Hal HEMPEL, Plaintiff-Appellant-Petitioner, v. CITY OF BARABOO and City of Baraboo Police Department, Defendants-Respondents.
No. 2003AP500
Supreme Court of Wisconsin
July 13, 2005
2005 WI 120 | 284 Wis. 2d 162 | 699 N.W.2d 551
DAVID T. PROSSER, J.
Oral argument September 21, 2004.
For the defendants-respondents there was a brief by James C. Bohl, Baraboo, and oral argument by James C. Bohl.
¶ 1. DAVID T. PROSSER, J. In this review of a published decision of the court of appeals,1 we are required to interpret and apply Wisconsin‘s Open Records Law,
alleged sexual harassment by a male Baraboo police officer against a female Baraboo police officer, as well as
¶ 2. The issues presented are: First, does
¶ 3. We conclude, first, that when a person makes an open records request for records containing personally identifiable information under
¶ 5. Applying these principles to this case, we conclude, first, that Hempel was the subject of an investigation “in connection with a complaint,” an express statutory exception to paragraph (am). As such, Hempel‘s request falls directly within one of the statutory exceptions to disclosure. Disclosure would also expose the names with statements of informants who were promised confidentiality for their cooperation in the internal investigation. He therefore had no right to more information under paragraph (am) than he received. Second, in this case, the public interest in nondisclosure of police investigative records outweighs the public interest in releasing the records under ¶ 6. This is a fact-intensive case, but the relevant facts are undisputed. Hal Hempel has been a police officer with the Baraboo Police Department for at least 25 years. On January 20, 2000, Captain Dennis Kluge (Kluge) of the Department received a verbal complaint about Hempel from Officer Kaye Howver (Howver). Howver later filed an eight-page written complaint alleging gender-based harassment. In the meantime, Kluge informed Baraboo Police Chief Thomas J. Lobe of the complaint, and Lobe, in turn, informed Hempel that a complaint had been made. The Chief assigned Kluge the responsibility of conducting an investigation. ¶ 7. On February 10, 2000, Captain Kluge delivered a memorandum to Hempel. The memorandum reiterated that a complaint had been filed alleging that Hempel had made “gender-based” statements “degrading to female officers;” advised him that a related investigation was being conducted by the Sauk County Sheriff‘s Department; and asked to meet with Hempel to obtain his response to the allegations. Kluge attached Howver‘s full, unredacted complaint to the memorandum. The complaint listed numerous people who allegedly witnessed or had knowledge of Hempel‘s conduct. On February 18 Hempel met with Kluge and provided a recorded response to Kluge‘s questions. ¶ 8. The Department‘s investigation apparently continued until June 2000. On June 13 Baraboo City Attorney James C. Bohl wrote Hempel‘s attorney informing him that the Chief had decided not to impose any disciplinary measures on Hempel.3 Three days later, on June 16, Hempel‘s attorney, Aaron Halstead, ¶ 9. On August 11 Chief Lobe sent a formal memorandum to Hempel describing the Department‘s resolution of the complaint. Chief Lobe wrote: [The] complaint . . . has been resolved to the mutual satisfaction of the parties and the department. . . . No further action will be taken on this complaint. If another complaint of a similar nature is received, this complaint may be considered at that time. This memo is intended to be documentary only and is not disciplinary. This memo will be retained in Officer Hempel‘s personnel file for a period of three years from June 8, 2000. The record does not reveal whether the Department found merit in the complaint, or whether Hempel agreed to take any action in response to the complaint. In any event, Hempel‘s attorney objected to the retention of the memorandum in Hempel‘s personnel file. The Baraboo City Attorney ultimately consented to place Attorney Halstead‘s June 16 letter listing Hempel‘s concerns in the personnel file with Chief Lobe‘s final memorandum. In effect, the parties agreed that Hempel‘s concerns would not be addressed at that time, but were not waived. ¶ 10. On January 24, 2001, Hempel served a written open records request on the Department seeking “any and all written materials gathered or considered by you in connection with [the] complaint against Hal Hempel, including any correspondence or statements received by you in connection with that complaint.” The request cited both “Chapter 19 of the Wisconsin Statutes and Sec. 103.13 of the Wisconsin Statutes.” Since there was no discipline or other qualifying determination made by this Department under Section 103.13(2) of the Wisconsin Statutes, Officer Hempel is not entitled to inspect any additional records under Section 103.13, Wis. Stats. and to the extent that your request is made under Section 103.13(2) to inspect additional documents, it is denied as no such additional documents exist in Officer Hempel‘s personnel file. Chief Lobe‘s letter indicated that he would issue a second response to the public records request under Chapter 19. ¶ 12. Chief Lobe retired on January 31, so that his letter to Hempel was one of his last official acts. He was succeeded on February 1 by Kluge, who addressed the Chapter 19 public records request in a February 9 letter to Hempel. Chief Kluge wrote that he had been advised by the City Attorney “that Attorney Halstead‘s record request must be treated the same as if such a request had been made by the news media.” He added: After reviewing the documents requested and balancing the competing interests implicated in releasing the requested documents, as Record Custodian, I have determined that certain records, in redacted form, are subject to release under the public records law. I have attached to this letter, copies of documents I am proposing to release for public inspection. In addition to the attached documents, I have provided a similar letter to Officer [REDACTED] with a redacted copy of [REDACTED] complaint. If Officer [REDACTED] does not file a court action objecting to the release of [REDACTED] redacted complaint, I will then provide a copy of that document to you in order to give you . . . . You should understand that in releasing these records to you, it is the same as releasing the records to the news media or to other members of the public. Therefore, if the news media makes a request to the City for the same records, we will be releasing these records without any additional notification to you. ¶ 13. On February 9 Kluge also implemented this court‘s decision in Woznicki, by separately informing Hempel and complainant Howver of their procedural rights in connection with the possible release of records related to the investigation. ¶ 14. On March 13, 2001, having received no objection from Officer Howver, Chief Kluge provided an extensive written response to Hempel‘s open records request. First, he agreed to release several records in redacted form, including: (1) the complainant‘s statement; (2) a Sauk County Sheriff‘s Office report dated February 10, 2000; (3) Chief Lobe‘s memo of August 11, 2000; (4) Attorney Halstead‘s letter of June 16, 2000, expressing concern that the complaint might be used against Hempel in the future; and (5) Attorney Halstead‘s letter of August 7, 2000, stating his understanding that his letter of June 16 would remain in Hempel‘s personnel file. ¶ 15. Chief Kluge also denied Hempel‘s open records request for any documents related to the Department‘s “internal investigation” of the complaint. Chief Kluge provided six reasons for the denial: Chief Kluge concluded: [W]hen the public interest in protecting the foregoing policies is balanced against the public interest in providing public access to internal personnel investigations, the public interest to be served by the release of such documents does not out-weigh the countervailing interests that would be impacted by their release. Therefore, in my opinion, there is a strong public policy interest in non-disclosure. This balancing test is particularly relevant under the current facts. . . . ¶ 16. The records Chief Kluge released were substantially redacted. However, even the redacted records disclose a lot of information. For example, one of the documents is redacted as follows: “After [redacted] asked if [redacted] was in trouble I explained to [redacted] that I received information within the last twenty-four hours or so that [redacted] may have suffered some harassment by one of the Baraboo Police Department Officers.” Later, the document continues: “[Redacted] said that [redacted] was talking to [redacted] and made the following statements: ‘Women are brainless‘; ‘Women should not be working in police work‘; and ‘Women should not be working at all.‘” ¶ 17. On March 30, 2001, Hempel filed another open records request with the Department, this time asking for “any written record that you prepared in conjunction with the interview of [complainant] . . . [and] any notes that you prepared during or after interviews conducted with other City of Baraboo Police Officers during that timeframe regarding Officer Hempel.”4 The Department denied the new request for the same reasons it denied the original request. ¶ 19. The parties filed cross motions for summary judgment. The court granted the defendants’ motion and dismissed Hempel‘s suit. In its decision, the circuit court noted that the public interest in nondisclosure of the requested records outweighed the public interest in disclosure under these circumstances. ¶ 20. The court of appeals affirmed with one judge dissenting. Hempel v. City of Baraboo, 2003 WI App 254, ¶¶ 23-24, 268 Wis. 2d 534, 674 N.W.2d 38. The majority reasoned that the public‘s right to access records “must give way to the important public policy of encouraging victims and witnesses of employment discrimination to cooperate in internal investigations of such conduct.” Id., ¶ 22. The dissenting judge believed that the majority‘s decision would allow Wisconsin municipalities to hide evidence of discrimination behind the shield of nondisclosure. Id., ¶ 31 (Dykman, J., dissenting). ¶ 21. Generally, when we review a grant of summary judgment, we construe the facts in the light most favorable to the nonmoving party. Strozinsky v. Sch. Dist. of Brown Deer, 2000 WI 97, ¶ 7 n.3, 237 Wis. 2d 19, 614 N.W.2d 443. Here, however, the facts are not in dispute, and so our task is simply to apply the law to the undisputed facts. Kraemer Bros. Inc. v. Dane County, 229 Wis. 2d 86, 92-93, 599 N.W.2d 75 (1999). The application of the Open Records Law to undisputed facts is a question of law that we review de novo, benefiting from the analyses of the circuit court and the court of appeals. Osborn v. Bd. of Regents, 2002 WI 83, ¶ 12, 254 Wis. 2d 266, 647 N.W.2d 158. ¶ 22. The Wisconsin Open Records Law embodies one part of the legislature‘s policy favoring the broadest practical access to government.7 The legislature trumpeted its intent when it stated: [I]t is declared to be the public policy of this state that all persons are entitled to the greatest possible information regarding the affairs of government and the official acts of those officers and employees who represent them. . . . To that end, ss. 19.32 to 19.37 shall be construed in every instance with a presumption of complete public access, consistent with the conduct of governmental business. The denial of public access generally is contrary to the public interest, and only in an exceptional case may access be denied. ¶ 23. This court has implemented the legislature‘s directive. See, e.g., Linzmeyer, 254 Wis. 2d 306, ¶ 15; Wisconsin Newspress, Inc. v. Sch. Dist. of Sheboygan Falls, 199 Wis. 2d 768, 776, 546 N.W.2d 143 (1996) (citing cases). ¶ 24. Two provisions of the Open Records Law are at issue in this case. Hempel claims that he has a right to inspect the records under both ¶ 25. A “record” subject to the Open Records Law is “any material on which written . . . information is recorded or preserved . . . which has been created or is being kept by an authority.” ¶ 26. The Department concedes that the documents Hempel requested are “records” within the meaning of the law and that the Department is the “authority” with custody of the records. See ¶ 27. When a person makes an open records request for records containing personally identifiable information under ¶ 28. If, on the other hand, the person makes a more general open records request under ¶ 29. In situations in which an individual or his authorized representative makes a request under ¶ 30. Hempel made a general request for records under ¶ 31. As we embark on our analysis of the law, we pause to restate which records Hempel is requesting. Hempel already has an unredacted copy of the complaint and several other documents. He was given everything on point from his personnel file. The additional records he requests are the Department‘s internal records produced during its investigation of the complaint. He also seeks the information that was redacted from some of the documents in his possession—mainly names. ¶ 32. We turn first to In addition to any right under par. (a), any requester who is an individual or person authorized by the individual, has a right to inspect any record containing personally identifiable information pertaining to the individual that is maintained by an authority and to make or receive a copy of any such information. The right to inspect or copy a record under this paragraph does not apply to any of the following: ¶ 33. The first clause of the introduction indicates that the right of inspection under paragraph (am) is in addition to any right under paragraph (a). Conversely, the last sentence of the introduction indicates that the right of inspection under paragraph (am) does not apply ¶ 34. An “individual” requester who asks to inspect records pertaining to himself is substantially different from a requester, be it a private citizen or a news reporter, who asks to inspect records about any of a wide variety of government activities or a wide array of other people. The right to inspect under paragraph (am) is clearly limited to personally identifiable information about the requester. When a request is made within that narrow scope, the right is more unqualified than a right under paragraph (a), first, because paragraph (am) does not recognize common law exceptions and, second, because paragraph (am) is not subject to a balancing test. Paragraph (am) recognizes only statutory exceptions. When these statutory exceptions are present, however, paragraph (am) “does not apply.”9 ¶ 35. The Department claims that 1. Any record containing personally identifiable information that is collected or maintained in connection with a complaint, investigation or other circumstance that may lead to an enforcement action, administrative proceeding, arbitration proceeding or court proceeding, or any such record that is collected or maintained in connection with such an action or proceeding. ¶ 37. At the same time, as the Department notes, the Chief‘s memo also stated that the Department could “consider” this complaint if someone else brought “another complaint of a similar nature” against Hempel within a three-year period. In that event, the second complaint, not this one, would “lead to” one of the proceedings the statute describes. The Department could consider the circumstances of the instant complaint at the time of the hypothetical second complaint as an additional factor in deciding whether to impose discipline. The instant complaint would then be a record “maintained” in connection with a pending complaint. Hence, to some degree, the instant “investigation or other circumstance” was still “ongoing” at the time of Hempel‘s open records request. ¶ 38. The conditional language in (am)1. makes the intended result in these circumstances unclear. ¶ 39. The Department also contends that the records sought are exempt from disclosure under ¶ 41. Two cases illustrate the problem. In Mayfair, a Wisconsin Department of Revenue field auditor promised an “informant” anonymity in exchange for information regarding action by the informant‘s employer. The information the informant provided was relevant to an audit of the employer‘s tax returns. This court held that “the harm to the public interest from the disclosure of portions of records which would reveal the identity of a confidential informant who received a pledge of confidentiality outweighs the public interest in disclosing these records.” Mayfair, 162 Wis. 2d at 149. This decision was issued before the enactment of either ¶ 42. In Linzmeyer, a more recent case, police investigated allegations that a high school teacher made inappropriate statements and engaged in inappropriate conduct with students. During the investigation, the police interviewed more than 20 students. The police may have promised confidentiality, but this court stated that “none of the students interviewed was a confidential informant.” Linzmeyer, 254 Wis. 2d 306, ¶ 19. The court allowed that the students “may have ¶ 43. In Linzmeyer, the subject of the investigation attempted to prevent disclosure of the records. The police department was trying to release the records. Consequently, the posture of the case was quite different from the present litigation. To the extent that the teacher in Linzmeyer was attempting to use the exceptions in paragraph (am) to prevent the police department from releasing his records, he was misapplying the statute. ¶ 44. Because the scope of the term “confidential informant” is not clear, the result intended by the legislature in these circumstances is not clear. We think the ambiguity in both subdivisions 1. and 2. permits the court to examine extrinsic sources to discern legislative intent. ¶ 45. ¶ 46. Paragraph (am) was adopted in two stages. The first stage was a sweeping amendment to the 1991-93 biennial budget. See 1991 Wis. Act 39, § 212qz. This amendment, authored by Representative Marlin Schneider, originated with the Legislative Council‘s Special Committee on Privacy and Information Technology.12 It created Subchapter IV of Chapter 19 entitled “Personal Information Practices,” and included 10 sections. One of these sections was 19.73 Rights of data subject to inspect, copy, challenge. (1) In this section, “person authorized by the individual” means the parent, guardian, as defined in s. 48.02(8), or legal custodian, as defined in s. 48.02(11), of a child, as defined in s. 48.02(2), the guardian, as defined in s. 880.01(3), of an individual adjudged incompetent, as defined in s. 880.01(4), the personal representative or spouse of an individual who is deceased or any person authorized, in writing, by the individual to exercise the rights granted under this section. (2) Upon request, any individual or person authorized by the individual, may inspect any record containing personally identifiable information pertaining to the individual that is maintained by an authority and make or receive a copy of any such information in a form which is comprehensible to the individual or person authorized by the individual. The authority may impose a fee not to exceed the fees under s. 19.35(3) for providing a copy of the information. . . . . (4) This does not apply to any of the following: (a) Records transferred to an archival depository under s. 16.61(13). (b) Personally identifiable information in a case or action. (c) Any record pertaining to an individual if a specific statute prohibits the disclosure of the record to the individual. . . . . (e) Personally identifiable information which relates to investigation, enforcement action, prosecution or other action. 1991 Wis. Act 39, § 19.73. ¶ 47. The governor‘s vetoes concentrated on subsection (3), which discussed an authority‘s duties upon being advised that it was holding inaccurate information, and subsection (4), which outlined exceptions to the section‘s coverage. ¶ 48. By its plain language, subsection (2) permitted an individual to inspect “any record containing personally identifiable information pertaining to the individual” maintained by a governmental authority. Had there not been exceptions in subsection (4), subsection (2) would have provided access to the records of pending investigations involving the “individual” requester. In fact, however, there were exceptions. By vetoes, the governor attempted to broaden them.13 His ¶ 49. The purpose of the 1991 amendment was explained in Legislative Council Information Memorandum 92-13 entitled “New Laws Relating to Personal Information Contained in State and Local Government Records.” The Memorandum stated that the Special Committee on Privacy and Information Technology had reviewed a “Code of Fair Information Practices” issued by the United States Department of Health, Education and Welfare. See Legislative Council Information Memorandum 92-13 at 6. The Secretary‘s Advisory Committee had developed five concepts: Id. ¶ 51. The new legislation lasted less than a year. In a second stage, the 1991 legislature substantially revised Subchapter IV and eliminated ¶ 52. The discussion in ¶¶ 45-51 above shows that paragraph (am) does not fit neatly into ¶ 53. The very existence of paragraph (am) may have facilitated legislation about access to public records concerning law enforcement informants. 1993 Assembly Bill 260, authored by Representative Rosemary Hinkfuss, created Under current law, any person may inspect, copy or receive a copy of a public record unless the record is specifically exempted from access under state or federal law or authorized to be withheld from access under state law, or unless the custodian of the record determines that the harm done to the public interest by providing access to the record outweighs the strong public interest in providing access. Applying this test, the Wisconsin supreme court has held that the need to maintain the integrity of the government‘s pledges of confidentiality to law enforcement informants may outweigh the public‘s interest in having access to records that could identify a confidential informant if a 4-prong test is met: 1) there is a clear pledge of confidentiality; 2) the pledge was made to obtain information; 3) the pledge was necessary to obtain the information; and 4) in the particular fact situation, the harm to the public interest that would result from permitting access outweighs the public interest in providing access. Mayfair Chrysler-Plymouth, Inc. v. Baldarotta, 162 Wis. 2d 142, 167-168 (1991). This bill provides that a law enforcement agency shall withhold from access any public record or portion of a record containing information that, if disclosed, would identify an informant who provided information to that agency or to another law enforcement agency, unless the custodian of the record makes a determination, at the time that a request for access to the record is made, that the public interest in allowing access to the record outweighs the harm done to the public interest by providing such access. Under the bill, the agency must apply this test regardless of whether an informant requests confidentiality and regardless of whether a pledge of confidentiality is made. ¶ 54. The 1993 legislation strengthened a custodian‘s ability to withhold records identifying informants. ¶ 55. Against this background, we think that paragraph (am) should be interpreted to reflect its original purpose of giving an individual access to records containing personally identifiable information about the individual, so that he or she may determine what information is being maintained and whether this information is accurate. Giving an individual access to records of a government investigation that may be used in a future proceeding, particularly internal investigative records that will identify informants, was never an objective of this paragraph. ¶ 56. Paragraph (am) is not subject to a balancing of interests. See Legislative Council Information Memorandum 92-13 at 17. Therefore, the exceptions to paragraph (am) should not be narrowly construed.14 A requester who does not qualify for access to records under paragraph (am) will always have the right to seek ¶ 57. We conclude that a police officer is not entitled to inspect records of an internal investigation pertaining to the officer under ¶ 58. This brings us to Access to records; fees. (1) Right to Inspection. (a) Except as otherwise provided by law, any requester has a right to inspect any record. Substantive common law principles construing the right to inspect, copy or receive copies of records shall remain in effect. The exemptions to the requirement of a governmental body to meet in open session under s. 19.85 are indicative of public policy, but may be used as grounds for denying public access to a record only if the authority or legal custodian under s. 19.33 makes a specific demonstration that there is a need to restrict public access at the time that the request to inspect or copy the record is made. ¶ 60. The statutory exceptions and limitations to ¶ 61. The Department points to common law exceptions that would permit it to avoid disclosures beyond those already made. It bases its argument on a line of cases from the court of appeals, especially Pangman v. Zellmer, 163 Wis. 2d 1070, 473 N.W.2d 538 (Ct. App. 1991), and Village of Butler v. Cohen, 163 Wis. 2d 819, 472 N.W.2d 579 (Ct. App. 1991). In both Zellmer and Cohen, the court of appeals ruled that the custodians of police personnel documents were justified in refusing to release unredacted copies of those documents when the custodians articulated clear policy reasons for nondisclosure. Zellmer, 163 Wis. 2d at 1083, 1086-89; Cohen, 163 Wis. 2d at 827. The court cited several valid policy considerations, including the protection of the officers’ privacy and reputation, the potential chilling on supervisors’ willingness to candidly ¶ 62. Zellmer and Cohen do not impose a blanket rule excepting the disclosure of any “rank-and-file police officer‘s” personnel records. An open records analysis under paragraph (a), is rarely subject to blanket exceptions or bright line rules. Each request will lead to a fact-intensive inquiry. Under this statutory structure, the legislature entrusted the records custodian with substantial discretion. The custodian, mindful of the strong presumption of openness, must perform the open records disclosure analysis on a case-by-case basis. In situations such as this one, in which the requested records do not fit within any blanket exception, the records custodian must proceed to the final step of the analysis and perform the Woznicki balancing test. ¶ 63. As the custodian considers an open records request under ¶ 64. Applying the “exceptional case” public policy balancing test to the specific facts before us, we conclude that the public‘s interest in keeping these records confidential outweighs the presumptive public interest in disclosure. ¶ 65. This is an uncommon case. Typically, a person subject to misconduct allegations attempts to prevent disclosure of the investigative records. In this case, Hempel is the party seeking release of the records. Hempel advises us that he wants to review these records so that he may conduct his own investigation, interviewing witnesses that the Department interviewed, in case the Department decides to use this complaint against him should it receive a similar complaint in the future. We note, however, that Hempel received an unredacted copy of Kaye Howver‘s complaint as well as all the material that the Sauk County Sheriff‘s Department compiled during its simultaneous investigation of Hempel pursuant to similar allegations. This disclosure substantially weakens Hempel‘s proffered reason for wanting the documents because those unredacted materials contain the names of at least 21 potential witnesses with whom Hempel could begin his “investigation,” including the complainant herself. We do not know whether the Department actually inter- ¶ 66. Hempel asserts that his actual motivation in seeking the documents is irrelevant. In fact, requesters under the Open Records Law need not identify themselves, or state a purpose for their request. ¶ 67. The dissenting judge in the court of appeals cast the issue in light of the public‘s right to know of the sexual harassment allegations within the Department. Hempel, 268 Wis. 2d 534, ¶ 31 (Dykman, J., dissenting). Judge Dykman accused the Department of “hiding” the evidence of discrimination from the public. ¶ 68. Evidence of official cover-up would be a very potent reason to disclose public records. The public has a very strong interest in being informed about public officials who have been derelict in their duty. In this case, however, we do not sense that cover-up constitutes any part of the basis for the Department‘s position. We think the Department‘s motive is more accurately described in the court of appeals majority opinion, see Hempel, 268 Wis. 2d 534, ¶¶ 20-21, and in the Department‘s stated concern about potential future harassment. ¶ 69. The Department provided Hempel with an unredacted copy of the complaint and then released a redacted copy. It told Hempel the redacted copy was available to any citizen. In our view, these redacted records do not reveal “little more than nothing,” as the dissenting court of appeals judge contends. On the ¶ 70. The redaction authorized by ¶ 71. In addition to these factors, other evidence supports our conclusion. As the Department noted in its letter denying access to Hempel, disclosure would violate the City‘s confidentiality policy. Hempel strenuously urges us to reject this consideration, contending that an authority may not avoid the operation of the Open Records Law simply by enacting its own policy. He is of course correct. The City—indeed, any municipality—cannot implement a policy that provides for a blanket exception from the Open Records Law. But the Department may proffer the confidentiality concerns of wit- ¶ 72. We agree with the Department that in the future, complainants and witnesses will become less likely to make candid statements if they know that the accused may access their statements through an open records request. Some officers, fearful of being labeled as “whistle blowers,” may blanch at the thought of offering damaging evidence about a colleague if they know that their names and comments will become public record. ¶ 73. We believe the Department‘s concern about witness confidentiality carries special weight in cases like this one involving sexual harassment. The City has enacted a sexual harassment policy pursuant to the Equal Employment Opportunity Commission‘s (EEOC‘s) recommendation.15 The Department handled the Hempel complaint in accordance with that policy. The Department argues that victims and witnesses might feel an increased level of embarrassment if their names were revealed, and this might make them less likely to come forward. The Department may argue reasonably that its attempt to avoid such a chilling effect on sexual harassment complaints must weigh in the balance. Neither this opinion nor language in the court of appeals’ opinion should be interpreted to sug- ¶ 74. We further agree with the Department that release of the information could cause a loss of morale within the Department if police officers believed that their personnel files were readily available to the public. At oral argument, the Department contended that this might even make officers reluctant to make arrests out of fear that their personnel records would quickly be passed on to defense counsel. The Department did not provide any facts to support this concern. Nonetheless, without fully endorsing the Department‘s argument, we agree that a loss of morale is plausible. ¶ 75. The Department also contends that it will encounter difficulty attracting quality candidates to become police officers if there is a perception that its employees’ personnel files are regularly open for public review. The Department presented no evidence to support this view. Public employees are frequently subject to a greater degree of public scrutiny than their private counterparts. This scrutiny comes with the territory. Certainly, prominent public officials must have a lower expectation of personal privacy than a regular public employee. Wisconsin Newspress, 199 Wis. 2d at 787. This case, however, involves a rank-and-file police officer. If the scrutiny of rank-and-file officers extends too far, it may indeed discourage qualified candidates from entering police work. Accordingly, we conclude that this factor weighs slightly in the Department‘s favor. ¶ 76. Finally, the Department voices the concern that some of the information that would be released ¶ 77. Once a secret is out of the box, it can never be put back. In this respect, records dealing with personnel issues are slightly different from records concerning, say, public finance or highway contracts. As the court of appeals noted in Cohen, disclosure may inhibit candid assessments of employees in personnel records. Cohen, 163 Wis. 2d at 828 n.3. The court also detected a legislative interest in limiting access to personnel files of public employees. Id. at 829. We cited this language with approval in Woznicki. 202 Wis. 2d at 188. ¶ 78. The privacy interests in this case are more compelling than those at issue in most of our prior cases because we are not presented here with an alleged wrongdoer trying to cover up evidence. Rather, the Department, as custodian, is trying to protect the complainant and reluctant witnesses involved in its investigation. This factor is not dispositive, but it weighs on the Department‘s side. ¶ 79. The court of appeals noted that the Department did not provide any hard evidence to support this concern. Hempel, 268 Wis. 2d 534, ¶ 18. In fact, the Department provided few facts to support any of its concerns. However, the statute does not require the records custodian to give facts supporting the reasons for its denial. See ¶ 80. After reviewing all the enumerated considerations,16 we conclude that the public policy factors favoring nondisclosure are strong enough to overcome the substantial presumption in favor of disclosure.17 ¶ 81. We reiterate that the outcome here will not be the same in every similar case. The records custodian must evaluate the factors on each side of the balance, keeping in mind the strong presumption favoring disclosure, and evaluate each request within its own factually specific context. The facts in this case dictate that we affirm the court of appeals. ¶ 82. When a person makes an open records request for records containing personally identifiable information under ¶ 83. If the person makes a more general open records request under ¶ 84. Applying these principles to the facts of this case, we conclude, first, that Hempel was the subject of an investigation “in connection with a complaint,” an express statutory exception to paragraph (am). Disclosure would also expose the names with statements of informants who were promised confidentiality for their cooperation in the internal investigation. He therefore had no right to more information under paragraph (am) than he received. Second, in this case, the public interest in nondisclosure of police investigative records outweighs the public interest in releasing the records under ¶ 85. SHIRLEY S. ABRAHAMSON, C.J. (dissenting). “The denial of public access generally is contrary to the public interest, and only in an exceptional case may access be denied.”1 So sayeth the legislature. The majority opinion candidly admits this is not an “exceptional case,” calling it only “uncommon.”2 Because neither the majority opinion nor the City of Baraboo has demonstrated how this case is exceptional or even uncommon, I dissent. ¶ 86. Faced with trying to craft a standard to cover this decidedly unexceptional case, the majority opinion ends up, despite its assertions, creating a rule that unfortunately can be applied in a broad array of cases to deny access to records. ¶ 88. Hempel made “a formal request pursuant to Chapter 19” and “Sec. 103.13” that the Police Chief produce copies of any and all materials gathered or considered by him in connection with the complaint against him.3 The majority opinion addresses two provisions in chapter 19, discussing first ¶ 89. The majority opinion recognizes the legislature‘s crystal-clear mandate as to the order in which to consider the two statutes,4 but does not take it seriously.5 The majority‘s order in addressing the stat ¶ 90. According to ¶ 91. The plain language of ¶ 92. ¶ 93. Despite the incorrect order in which the majority opinion discusses the statutes, for the reader‘s ease I shall follow the order the majority opinion uses. ¶ 94. Hempel sought access to records related to allegations that he engaged in sexual harassment. His request made it clear that he was seeking personally identifiable information about himself. ¶ 95. ¶ 96. According to the majority opinion, the Baraboo Police Department may deny Hempel access to internal investigation memoranda pertaining to Hempel on the basis of either of two enumerated exceptions to open records set forth in ¶ 97. The first exception on which the majority hangs its hat is Any record containing personally identifiable information that is collected or maintained in connection with a complaint, investigation or other circumstances that may lead to an enforcement action, administrative proceeding, arbitration proceeding or court proceeding, or any such record that is collected or maintained in connection with a action or proceeding.
A. Standard of Review
B. Wisconsin‘s Open Records Law
1. Statutory Analysis Including Exceptions
2. Common Law Exceptions
C. Balancing Test
III. CONCLUSION
I
Specifically, the majority asserts that Hempel was the “subject of an investigation ‘in connection with a complaint.’ The internal investigation records were maintained in connection with that complaint and are being held for possible use in connection with any future complaint.”10
¶ 98. The majority opinion declares that the exception is ambiguous and turns to legislative history. The legislative history cited lends little if any informa
¶ 99. Declaring that the exception in
¶ 100. The majority opinion‘s reasoning is that “[p]aragraph (am) is not subject to a balancing of interests. . . . Therefore, the exceptions to paragraph (am) should not be narrowly construed.”14 The conclusion does not follow from the premise.
¶ 101. Paragraph (am) is not subject to a balancing test because the legislature has already done the balancing. In adopting
¶ 102. So when the majority opinion says that under
¶ 103. The majority opinion concludes that the information Hempel requests falls within the exception because there was an ongoing investigation when he made his request.17 On what basis does the majority opinion reach this conclusion, when the Baraboo Police Chief specifically stated that no further action would be taken on the sexual harassment complaint? The majority relies on the fact that the Police Chief advised Hempel that if another complaint of a similar nature arose in the future, the closed complaint could be reexamined.18 Thus, the majority opinion states that “[t]he instant complaint would then be a record ‘maintained’ in connection with a pending complaint.”19
¶ 104. There are two reasons why there was no ongoing investigation for the purposes of
¶ 105. The Chief‘s explanation for refusing to release the information under
¶ 106. Perhaps because of the obstacles to fitting the request into the
¶ 107. The second reason there is no “ongoing investigation” for the purposes of
¶ 108. As the majority opinion recognizes, the purpose of paragraph (am) is to enable a person to “determine what information is being maintained and whether this information is accurate.”24 In keeping with this objective, I conclude that Hempel‘s request does not fall within the exception to access set forth in
2. Any record containing personally identifiable information that, if disclosed, would do any of the following:
. . . .
b. Identify a confidential informant.
¶ 110. The majority opinion quickly concludes that the phrase “confidential informant”25 is ambiguous and ranges widely in examining legislative history. The majority opinion claims that that
¶ 111. However, the majority opinion never examines the definition of “informant” in
“Informant” means an individual who requests confidentiality from a law enforcement agency in conjunction with providing information to that agency or, pursuant to an express promise of confidentiality by a law enforcement agency or under circumstances in
which a promise of confidentiality would reasonably be implied, provides information to a law enforcement agency or, is working with a law enforcement agency to obtain information. . . .
¶ 112.
¶ 113. After examining legislative history, the majority opinion does not define “confidential informant.” The closest it comes is the assertion that the Department claims “it told witnesses that any information they provided would remain confidential and therefore this exception [
¶ 114. If the majority is saying that a confidential informant means any person to whom the Department promised confidentiality or any person who gives a statement under a policy of confidential investigation, the majority is allowing each governmental entity to avoid the operation of the open records law by promising confidentiality or instituting a policy of confidentiality. I do not believe the statute allows such a result.
¶ 116. The record shows that the Police Department successfully redacted personally identifiable information in the documents that it did release. There is no reason it could not do the same in any other documents. The documents can be redacted pursuant to
¶ 117. The majority opinion admits as much in discussing the records Hempel did get access to: “The redaction authorized by
¶ 118. Prior case law illustrates that in the past, names have been ordered redacted when necessary to protect individuals. For example, in Linzmeyer v. Forcey,30 this court stated that the students who had provided information regarding a high school teacher “‘could be protected by a redaction of the Report in accordance with
¶ 120. The Baraboo Police Department rests its confidential informants argument on its contention that it was conducting a “confidential investigation” under the City‘s Harassment Policy. The Harassment Policy in the record merely states that upon receiving a complaint of sexual harassment an official shall conduct a confidential investigation.32 The Policy contains no promise of confidentiality in exchange for information.
¶ 121. If this Policy were read to satisfy the standard for “confidential informant” under
¶ 122. The record does not show any express grant of confidentiality in the present case, and the City‘s Harassment Policy cannot be interpreted as rendering all employees who give any information “confidential informants.” In any event, there is no good reason why, like in Linzmeyer, names could not have been redacted in the present case from internal investigatory documents.
¶ 123. Unlike the majority, I would give Hempel documents under
II
¶ 124. The majority opinion then examines Hempel‘s request under
Except as otherwise provided by law, any requester has a right to inspect any record. Substantive common law principles construing the right to inspect, copy or receive copies of records shall remain in effect. The exemptions to the requirement of a governmental body to meet in open session under s. 19.85 are indicative of public policy, but may be used as grounds for denying public access to a record only if the authority or legal custodian under s. 19.33 makes a specific demonstration that there is a need to restrict public access at the time that the request to inspect or copy the record is made.
¶ 126. The majority frames the issue as follows: “In other words, the custodian [of the records] must determine whether the surrounding factual circumstances create an ‘exceptional case’ not governed by the strong presumption of openness.”34 Both the City of Baraboo and Hempel agree that the City must show that the harmful effects that might occur in this case outweigh the presumption of disclosure.35
¶ 127. The Police Department provided six reasons it believes make the instant case an exceptional case justifying the denial of Hempel‘s request for records. As I shall show, however, the reasons proffered are applicable to every case in which a complaint is filed against a police officer; none is specific to the instant request for information. None demonstrates that this case presents exceptional circumstances justifying denial of Hempel‘s request for records. The Police Chief‘s reasons have been paraded before this and other courts time and again. Yet the majority opinion proceeds as if this case is the first time the court has seen these reasons.
¶ 129. I will state and then address each “exceptional reason” relating to the instant case in turn.
¶ 130. Reason #1. The City harassment policy provides for a confidential investigation.
¶ 131. Reason #2. Disclosure would interfere with the ability to conduct thorough, confidential, internal investigations.
¶ 132. Reason #3. “Disclosure . . . would interfere with and hamper the City[‘s] ability to ensure employees an opportunity for satisfying careers and fair treatment . . . and would impinge upon the City‘s right and opportunity to . . . retain competent law enforcement personnel.”36
¶ 133. Reason #4. Nondisclosure is required to protect the privacy rights of individuals who cooperated in the investigation and to protect them from harassment or other jeopardy.
¶ 134. Reason #5. Nondisclosure is required to prevent loss of morale; disclosure could cause officers to choose other employment and could inhibit the City‘s ability to hire and retain competent personnel.
¶ 136. Reason #1: The stamp of confidentiality. In the same way that a prosecutor cannot “shield documents subject to the open records law simply by placing them into a ‘prosecutorial file,‘” Nichols v. Bennett, 199 Wis. 2d 268, 274, 544 N.W.2d 428 (1996), government agencies cannot shield information simply by labeling an investigation leading to the information as confidential. The majority opinion states that a policy of confidentiality is “a factor the custodian may consider in the balancing test.”38 The Policy in the instant case takes a blanket approach to all harassment investigations rather than a case-by-case approach. The City cannot, in my opinion, create its own exception to the public records statute. Indeed the Police Chief recognized that Wisconsin law can override the confidentiality of the investigation.39
¶ 137. If this reason is acceptable for denying access, then any governmental entity can institute a confidentiality policy and thereby exempt records from Wisconsin‘s Open Records Law. Confidentiality cannot be the end-all and be-all. Records can be redacted to protect privacy.
¶ 138. Reason #2: Inability to conduct thorough, internal investigations. This reason is generic and may be given for any investigative record. In Pangman v. Zellmer, 163 Wis. 2d 1070, 1077, 473 N.W.2d 538 (1991), the Milwaukee Police Department gave the same rea
¶ 139. Reason #3: Inhibit ability to hire and retain personnel. Again, this is a stock reason for refusing release of an employee record. In Village of Butler v. Cohen, 163 Wis. 2d 819, 828, n.3, 472 N.W.2d 579 (Ct. App. 1991), the village gave substantially this same reason for refusing to release police personnel records to the public.
¶ 140. Reason #4: Privacy rights. Again, a generic explanation applicable to all government entities and all personnel records. This reason was also given in Village of Butler, 163 Wis. 2d at 828, n.3. As the legislature has provided, records can be redacted.
¶ 141. Reason #5: Loss of morale and difficulty hiring and retaining officers. Again, standard reasons in several cases. They were given in Zellmer, 163 Wis. 2d at 1083, 1089, and in Village of Butler, 163 Wis. 2d 828, n.3.
¶ 142. Reason #6: Protecting employees from personal (reputation) and economic harm. This same general reason was proffered by the police department in Pangman v. Stigler, 161 Wis. 2d 828, 833, 468 N.W.2d 784 (Ct. App. 1991) and in Zellmer, 163 Wis. 2d at 1079. Protecting persons from damage to reputation and economic harm is a good reason if it applies to the specific case, rather than as a reason for never allowing access to any officer‘s files. Here the employee is asking for information about himself. The names of other persons may be redacted as needed.
¶ 143. Thanks to the majority opinion today, we can call these reasons the “Exceptional Six,” when in reality not one of the reasons is uncommon, unique, or “exceptional” to this particular case. Each of these
¶ 144. Indeed, the majority opinion does not even appear to be persuaded by these reasons, but sets the bar low enough that it nevertheless accepts them. The majority opinion‘s analysis of the reasons is often noncommittal. For example, the majority, while not “fully endorsing”40 the City‘s argument, finds Reason #5 “plausible.”41 The purpose of the balancing test is to determine whether an exception can override the strong presumption of records disclosure that is vital to the functioning of Wisconsin‘s government. A “plausible” reason should not be sufficient to defeat the presumption established by the legislature.
¶ 145. The majority also concedes that the second part of Reason #5, namely, the inability of the Police Department to hire and retain quality employees because of fear that personnel records will be released, is weak: “Public employees are frequently subject to a greater degree of public scrutiny than their private counterparts. This scrutiny comes with the territory.”42 The only argument the majority presents for still allowing this reason to “slightly” weigh in the Department‘s favor is that this case deals with rank-and-file officers who should expect more personal privacy than a prominent public official.43
¶ 146. It is unclear from the rest of the majority‘s hesitant language and analysis how the majority concludes the balancing test weighs in favor of nondisclosure. With this weak application of the balancing test
¶ 147. The majority opinion denies it is creating a “blanket exception to the open records law . . . ”44 when in fact that may be exactly what it is doing, provided of course that the next police department (or any other governmental entity) that receives an open records request repeats the “Exceptional Six” for the benefit of the court.
¶ 148. For the reasons set forth, I respectfully dissent.
¶ 149. I am authorized to state that Justices ANN WALSH BRADLEY and LOUIS B. BUTLER, JR. join this opinion.
Notes
In recognition of the fact that a representative government is dependent upon an informed electorate, it is declared to be the public policy of this state that all persons are entitled to the greatest possible information regarding the affairs of government and the official acts of those officers and employees who represent them. Further, providing persons with such information is declared to be an essential function of a representative government and an integral part of the routine duties of officers and employees whose responsibility it is to provide such information. To that end,
ss. 19.32 to19.37 shall be construed in every instance with a presumption of complete public access, consistent with the conduct of governmental business. The denial of public access generally is contrary to the public interest, and only in an exceptional case may access be denied.
An open records request need not specify the statutory provision under which it is being made. The open records law does not require “a request to contain any ‘magic words’ nor [does it] prohibit the use of any words.” ECO, Inc. v. City of Elkhorn, 2002 WI App 302, ¶ 23, 259 Wis. 2d 276, 655 N.W.2d 510 (Open records request made to city mistakenly cited the federal Freedom of Information Act rather than chapter 19; deemed sufficient). The request is sufficient if “‘it reasonably describes the requested record or the information requested.‘” Id., ¶ 23 (quoting
The majority opinion seizes on the governor‘s partial veto as indicating that exceptions have to be interpreted broadly because the governor‘s partial veto eliminated some legislative language. Majority op., ¶ 48 n.13, ¶ 50. Governor Thompson‘s full veto message explains the veto as follows:
Governor Tommy Thompson, Veto Message to Senate Bill 483 (available at Legislative Reference Bureau, Madison, WI).Section 26s specifies that records under the Personal Information Practices Law that are collected or maintained in connection with a complaint, investigation or circumstances that may lead to an enforcement action, court proceeding or other proceeding may be released one year after the conclusion of the action, proceeding or investigation or one year after the filing of a complaint. I am vetoing this provision because it would require prosecutors and investigators to turn over confidential files only one year after the filing of a complaint, at which time a sensitive complaint investigation may not be concluded. Also, I do not believe that confidential investigation files should be available for inspection by criminal defendants at any time.
(4) This subsection does not apply to any of the following:
. . . .
(b) Personally identifiable information that is at issue in a (pending contested case under ch. 227 or a pending court action.
. . . .
(e) Personally identifiable information which relates to the investigation, prosecution or other enforcement action of possible violations of law unless:
1. The information has been maintained for a period longer than reasonably necessary to conclude the investigation, prosecution or other enforcement action, and
2. Disclosure of the information would not reveal confidential investigatory methods, strategies or practices.
Prevention is the best tool for the elimination of sexual harassment. An employer should take all steps necessary to prevent sexual harassment from occurring, such as affirmatively raising the subject, expressing strong disapproval, developing appropriate sanctions, informing employees of their right to raise and how to raise the issue of harassment under Title VII, and developing methods to sensitize all concerned.
(6) Exceptions. The right of the employee or the employee‘s designated representative under sub. (3) to inspect his or her personnel records does not apply to:
(a) Records relating to the investigation of possible criminal offenses committed by that employee.
(b) Letters of reference for that employee.
(c) Any portion of a test document, except that the employee may see a cumulative total test score for either a section of the test document or for the entire test document.
(d) Materials used by the employer for staff management planning, including judgments or recommendations concerning future salary increases and other wage treatments, management bonus plans, promotions and job assignments or other comments or ratings used for the employer‘s planning purposes.
(e) Information of a personal nature about a person other than the employee if disclosure of the information would constitute a clearly unwarranted invasion of the other person‘s privacy.
(f) An employer who does not maintain personnel records.
(g) Records relevant to any other pending claim between the employer and the employee which may be discovered in a judicial proceeding.
