JOHN BAKER, Appellant, vs. CITY OF IOWA CITY, IOWA, and IOWA CITY HUMAN RIGHTS COMMISSION, Appellees.
No. 99 / 05–1833
IN THE SUPREME COURT OF IOWA
Filed May 30, 2008
On review from the Iowa Court of Appeals.
Appeal from the Iowa District Court for Johnson County, L. Vern Robinson (subpoena) and William L. Thomas (summary judgment), Judges.
Plaintiff appeals district court’s summary judgment for city and its civil rights commission and court’s quashing of plaintiff’s subpoena seeking records of assistant city attorney. DECISION OF COURT OF APPEALS VACATED. JUDGMENT OF DISTRICT COURT REVERSED IN PART AND AFFIRMED IN PART; CASE REMANDED.
Susan M. Dulek, Assistant City Attorney, Iowa City, for appellees.
TERNUS, Chief Justice.
The plaintiff, John Baker, appeals the district court’s entry of summary judgment for the appellees, City of Iowa City, Iowa, and Iowa City Human Rights Commission, based on the court’s conclusion the plaintiff’s claims were moot. In addition, Baker contends the court erred in failing to rule as a matter of law that the City’s ordinances exceed its home rule powers in two particulars: (1) the prohibition of discrimination by small employers; and (2) the prohibition of discrimination on the basis of marital status. Baker also challenges the district court’s quashing of his subpoena seeking production of the assistant city attorney’s records.
On appeal, the Iowa Court of Appeals affirmed the rulings of the district court. Upon our further review, we conclude two of the plaintiff’s claims are not moot, that the district court should have entered summary judgment for the plaintiff on his constitutional challenge to the Iowa City ordinance prohibiting employment discrimination by small employers, and that the plaintiff has waived his challenge to the district court’s ruling on the defendants’ motion to quash. Accordingly, we vacate the court of appeals’ decision, reverse in part and affirm in part the district court’s judgment, and remand the case for further proceedings.
I. Background Facts and Proceedings.
The plaintiff owns a home located in Iowa City. Because he lives out of state, he employs a resident manager for the property. In 2003 Baker advertised for a new manager and later rejected a female applicant because she failed to provide the requested references and because she indicated she intended to have her eleven-year-old son perform outside property maintenance, which Baker believed was unsafe and might also violate child labor laws. The applicant later filed a complaint with the Iowa City Human Rights Commission, claiming discrimination in employment and housing on the basis of marital status, race, and sex.
The Commission is a municipal civil rights commission, established by ordinance
Prior to the hearing scheduled on the discrimination complaint, Baker filed this action against the City and the Commission. Baker’s petition consisted of four counts: (1) count I requested a declaratory judgment that the city ordinances were inconsistent with and in conflict with state law and therefore unconstitutional; (2) count II sought damages under
Baker’s constitutional claim focused on two aspects of the city ordinances: (1) the City’s employment discrimination ordinance includes all employers within its prohibitions, whereas state law exempts employers having fewer than four employees from its prohibition of unfair employment practices; and (2) the City’s ordinance prohibits discrimination on the basis of marital status, a prohibition not found in state law. Compare
After bringing this action, Baker served subpoenas duces tecum on several city employees, including the assistant city attorney Susan Dulek. The defendants filed a motion to quash, which the district court sustained as to Dulek based on the attorney-client privilege.
Before the administrative hearing on the civil rights complaint was held, Baker settled with the complainant. As a result, the discrimination complaint was dismissed with prejudice.
Subsequently, Baker filed a motion for partial summary judgment on count I in the present case, claiming the city ordinances were facially unconstitutional because they conflicted with state law. The defendants resisted Baker’s motion for partial summary judgment and filed a cross-motion for summary judgment as to counts I and II. In his resistance, Baker agreed count I should be determined as a matter of law, but contended count II—his
After hearing, the district court ruled all the issues raised by the plaintiff were rendered moot by settlement of the underlying discrimination claim. The court granted the defendants’ motions for summary judgment and dismissed the plaintiff’s action in its entirety.
The plaintiff appealed the district court’s dismissal of counts I, II, and III, as well as the district court’s quashing of the subpoena seeking records from assistant city attorney Dulek. The appeal was transferred to the court of appeals. That court held that, “[w]ith the dismissal of the discrimination complaint, the controversy that precipitated the [plaintiff’s] lawsuit was eliminated.” For this reason, the court of appeals concluded the district court was correct in dismissing this case as moot; it did not reach the propriety of the district court’s ruling with respect to the subpoena. We granted the plaintiff’s application for further review.
II. Scope of Review.
Summary judgment rulings are reviewed for correction of errors of law. Hallett Constr. Co. v. Meister, 713 N.W.2d 225, 229 (Iowa 2006). “To obtain a grant of summary judgment on some issue in an action, the moving party must affirmatively establish the existence of undisputed facts entitling that party to a particular result under controlling law.” Interstate Power Co. v. Ins. Co. of N. Am., 603 N.W.2d 751, 756 (Iowa 1999).
District court rulings regarding the discovery process are reviewed for an abuse of discretion. Exotica Botanicals, Inc. v. Terra Int’l Inc., 612 N.W.2d 801, 804 (Iowa 2000); State ex rel. Miller v. Nat’l Dietary Research, Inc., 454 N.W.2d 820, 822 (Iowa 1990). An abuse of discretion will be found when the district court exercises its discretion on grounds or for reasons that are clearly untenable or to an extent that is clearly unreasonable. Nat’l Dietary Research, 454 N.W.2d at 822.
III. Mootness.
On occasion a claim will become moot when facts or governing laws change after an action is commenced. “A case is moot if it no longer presents a justiciable controversy because the issues involved are academic or nonexistent.” Perkins v. Bd. of Supervisors, 636 N.W.2d 58, 64 (Iowa 2001). Issues are academic when an opinion would be of no force or effect in the underlying dispute. Id. A second aspect of the mootness doctrine is known as the “personal stake requirement.” U.S. Parole Comm’n v. Geraghty, 445 U.S. 388, 396, 100 S. Ct. 1202, 1208, 63 L. Ed. 2d 479, 490 (1980).
The “personal stake” aspect of mootness doctrine also serves primarily the purpose of assuring that . . . courts are presented with disputes they are capable of resolving. One commentator has defined mootness as “the doctrine of standing set in a time frame: The requisite personal interest that must exist at the commencement of the litigation (standing) must continue throughout its existence (mootness).”
Id. at 397, 100 S. Ct. at 1209, 63 L. Ed. 2d at 491 (quoting Henry P. Monaghan, Constitutional Adjudication: The Who and When, 82 Yale L.J. 1363, 1384 (1973)); accord Iowa Civil Liberties Union v. Critelli, 244 N.W.2d 564, 567–68 (Iowa 1976)
The district court believed Baker’s settlement with the complainant rendered the issues in this case academic. Baker does not disagree with this assessment as to count IV in which he sought to stay the administrative proceeding. Given the dismissal of the administrative proceeding, any dispute with respect to whether that proceeding should be stayed is nonexistent.
We think the same is true with respect to count III, in which Baker sought a writ of certiorari pursuant to
Unless otherwise specially provided by statute, the judgment on certiorari shall be limited to sustaining the proceedings below, or annulling the same wholly or in part, to the extent that they were illegal or in excess of jurisdiction, and prescribing the manner in which either party may proceed further, nor shall such judgment substitute a different or amended decree or order for that being reviewed.
We do not, however, concur that Baker’s claim under count II of his petition is moot. In count II, Baker alleges a § 1983 claim for damages based on the defendants’ enforcement of the city ordinances, their investigation of the complaint, and the commencement of administrative proceedings. He claims their actions violated his due process rights and the equal protection guarantee of the United States Constitution. In response, the defendants make the conclusory argument that, because there is no discrimination complaint pending against Baker, these issues are moot. While Baker’s voluntary settlement of the discrimination complaint may have eliminated the controversy that precipitated this lawsuit, that settlement clearly did not encompass Baker’s claim that his civil rights had been violated by the City. Count II is not moot, and the district court erred in dismissing count II on this basis.
We also conclude count I remained viable after dismissal of the administrative proceeding. In count I, Baker seeks a declaratory judgment that the city ordinances are unconstitutional to the extent the City attempts to prohibit employment discrimination by employers having fewer than four employees and to prohibit employment and housing discrimination on the basis of marital status. The defendants claim, in essence, that Baker has lost his standing to challenge the ordinances because he is no longer being sued under these laws.
Standing has been defined to mean that a party must have ” ‘sufficient stake in an otherwise justiciable controversy to obtain judicial resolution of the controversy.’ ” We have held that in order to have standing a party must (1) have a
specific personal or legal interest in the litigation and (2) be injuriously affected.
Berent v. City of Iowa City, 738 N.W.2d 193, 202 (Iowa 2007) (quoting Birkhofer ex rel. Johannsen v. Brammeier, 610 N.W.2d 844, 847 (Iowa 2000)).
Under circumstances analogous to those present here, the Massachusetts Supreme Judicial Court has held that a plaintiff continued to have standing to challenge the validity of a municipal ordinance prohibiting public begging even though his prosecution under the ordinance was no longer pending. Benefit v. City of Cambridge, 679 N.E.2d 184, 187 (Mass. 1997). Relying in part on the existence of a continuing threat of prosecution under the ordinance, the court concluded “the plaintiff [had] a sufficient personal interest in the rights and relief at stake to meet standing requirements.” Id. Similarly, in Ramos v. Town of Vernon, 761 A.2d 705 (Conn. 2000), the Connecticut Supreme Court held a minor subject to a juvenile curfew ordinance did not have to risk the consequences of violating the ordinance in order to have standing to test the constitutionality of the law. Id. at 714.
We reach the same conclusion here. Notwithstanding the dismissal of the underlying discrimination complaint, as an Iowa City housing owner and employer, Baker remains constrained by restrictions imposed by the city ordinances. Therefore, he continues to have a specific personal interest in whether the city ordinances are valid and to be injuriously affected by these ordinances. Thus, Baker has a sufficient stake in the resolution of the controversy to satisfy our standing requirements. Cf. Ames Rental Prop. Ass’n v. City of Ames, 736 N.W.2d 255, 259 n.3 (Iowa 2007) (holding association of landlords had standing to challenge city zoning ordinance, noting association’s members “have a legitimate interest in Ames’s ordinance because they are being fined for violating the ordinance and presumably the ordinance makes the homes more difficult to rent“). We conclude the district court erred in dismissing count I on the ground of mootness.
IV. Constitutionality of Ordinances.
In addition to seeking a reversal of the district court’s summary judgment for the defendants, the plaintiff also raises on appeal the district court’s failure to grant his motion for summary judgment on count I of the petition, in which he claims the Iowa City ordinances are unconstitutional. As noted earlier, Baker’s challenge to the ordinances is twofold: he contends the inclusion of small employers, as well as the prohibition of discrimination based on marital status, are inconsistent with chapter 216. Therefore, he argues, the ordinances exceed the City’s home rule power.
A. Governing Legal Principles.
The Iowa Constitution gives municipalities authority to regulate matters of local concern, subject to the superior power of the legislature: “Municipal corporations are granted home rule power and authority, not inconsistent with the laws of the general assembly, to determine their local affairs . . . .”
“An exercise of a city power is not inconsistent with a state law unless it is irreconcilable with the state law.”
In determining what the legislature has permitted and prohibited, we look to the legislative intent in enacting the state statutes and we require that any local ordinance remain faithful to this legislative intent, as well as to the legislative scheme established in the relevant state statutes.
B. Constitutionality of Ordinance Applying Prohibition of Unfair Employment Practices to Small Employers.
With regard to unfair employment practices, the Iowa City City Code makes it unlawful for
any employer to refuse to hire, accept, register, classify, upgrade or refer for employment, or to otherwise discriminate in employment against any other person or to discharge any employee because of age, color, creed, disability, gender identity, marital status, national origin, race, religion, sex or sexual orientation.
1. It shall be an unfair or discriminatory practice for any:
a. Person to refuse to hire, accept, register, classify, or refer for employment, to discharge any employee, or to otherwise discriminate in employment against any applicant for employment or any employee because of the age, race, creed, color, sex, national origin, religion, or disability of such applicant or employee, unless based upon the nature of the occupation. . . .
. . . .
6. This section shall not apply to:
a. Any employer who regularly employs less than four individuals. For purposes of this subsection, individuals who are members of the employer’s family shall not be counted as employees.
We first address the City’s assertion that chapter 216 expressly permits variations between local and state discrimination laws such as the difference at issue here.
Having concluded the legislature did not expressly authorize the difference under consideration, we return to an evaluation of whether the city ordinance is otherwise inconsistent with
In the article, the author urged enactment of an employment discrimination statute that included a small-employer exemption. Bonfield Article, 49 Iowa L. Rev. at 1108. In advocating for the adoption of this exemption, the author explained:
Almost all fair employment practices acts exempt small employers, which are defined as employers with less than a specified number of employees. The general consensus seems to be that notions of freedom of association should preponderate over concepts of equal opportunity in these situations because the smallness of the employer’s staff is usually likely to mean for him a rather close, intimate, personal, and constant association with his employees.
Id. at 1109 (footnotes omitted); see also Thibodeau v. Design Group One Architects, LLC, 802 A.2d 731, 741 (Conn. 2002) (stating one reason for small-employer exemption was legislature’s desire to protect the ” ‘intimate and personal relations existing in small businesses’ ” (quoting Tomka v. Seiler Corp, 66 F.3d 1295, 1314 (2d Cir. 1995))). The exemption suggested in this article was subsequently adopted nearly verbatim by the Iowa legislature. We think, therefore, that the legislature made the policy decision that “freedom of association should preponderate over concepts of equal opportunity” in situations involving small employers.
As noted above, “[i]n determining what the legislature has permitted and prohibited, we look to the legislative intent in enacting the state statutes and we require that any local ordinance remain faithful to this legislative intent . . . .” Goodell, 575 N.W.2d at 500.
C. Constitutionality of Ordinances Prohibiting Discrimination on the Basis of Marital Status.
As previously discussed, the Iowa City City Code prohibits discrimination in employment and housing on the basis of marital status, a class not mentioned in the state civil rights statute. Compare
V. Ruling on Defendants’ Motion to Quash Subpoena.
Because this matter must be remanded for trial on Baker’s § 1983 claim, we will address his challenge to the district court’s quashing of the subpoena seeking the records of assistant city attorney Dulek. The district court ruled “the information sought from Ms. Dulek is protected by the attorney/client privilege.” Baker contends the attorney-client privilege should not shield the assistant city attorney’s file from discovery because “the city attorney’s office participates administratively in a human rights contested case.”
Pursuant to
VI. Summary and Disposition.
We hold the plaintiff’s settlement of the underlying discrimination complaint did not render moot his request for declaratory relief made in count I or his claim for damages under
The City’s inclusion of small employers in its prohibition of unfair employment practices conflicts with state law exempting small employers from such constraints under state law. Because the city ordinance exceeds the City’s home rule authority in this regard, the district court erred in failing to issue a declaratory judgment to the plaintiff declaring the employment discrimination ordinance unconstitutional insofar as it is applied to employers exempted under the state civil rights statute. The City’s prohibition of discriminatory employment and housing practices based on marital status is not inconsistent with state law. Rather, such an expansion of state prohibitions is expressly authorized by
The plaintiff has failed to support with legal authorities and argument his conclusory contention that the assistant city attorney’s file does not constitute attorney work product and is not protected by the attorney-client privilege. Therefore, we deem this issue waived.
We remand this case to the district court for entry of a judgment on count I declaring the employment discrimination ordinance unconstitutional in its application to employers having fewer than four employees and for further proceedings on the plaintiff’s § 1983 claim as alleged in count II.
DECISION OF COURT OF APPEALS VACATED. JUDGMENT OF DISTRICT COURT REVERSED IN PART AND AFFIRMED IN PART; CASE REMANDED.
All justices concur except Baker, J., who takes no part.