything can be embarrassing in the appropriate circumstance — we regard as significant the absence of evidence establishing or even tending to show that the requested information is personal in nature. We are not willing to "deem” addresses personal in nature as a matter of law.
On the contrary, factoring the confidentiality pledge into the privacy interest side of the balancing test would not amount to a declaration that all addresses are highly personal.
II
The public interest in disclosure in this case is minimal. In this respect, I agree with Justice Levin. The union’s interest in this information is primarily a proprietary one. Moreover, a general interest in the encouragement of collective bargaining is not a compelling public interest.
A federal case from the Court of Appeals for the Fourth Circuit supports this conclusion. In American Federation of Government Employees v Dep’t of Health & Human Services, 712 F2d 931 (CA 4, 1983), the union sought disclosure of the addresses of 20,000 bargaining unit employees of the Social Security Administration headquarters for purposes of communicating with them about the union. Employing the Rose balancing test, the court noted the employees’ privacy interest in their home addresses. Turning to the public interest, the court concluded that
even granting that collective bargaining is a matter of grave public concern, any benefits flowing*472 from disclosure of the information sought would inure primarily to the union, in a proprietary sense, rather than to the public at large. [Id., p 932.]
Thus, the court struck the balance in favor of the employees’ privacy interest and against the union’s interest when the only identifiable public interest was the furtherance of collective bargaining.
Thus, I find it unnecessary to reach the question whether the body of public interests cognizable under the Michigan foia should be circumscribed by the act’s preamble or be interpreted more broadly. However public interest is defined, it is clear that the interests served by disclosure in this case do not rise to that level.
Even assuming an initial " 'tilt’ in favor of disclosure,” Kestenbaum, supra, p 561, when the privacy interests in this case are balanced against this minimal, possibly nonexistent, public interest, the privacy interests clearly tip the scale in favor of nondisclosure. I believe that the department’s exemption of these records from disclosure was entirely within the dictates of our state foia. Therefore, I would reverse the judgment of the Court of Appeals. I concur in part V of my brother Levin’s opinion concerning attorney fees.
The federal foia privacy exemption applies to information contained in "personnel and medical files and similar files . 5 USC 552(bX6). The United States Supreme Court has interpreted that language broadly, however, holding that the exemption applies to any
"'. . . Government records on an individual which can be identified as applying to that individual.’ [Citation to House Report omitted.] When disclosure of information which applies to a particular individual is sought from Government records, courts must determine whether release of the information would constitute a clearly unwarranted invasion of that person’s privacy.” Dep’t of State v Washington Post Co, 456 US 595, 603; 102 S Ct 1957; 72 L Ed 2d 358 (1982).
Reference
- Full Case Name
- International Union, United Plant Guard Workers of America v. Department of State Police
- Cited By
- 30 cases
- Status
- Published