Filed
IN THE SUPREME
COURT OF
OF PROFESSIONAL AND TECHNICAL )
ENGINEERS,
LOCAL 21,
)
v. )
) Super.
CONTRA COSTA NEWSPAPERS, )
INC., et al., )
)
__________________________________ )
This
case presents the question whether the names and salaries of public employees
earning $100,000 or more per year, including peace officers, are exempt from
public disclosure under the California Public Records Act (Gov. Code, § 6250 et
seq.).[1] The Court of Appeal concluded they are not,
because “well-established norms of
I.
Reporters employed by Contra Costa Newspapers, Inc. (the Newspapers) requested under the California Public Records Act (the Act) that the City of Oakland (the City) provide them with the names, job titles, and gross salaries of all city employees who earned $100,000 or more in fiscal year 2003-2004, including those individuals whose base salary equaled or exceeded that amount and those who earned a lower base salary but were paid $100,000 or more because of overtime work. The City agreed to disclose salary and overtime information for each job classification, but refused to provide salary information linked to individual employees, claiming that individually identified salary information is exempt from disclosure. The Newspapers sought a writ of mandate in the superior court to compel the City to disclose the requested salary records.
The City’s refusal was a departure from its past practice. At least during the years 1996 through 2003, the City’s personnel director disclosed the names, job titles, and salaries of all city employees, and this information was published in a local newspaper. The City changed its policy in May 2004, citing as factors supporting this decision (1) two appellate court decisions that recognized a privacy right in public employee salary information (Teamsters Local 856 v. Priceless, LLC (2003) 112 Cal.App.4th 1500 (Priceless) and City of Los Angeles v. Superior Court (2003) 111 Cal.App.4th 883 (City of Los Angeles)); (2) increased concerns regarding financial privacy; and (3) strong opposition to its prior policy from two unions that represented city employees. In addition, because the City has a merit-based compensation system, it concluded that disclosing the salaries of public employees by name each year would permit members of the public to construct a performance evaluation of each employee by calculating the percentage increase in his or her salary from year to year, which would invade the employees’ privacy.
The superior court granted leave to intervene to two employee unions, the International Federation of Professional and Technical Engineers, Local 21 (Local 21) and the Oakland Police Officers Association (the Police Officers Association). The superior court granted the Newspapers’ petition and ordered the City to disclose the requested salary information. The court concluded that the City and the intervening unions had failed to establish that city employees who earn $100,000 or more have any protected privacy interest in information related to their salary, and found that such salary information consistently had been disclosed in the past, both by the City and by federal, state, and other local governments. Although the City and some other cities recently had refused to disclose individually identified salary information, the court concluded that these refusals appeared to reflect “uncertainty about the proper interpretation of the [Act] in light of recent court decisions.”
The superior court also concluded that, even assuming a privacy interest existed, that interest is outweighed by the public interest in disclosure. The court found “extremely speculative” the fears expressed by two declarants that identity fraud and unwanted solicitations would ensue in the event information disclosing their salaries were to be released. Furthermore, the superior court found, the evidence presented by the Newspapers supports their contention that disclosure of the names of employees in connection with their individual salaries is “in many cases necessary to disclose inefficiency, favoritism, nepotism, and fraud with respect to the government’s use of public funds for employee salaries.” The court also rejected the Police Officers Association’s contention that a different result is required under Penal Code sections 832.7 and 832.8 with regard to its members because those statutes render peace officer personnel records confidential, the court concluding that salary information is not included within the definition of “personnel records” under the latter statute.
The City chose not to appeal from the judgment rendered by the superior court. Local 21 and the Police Officers Association (collectively, the Unions) filed a petition for writ of mandate in the Court of Appeal. After issuing an order to show cause, that court denied the Unions’ petitions. The Unions then successfully sought review in this court.
II.
A.
Openness
in government is essential to the functioning of a democracy. “Implicit in the democratic process is the
notion that government should be accountable for its actions. In order to verify accountability,
individuals must have access to government files. Such access permits checks against the
arbitrary exercise of official power and secrecy in the political
process.” (C.B.S., Inc. v. Block (1986) 42 Cal.3d 646, 651, fn. omitted (Block).)
In adopting the Act, the Legislature declared that “access to
information concerning the conduct of the people’s business is a fundamental
and necessary right of every person in this state.” (§ 6250.)
As the result of an initiative adopted by the voters in 2004, this
principle is now enshrined in the state Constitution: “The people have the right of access to
information concerning the conduct of the people’s business, and therefore,
. . . the writings of public officials and agencies shall be open to
public scrutiny.” (
The Legislature has been “mindful of the right of individuals to privacy.” (§ 6250.) Set forth in the Act are numerous exceptions to the requirement of public disclosure, many of which are designed to protect individual privacy. (See § 6254.)[2] In addition, a catchall exception applies if “on the facts of the particular case the public interest served by not disclosing the record clearly outweighs the public interest served by disclosure of the record.” (§ 6255, subd. (a).) Unless one of the exceptions stated in the Act applies, the public is entitled to access to “any writing containing information relating to the conduct of the public’s business owned, used, or retained by any state or local agency.” (§ 6252, subd. (e); § 6253, subd. (a).)
The parties agree that the records at issue meet the definition of public records contained in the Act. (§ 6252, subd. (d); § 6253, subd. (a).) The records therefore must be disclosed unless one of the statutory exceptions applies. The party seeking to withhold public records bears the burden of demonstrating that an exception applies. (See § 6255.) At issue here is the exemption for “[p]ersonnel, medical or similar files, the disclosure of which would constitute an unwarranted invasion of personal privacy.” (§ 6254, subd. (c).) The Unions contend that the salaries of named public employees are “personnel . . . or similar files” and that their disclosure constitutes an “unwarranted invasion of personal privacy” under this exception.
We need not decide whether the records of a public entity’s payroll expenditures constitute “personnel . . . or similar files” because, assuming for purposes of discussion that they do, the exemption does not apply; the disclosure here does not constitute an “unwarranted invasion of personal privacy.” (§ 6254, subd. (c).) This exemption requires us to balance two competing interests, both of which the Act seeks to protect — the public’s interest in disclosure and the individual’s interest in personal privacy. Balancing these interests, we conclude that disclosure of the salary information at issue in the present case would not constitute an unwarranted invasion of personal privacy.
“A particular class of information is private when well-established social norms recognize the need to maximize individual control over its dissemination and use to prevent unjustified embarrassment or indignity.” (Hill v. National Collegiate Athletic Assn. (1994) 7 Cal.4th 1, 35 (Hill).)[3] The parties agree that individuals have a legally recognized privacy interest in their personal financial information. Even before the explicit incorporation of the right of privacy into our state Constitution, we recognized that “the protection of one’s personal financial affairs and those of his (or her) spouse and children against compulsory public disclosure is an aspect of the zone of privacy which is protected by the Fourth Amendment and which also falls within that penumbra of constitutional rights into which the government may not intrude absent a showing of compelling need and that the intrusion is not overly broad.” (City of Carmel-by-the-Sea v. Young (1970) 2 Cal.3d 259, 268.) The financial disclosure statute at issue in City of Carmel required every public officer and every candidate for state or local office to disclose the nature and extent of his or her investments in excess of $10,000 as well as those of his or her spouse and their minor children. We held that the law was an overbroad intrusion into the right of privacy and thereby invalidly restricted the right to seek or hold public office or employment. “[T]he right of privacy concerns one’s feelings and one’s own peace of mind [citation] and certainly one’s personal financial affairs are an essential element of such peace of mind.” (Ibid.) In City of Carmel, we balanced the government’s need to minimize conflicts of interest against the individual’s right to maintain privacy in his or her personal financial affairs, concluding that the financial disclosure statute at issue was unconstitutional because it made no attempt to link the disclosure requirements to the dealings or assets that might be expected to give rise to a conflict. (Id. at p. 269; but see County of Nevada v. MacMillan (1974) 11 Cal.3d 662 [upholding later enacted, more narrowly drawn financial disclosure law].)
The statute at issue in City of Carmel required disclosure of personal financial matters unrelated to the individual’s public employment. The present case, in contrast, involves disclosure of financial matters directly related to the individual’s public employment. Of course, we recognize that many individuals, including public employees, may be uncomfortable with the prospect of others knowing their salary and that many of these individuals would share that information only on a selective basis, even within the workplace. Nor do we question that public disclosure of an individual’s salary may cause discomfort or embarrassment. Nonetheless, in light of the strong public policy supporting transparency in government, an individual’s expectation of privacy in a salary earned in public employment is significantly less than the privacy expectation regarding income earned in the private sector.
To the extent some public employees may expect their salaries to remain a private matter, that expectation is not a reasonable one and is, accordingly, entitled to diminished weight in the balancing test we apply under section 6254, subdivision (c). The “customs, practices, and physical setting surrounding particular activities may create or inhibit reasonable expectations of privacy.” (Hill, supra, 7 Cal.4th at p. 36.) “A ‘reasonable’ expectation of privacy is an objective entitlement founded on broadly based and widely accepted community norms.” (Id. at p. 37.) The “broadly based and widely accepted community norm[]” applicable to government employee salary information is public disclosure.
Well before the Act was adopted, the Attorney General stated that “the name of every public officer and employee, as well as the amount of his salary, is a matter of public record.” (State Employees’ Retirement Act, 25 Ops.Cal.Atty.Gen. 90, 91 (1955) [concluding that state-paid retirement benefits are public records].) Following adoption of the Act, the Attorney General consistently has maintained that same position. (See County Payroll Records as Public Records, 60 Ops.Cal.Atty.Gen. 110 (1977) [county payroll records of names and amounts received by retirees are public records]; Records for Performance Awards, 68 Ops.Cal.Atty.Gen. 73 (1985) [records of the amounts and reasons for performance awards granted to executive managers of a city are subject to disclosure under the Act].)
The
Attorney General’s long-standing position that government payroll information
is public is consistent with the widespread practice of federal, state, and
local governments.[4] Evidence submitted to the superior court by
the Newspapers demonstrates that disclosure of salary information has been the
practice of both the state and of local governments, including not only the
City of
Counterbalancing any cognizable interest that public employees may have in avoiding disclosure of their salaries is the strong public interest in knowing how the government spends its money. As we have observed in the context of the public’s right of access to court proceedings and documents, public access makes it possible for members of the public “ ‘to expose corruption, incompetence, inefficiency, prejudice, and favoritism.’ ” (NBC Subsidiary (KNBC-TV), Inc. v. Superior Court (1999) 20 Cal.4th 1178, 1211, fn. 28, quoting Estate of Hearst (1977) 67 Cal.App.3d 777.)
In
the analogous context of open meeting laws, a distinction has been drawn
between personnel matters, which may be discussed in sessions closed to the
public, and salaries, which must be discussed in open session.[6] (San
Diego Union v. City Council (1983) 146 Cal.App.3d 947.)
These
same considerations support the conclusion that salary information should not
be exempt from disclosure under the Act.
The Newspapers submitted to the trial court numerous examples of
articles published throughout the state that used information concerning public
employee salaries to illustrate claimed nepotism, favoritism, or financial
mismanagement in state and local government.
For instance, one article disclosed that a city department manager’s
wife was earning $80,000 as an information technology specialist assigned to
that department while the department was suffering a budget shortfall requiring
layoffs. Another article exposed the
circumstance that a city assessor hired a number of individuals who had
contributed to (or worked on) her election campaign. Other articles revealed numerous additional
instances of questionable use of public funds.
Changes in a school district pension system resulted in large pension
increases to some of the district’s top administrators. Legislation reclassified an increasing number
of state employees as safety workers eligible for pensions higher than those
received by other state workers. A
In upholding the
trial court’s order requiring disclosure, the Court of Appeal expressly
declined to follow Priceless, supra,
112 Cal.App. 4th 1500, a case that, as noted above, contributed to the City of
In that case, a newspaper requested, from a number of cities, disclosure of the names and salaries of city employees. The appellate court upheld a trial court order granting a preliminary injunction, sought by a number of employee unions, requiring the cities to withhold such records pending resolution of the case. In that procedural posture and limited context, the appellate court concluded that the unions were likely to prevail on their claim that the records were exempt from disclosure under section 6250, subdivision (c).
The Court of Appeal in Priceless rejected the newspaper’s argument that public employees had no right to control the dissemination of their individually identified salary information. The appellate court reasoned that the Act recognizes a right of privacy in one’s personnel files. (§ 6254, subd. (c); Priceless, supra, 112 Cal.App.4th at pp. 1514-1515.) Because the parties had stipulated that the details of the city employees’ salaries were maintained in confidential personnel files, the Court of Appeal found support for “the trial court’s recognition that a privacy interest was at stake and that the expectation of privacy was reasonable under the circumstances.” (Priceless, supra, 112 Cal.App.4th at p. 1516, fn. omitted.) Weighing the individual’s privacy interests against the public’s right to disclosure, the appellate court found no evidence in the trial record to support the newspaper’s contention that “revealing the individuals’ names would shed light on government conduct.” (Id. at p. 1522.) The reviewing court concluded that on the record before it, the public interest in knowing how public money is spent and in being informed of the earnings of government employees at various levels was met by the bare disclosure of the staff positions and of the compensation set for each position, without the need to disclose the names of the employees occupying those positions. The court characterized as “speculative” the newspaper’s contention that revealing the names of employees might disclose improprieties, but also noted that both sides would have the “opportunity to present additional evidence” on the issue. (Id. at pp. 1522-1523.) Ultimately, the appellate court upheld the preliminary injunction “in light of the limited evidence before the trial court.” (Id. at p. 1523.)
Because of the procedural posture of the case, the precedential value of Priceless is slight. In contrast to the limited record available to the court in Priceless, the present case was decided after a full hearing. As noted above, the Newspapers presented substantial evidence demonstrating that disclosure of the names and salaries of public employees would serve the public interest sought to be protected by the Act. The Newspapers also presented evidence concerning the historic practices of other governmental entities, which supported the conclusion that any expectation of privacy that public employees may have that their salaries will be confidential is not reasonable.
To the extent the decision in Priceless may be read to stand for the proposition that the practice of particular governmental entities in refusing to disclose salary information can create a privacy interest in those records that must be recognized under the Act, we disagree. The appellate court in Priceless concluded that because the cities that were parties in that case kept salary information confidential, the employees’ expectation of privacy in their salary information was reasonable. The court’s decision focused narrowly on the practice of the particular cities whose records were being sought in that case, apparently because those practices were the only ones in evidence. The practice of a few cities does not, however, demonstrate a “broadly based and widely accepted community norm[].” (Hill, supra, 7 Cal.4th at p. 37.) The Act should apply in the same way to comparable records maintained by comparable governmental entities. Whether or not a particular type of record is exempt should not depend upon the peculiar practice of the government entity at issue — otherwise, an agency could transform public records into private ones simply by refusing to disclose them over a period of time.
Local 21 also contends that before individually identified salary information may be disclosed, section 6254, subdivision (c) must be applied on a case-by-case basis, taking into account the privacy interest peculiar to the individual employee as well as the particular public interest in being informed of the salary of that employee.[8] The approach proposed by Local 21 would reverse the presumption of openness contained in the Act. The records at issue are presumptively open because they contain “information relating to the conduct of the public’s business.” (§ 6252, subd.(e).) The burden is on the agency maintaining the records to demonstrate that the record in question is exempt. (§ 6255.) The City and the Unions failed to present any evidence establishing that the City’s consistent past practice of disclosing its employees’ salaries created any safety or privacy problems for those employees that would outweigh the public interest in disclosure.
Claims for exemption based upon facts and circumstances peculiar to an individual and his or her duties could, of course, be considered either under section 6254, subdivision (c) or under the catchall exemption, which applies when “on the facts of the particular case the public interest served by not disclosing the record clearly outweighs the public interest served by disclosure of the record.” (§ 6255, subd. (a).) For example, the Police Officers Association contends that officers who are working undercover often receive large amounts of overtime pay, and that disclosure of their names and salaries could reveal their identities and endanger their safety. If an officer’s anonymity is essential to his or her safety, the need to protect the officer would outweigh the public interest in disclosure and would justify withholding the officer’s name. (Commission on Peace Officer Standards, supra, ___ Cal.4th at p. ___ [at p. 26].) “The public has a strong interest in maintaining the safety and efficacy of its law enforcement agencies. But ‘[t]he prospect that somehow this information in the hands of the press will increase the danger to some . . . cannot alone support a finding in favor of nondisclosure as to all.’ (CBS, Inc. v. Block (1986) 42 Cal.3d 646, 652.) The means for protecting such officers is to segregate the information relating to them from the records that are disclosed.” (Commission on Peace Officer Standards, supra, ___ Cal.4th at p. ___ [at pp. 26-27]; see also Gov. Code, § 6257; American Civil Liberties Union Foundation v. Deukmejian (1982) 32 Cal.3d 440, 453, fn. 13.) Neither the City nor the Unions offered any evidence in the superior court that salary information pertaining to particular individuals should be exempted under section 6254, subdivision (c) or 6255, subdivision (a).
B.
Local 21 argues that even if the salaries of government employees are a matter of public record, “limitations on the method of disclosure of that information . . . are appropriate to prevent intrusions upon constitutionally protected privacy rights.” Local 21 contends that the mass, indiscriminate disclosure of salary information related to all City of Oakland employees earning $100,000 or more constitutes an invasion of their right of privacy under article I, section 1 of the California Constitution, because providing the information in that form could contribute to the accumulation of information concerning these individuals that might be exploited by commercial interests. For example, Local 21 asserts that “[a] database of government employees who make $100,000 a year or more would obviously be of great commercial interest to marketers of certain kinds of investments and insurance policies,” who could supplement this information with addresses, phone numbers, or e-mail addresses obtainable on the Internet and contact employees to solicit their business. Therefore, Local 21 argues, the issue whether the salaries of government employees must be disclosed should be decided on a case-by-case basis, taking into account the particular privacy interest of the individual involved and the asserted public interest in the disclosure of that individual’s salary.
The party claiming a violation of the constitutional right of privacy established in article I, section 1 of the California Constitution must establish (1) a legally protected privacy interest, (2) a reasonable expectation of privacy under the circumstances, and (3) a serious invasion of the privacy interest. (Hill, supra, 7 Cal.4th at pp. 39-40.) As discussed above, we conclude that public employees do not have a reasonable expectation of privacy in the amount of their salaries. Furthermore, Local 21 offered no evidence in the superior court supporting its assertion that the information at issue was likely to be exploited by commercial interests in a manner that would invade the privacy of employees. As the superior court observed, Local 21 has not introduced any evidence of adverse consequences resulting from the disclosure of this information in the past, although the information regularly was published in a local newspaper.
Even were we to assume that Local 21 is correct in asserting that the information at issue might be exploited by commercial enterprises, that circumstance alone would not render disclosure of the information here at issue a violation of the constitutional right of privacy. In order to determine whether an alleged invasion of privacy is sufficiently serious to constitute a violation of that constitutional right, the competing privacy and nonprivacy interests must be balanced. (Hill, supra, 7 Cal.4th at p. 37.) “Invasion of a privacy interest is not a violation of the state constitutional right to privacy if the invasion is justified by a competing interest.” (Id. at p. 38.)
As discussed above, the public has a strong, well-established interest in the amount of salary paid to public employees. Indeed, Local 21 does not dispute that the job classifications of individual employees and the range of pay associated with those classifications should be available to the public. The interest of employees in avoiding unwanted solicitations or marketing efforts is, on the other hand, comparatively weak. The City has not been asked to disclose any contact information for these employees, such as home addresses or telephone numbers. (Cf. San Jose v. Superior Court (1999) 74 Cal.App.4th 1008, 1021 [city not required to disclose names, addresses, and telephone numbers of persons who made complaints about airport noise, because invasion of privacy not outweighed by public interest in disclosure under section 6255]; see also Department of Defense v. FLRA (1994) 510 U.S. 487 [FOIA does not require federal agencies to disclose employees’ home addresses to union].)
Local
21 cites Westbrook v. County of Los
Angeles (1994) 27 Cal.App.4th 157 (Westbrook)
and provisions of the California Rules of Court as demonstrating a
constitutionally cognizable privacy interest in preventing commercial
enterprises from employing government records to compile and exploit personal
information. (See Cal. Rules of Court,
rule 2.500 et seq.) Neither Westbrook nor the California Rules of
Court support such an expansive view of the constitutional right of
privacy. In Westbrook, a person in the business of selling criminal offender
background information brought an action to compel a municipal court to sell
him computer tapes containing copies of the court’s information system. The system contained a plethora of
information obtained from criminal case files, including not only information
concerning the charges and their disposition but also personal identifying
information such as the date of birth, race, sex, personal description, and
Social Security number of each defendant.
(Westbrook, supra, 27
Cal.App.4th at p. 161.) The Court
of Appeal concluded that the distribution of such information would violate
Penal Code section 13300, which generally prohibits a local criminal justice
agency, including a court, from distributing information that relates a
person’s criminal history. The court reasoned
that although the public was entitled to access individual court files,
providing electronic access in the form of the court’s information system would
permit the compilation and distribution of criminal histories, in violation of
the statute. (Westbrook, supra, at
pp. 163-165.)
The
court in Westbrook also concluded
that the “state constitutional right of privacy extends to protect defendants
from unauthorized disclosure of criminal history records.” (Westbrook,
supra, 27 Cal.App.4th at pp. 165-166,
citing Craig v. Municipal Court
(1979) 100 Cal.App.3d 69, 76-77.) In
support of this conclusion, Westbrook
cited U. S. Dept. of Justice v. Reporters
Committee (1989) 489
The
California Rules of Court cited by the Police Officers Association similarly
serve to prevent the compilation of private information contained in court
records. The rules limit internet access
to (and bulk distribution of) electronic court records, except for the
calendar, register of actions, and index.
(Cal. Rules of Court, rule 2.503, subds. (b), (f), and (g); but see id., rule 2.503, subd. (f) [exception to
prohibition on internet access to criminal case files in which public interest
is extraordinary].) These limitations
are designed to prevent courts from distributing their records in a manner that
permits the compilation of “personal information culled from any document,
paper, or exhibit filed in a lawsuit.” (
The salary information sought by the Newspapers in the present case, in contrast to the type of information addressed in Westbrook, Reporters Committee, and the California Rules of Court, is not private information that happens to be collected in the records of a public entity. Rather, it is information regarding an aspect of government operations, the disclosure of which contributes to the public’s understanding and oversight of those operations by allowing interested parties to monitor the expenditure of public funds. The disclosure of such information under the Act does not violate the right of privacy protected by the California Constitution.
C.
As to employees who are peace officers, the Police Officers Association contends that Penal Code section 832.7 bars disclosure of the amount of an officer’s salary. The Act exempts from disclosure any records “the disclosure of which is exempted or prohibited pursuant to federal or state law.” (Gov. Code § 6254, subd. (k).) Penal Code section 832.7 provides that “[p]eace officer . . . personnel records, . . . or information obtained from [those] records, are confidential.” Because peace officer personnel records and information obtained from such records are made confidential by Penal Code section 832.7, they are exempt from disclosure under Government Code section 6254, subdivision (k). (Commission on Peace Officer Standards, supra, ___ Cal.4th at p. ___ [at p. 8]; Copley Press, Inc. v. Superior Court (2006) 39 Cal.4th 1272, 1284-1286; § 6276.34.)
The phrase “personnel records” is defined in Penal Code section 832.8 to include “any file maintained under that individual’s name by his or her employing agency and containing records relating to any of the following: [¶] (a) Personal data, including marital status, family members, educational and employment history, home addresses, or similar information. [¶] (b) Medical history. [¶] (c) Election of employee benefits. [¶] (d) Employee advancement, appraisal, or discipline. [¶] (e) Complaints, or investigations of complaints, concerning an event or transaction in which he or she participated, or which he or she perceived, and pertaining to the manner in which he or she performed his or her duties. [¶] (f) Any other information the disclosure of which would constitute an unwarranted invasion of personal privacy.” The Police Officers Association contends that salary information constitutes “personal data” under Penal Code section 832.8, subdivision (a). It argues that salary is “personal” because it relates to the individual and because most persons view their salary as a private matter. We disagree.
We begin with the ordinary meaning of the word in question. “ ‘Personal’ generally is defined to mean ‘of or relating to a particular person.’ (Webster’s 3d New Internat. Dict. (2002), p. 1686; American Heritage Dict. (4th ed. 2000) p. 1311.) The word ‘personal,’ however, also carries a connotation of ‘private,’ meaning ‘peculiar or proper to private concerns,’ ‘not public or general’ (Webster’s 3d New Internat. Dict., supra, at p. 1686), or ‘[c]oncerning a particular person and his or private business, interests, or activities; intimate’ (American Heritage Dict., supra, at p. 1311).” (Commission on Peace Officer Standards, supra, ___ Cal.4th at p. ___ [at p. 18] [names of peace officers are not personal information within the meaning of Pen. Code § 832.8, subd. (a)].) A public employee’s salary relates to a particular person, but, as discussed above, it is a matter of public interest and not primarily a matter of the individual’s private business.
Furthermore,
considering the language of Penal Code section 832.8, subdivision (a) as a
whole, we conclude that the Legislature did not intend the words “personal
data” to carry their broadest possible meaning, encompassing any and all
information related to a particular officer.
Because subdivision (a) includes
a general term — “personal data” — followed by a nonexhaustive list
of specific examples — “marital status, family members, educational
and employment history, home addresses” — the principle of ejusdem generis provides guidance in
discerning the Legislature’s intent. “Ejusdem generis applies whether specific
words follow general words in a statute or vice versa. In either event, the general term or category
is ‘restricted to those things that are
similar to those which are enumerated specifically.’ ” (Harris
v. Capital Growth Investors XIV (1991) 52 Cal.3d 1142, 1160, fn. 7.) “The canon presumes that if the Legislature
intends a general word to be used in its unrestricted sense, it does not also
offer as examples peculiar things or classes of things since those descriptions
then would be surplusage.” (Kraus v. Trinity Management Services, Inc.
(2000) 23 Cal.4th 116, 141; see also
Civ. Code, § 3534 [“Particular expressions qualify those which are general”]; Peralta Community College Dist. v. Fair
Employment & Housing Com. (1990) 52 Cal.3d 40, 46 [statute authorizing
commission to take “such action” as it believes will effectuate the purposes of
the Fair Employment and Housing Act, “including, but not limited to, hiring,
reinstatement or upgrading of employees, with or without back pay, and
restoration to membership in any respondent labor organization,” does not
authorize commission to award compensatory damages]; Sears, Roebuck & Co. v. San Diego County Dist. Council of
Carpenters (1979) 25 Cal.3d 317, 330-331 [statute’s reference to
“ ‘conduct that is unlawful, including breach of the peace, disorderly
conduct, the unlawful blocking of access or egress to premises where a labor
dispute exists, or other similar unlawful activity’ ” does not apply to
peaceful picketing, which, unlike the listed examples, “does not involve
violence or substantially impair the rights of others”].)
The examples of
“personal data” listed in Penal Code section 832.8, subdivision (a) do not
include information, such as salary, arising from the officer’s employment with
the agency that maintains his or her personnel file. “Rather, they are the types of personal
information that commonly are supplied by an employee to his or her employer,
either during the application process or upon employment.” (Commission
on Peace Officer Standards, supra, ___ Cal. 4th ___, fn. omitted [at p.
16]; compare, e.g., Garden Grove Police
Department v. Superior Court of Orange County (2001) 89 Cal.App.4th 430,
434 [birth date of peace officer is “personal data” under Penal Code section
832.8, subdivision (a)].) In contrast,
categories of information that arise out of the employment relationship —
employee advancement, appraisal, or discipline, and complaints — are
listed separately, in subdivisions (d) and (e) of Penal Code section
832.8. Had the Legislature intended the
word “personal” to be employed in its broadest sense, the listing of examples
in subdivision (a) would have been unnecessary; indeed, there would have been
no need to include items (b) through (e), each of which relates to the
individual officer.
In view of the foregoing history and widespread practice of disclosure of public salary information, had the Legislature intended Penal Code section 832.7 to change the law in that respect we would expect to see specific language to that effect in the statute. The Legislature easily could have added “salary” to the list of personnel records set forth in Penal Code section 832.8. Indeed, the Legislature’s inclusion of one form of compensation — “election of employee benefits” — is a strong indication that the omission of “salary” was deliberate. Ordinarily, the enumeration of one item in a statute implies that the Legislature intended to exclude others. (People v. Guzman (2005) 35 Cal.4th 577, 588.) Although this principle is not applied if the result would be contrary to legislative intent or when no manifest reason appears for excluding one matter and including another (see People v. Anavalone (1999) 19 Cal.4th 1074, 1079; Estate of Banerjee (1978) 21 Cal.3d 527, 539, fn. 10), in the present context there is an obvious rationale for the Legislature’s decision to include election of benefits but not salary as part of a peace officer’s confidential personnel record. Absent unusual circumstances, an employee’s selection of benefits — such as the type of medical insurance, the number of family members covered, and the choice whether to obtain life or disability insurance — reveals information concerning the individual’s personal life and financial decisions but little, if anything, about the operations of the government agency that would not be revealed by making public the types of benefits offered generally by the agency to its employees. The amount of salary paid to a particular individual, on the other hand, does provide information concerning the governmental agency in which the public has a legitimate and traditionally recognized interest.
The Police Officers Association alternatively contends that peace officers’ salary information is “obtained from” information in personnel records. In support, the Police Officers Association observes that (1) the City of Oakland employs a merit-based compensation system, and the amount of salary paid is based on an appraisal of the officer’s performance; (2) education, training, and special abilities such as bilingualism also can result in an increase in compensation; and (3) the payment of overtime wages is based on time sheets, which assertedly also are protected personnel records (see Guthrey v. State of California (1998) 63 Cal.App.4th 1108, fn. 5). Because information in a personnel file is used to establish a peace officer’s rate of earnings and, thereby, to calculate his or her salary rate, the Police Officers Association contends that salary information is “obtained from” the personnel file.
The
Police Officers Association’s proposed interpretation of the phrase “obtained
from” is strained. In its ordinary
sense, to obtain information means to
come into possession of it. (See
Webster’s 3d New Internat. Dict. supra,
at p. 1589.) The phrase “information
obtained from personnel files” is most reasonably read to encompass information
that was acquired from a personnel file maintained by the employer. Thus, Penal Code sections 832.7 and 832.8 do
not mandate that city payroll records reflecting peace officer salary
information be excluded from disclosure merely because some of the facts relied
upon in determining the amount of salary may be recorded in the agency’s
personnel files.
Amicus Curiae Operating Engineers Local Union No. 3 argues that peace officers’ salary information falls under subdivision (f) of Penal Code section 832.8, which includes “[a]ny other information the disclosure of which would constitute an unwarranted invasion of personal privacy.” We reject the argument for the same reasons that led us to conclude above that the disclosure of public employee salary information does not constitute an “unwarranted invasion of personal privacy” under the Act. (Gov. Code § 6254, subd. (c).) In this context, we reject the notion that peace officers in general have a greater privacy interest in the amount of their salaries than that possessed by other public employees, and we observe that the public interest in disclosure is equally strong as between peace officers and other public employees. As noted above, individual peace officers, such as those working undercover, may have a legitimate interest in maintaining their anonymity, and that interest would warrant exempting their names from disclosure under the Act. This circumstance, however, does not support the conclusion that peace officers as a general category have a privacy interest in their identity sufficient to render salary records confidential under Penal Code section 832.8, subdivision (f) whenever those records include individually identified officers. (See Commission on Peace Officer Standards, supra, ___ Cal.4th at p. ___ [at pp. 26-27].)
We disagree with the contrary conclusion reached in City of Los Angeles, supra, 111 Cal.App.4th 883. In that case, a peace officer’s wife subpoenaed her husband’s payroll records in a marital dissolution proceeding, requesting information concerning all sums paid to him for any reason, records of his interest in a retirement plan, savings plan, or stock plan, any interest in any insurance plan or program, and any sums held in a savings plan, credit union, deferred compensation plan, or elsewhere. (Id. at p. 886.) The husband challenged the subpoena, claiming the records were confidential peace officer personnel records pursuant to Penal Code sections 832.7 and 832.8 and therefore could be disclosed only upon a showing of good cause pursuant to the procedures established in Evidence Code sections 1043 and 1045. The Court of Appeal in City of Los Angeles agreed that a peace officer’s payroll records are “personnel records” as defined in Penal Code section 832.8, but held that the spouse of a peace officer is not required, in a marital dissolution proceeding, to comply with those Evidence Code sections in order to obtain such information, because “peace officers owe their spouses the same fiduciary duty to reveal financial information as any other citizen of this state.” (City of Los Angeles, at p. 885.)
The appellate
court in City of
Because City of
The Police Officers Association urges us to conclude that even if salary is not included within any of the categories of information enumerated in Penal Code section 832.8, that statute nevertheless renders confidential not only the types of information specified, but also any information “related to” the types of information enumerated in section 832.8. The Police Officers Association relies upon language in the statute defining “personnel records” to include “any file maintained under that individual’s name by his or her employing agency and containing records relating to” the enumerated items. Specifically, the Police Officers Association argues, salary information is confidential because it is related to matters listed in the statute such as benefits (Pen. Code § 832.8, subd. (c)) and employee performance (id., subd. (d)).
We agree with the Court of Appeal below that “this reading of the statute is demonstrably overbroad. It would make confidential not only the kinds of information specified by the Legislature, but also any information from any file containing any item ‘relating to’ confidential information. We do not believe the Legislature intended to paint with so broad a brush. The term ‘records relating’ to the kinds of information specified in Penal Code section 832.8 is more reasonably understood as a reference to records that actually reflect the enumerated items.” Records of salary expenditures do not reflect any of the items enumerated in the statute. Thus, Penal Code sections 832.7 and 832.8 do not mandate that peace officer salary information be excluded from disclosure under the Act.
III.
For the reasons stated above, the judgment of the Court of Appeal is affirmed.
GEORGE, C. J.
WE CONCUR:
Werdegar, J.
kriegler, j.*
CONCURRING
and dissenting OPINION BY KENNARD, J.
The majority holds that the names and salaries of public employees are records that are subject to disclosure under the California Public Records Act. (Gov. Code, § 6250, et seq.) I agree. And I agree with the majority that public employees serving as peace officers have no statutory right to prevent disclosure of their names and salaries; but unlike the majority I would simply rely on the plain language of Penal Code sections 832.7 and 832.8 in reaching that conclusion.
I
The
scope of confidentiality accorded a peace officer’s personal information is
properly determined by construing two statutory schemes as well as certain
provisions of our state Constitution. I
briefly discuss the pertinent law below.
In 1968, the Legislature enacted the California Public Records Act (Gov. Code, § 6251), a statutory scheme affirming every Californian’s fundamental right of “access to information concerning the conduct of the people’s business.” (Gov. Code, § 6250, added by Stats. 1968, ch. 1473, § 39, p. 2946.) But public access is not unlimited. The act does not require disclosure of records that are “exempted or prohibited pursuant to . . . state law.” (Gov. Code, § 6254, subd. (k), added by Stats. 1968, ch. 1473, § 39, p. 2947; see also id., subd. (c) [exempting from disclosure “[p]ersonnel . . . or similar files, the disclosure of which would constitute an unwarranted invasion of personal privacy”], added by Stats. 1968, ch. 1473, § 39, p. 2946.)
A
decade later, in 1978, the Legislature enacted Penal Code sections 832.7 and
832.8, as part of a statutory scheme mandating confidentiality of peace officer
personnel records. (Added by Stats.
1978, ch. 630, §§ 5, 6, p. 2083.)
Peace officer “personnel records” made confidential by subdivision (a)
of Penal Code section 832.7 are defined in a companion statute, section
832.8. (Pen. Code, § 832.8, subds.
(a)-(e), added by Stats. 1978, ch. 630, § 6, p. 2083, amended by Stats.
1990, ch. 264, § 1, p. 1535.) Subdivision
(a) of Penal Code section 832.8 defines a personnel record as any file kept by
the employing agency under the name of the officer and containing records
relating to: “[p]ersonal data, including
marital status, family members, educational and employment history, home
addresses, or other similar information.”
Thereafter,
in November 2004, the voters through the power of initiative passed Proposition
59, which amended the California Constitution to affirm the “right of access to
information concerning the conduct of the people’s business.” (
II
As I stated at the outset, I have no quarrel with the majority’s reasoning and its conclusion that the California Public Records Act does not shield from disclosure the salaries paid to named public employees. I also agree with the majority that such disclosure applies to peace officers as well. But unlike the majority I would reach the latter conclusion based on the plain language of Penal Code sections 832.7 and 832.8, which govern the confidentiality of peace officer personnel records.
The majority reasons that disclosing the salaries of named public employees is permissible because public employees have no reasonable expectation of privacy as to their salaries in light of article I, section 1 of the California Constitution. (Maj. opn., ante, at p. 19.) In contrast, the majority observes, peace officers do have privacy protections created by statute.
Penal Code section 832.7, subdivision (a), makes confidential the “personnel records” of peace officers. Subdivision (a) of Penal Code section 832.8 states that files containing “[p]ersonal data, including marital status, family members, educational and employment history, home addresses, or similar information” are personnel records. Responding to a claim that peace officer salaries fall within that provision’s definition of “personal data,” the majority concludes that the definition pertains to employees as they come to the job. (Maj. opn., ante, at p. 25.) That is, salary does not fall within “the types of personal information that commonly are supplied by an employee to his or her employer, either during the application process or upon employment.” (Commission on Peace Officer Standards and Training v. Superior Court (Aug. 27, 2007, S134072) ___ Cal.4th ___, fn. omitted [at p. 16].) In contrast, the majority observes, the salary being paid to a peace officer relates to current rather than prior employment. (Maj. opn., ante, at p. 25.) My analysis differs.
I
would simply follow the mandate of the initiative the voters passed in 2004
amending the California Constitution to, among other things, direct courts to
construe narrowly any statute limiting
the people’s right of access to public records.
(
With respect to disclosure of peace officer names, I find nothing in Penal Code section 832.8 that would bring that information within the category of “personal data” deemed confidential under that section; nor do I find any statutory provision exempting such information from public disclosure. Nondisclosure of peace officer names is permissible only when the public interest in withholding disclosure “clearly” outweighs the public interest in disclosure. (Gov. Code, § 6255, subd. (a).) I agree with the majority that the public interest exception to disclosure may apply to certain undercover officers, but that, as a general rule, peace officers do not have a privacy interest in the confidentiality of their names that outweighs the public interest in disclosing the names. (Maj. opn., ante, at p. 27.)
KENNARD, J.
CONCURRING AND DISSENTING
OPINION BY BAXTER, J.
Except as to peace officers, I agree with the majority that the names and salaries of public employees earning $100,000 or more per year are not exempt from public disclosure under the California Public Records Act (CPRA) (Gov. Code, § 6250 et seq.).
With regard to peace officers, I also agree with the majority’s conclusion that the salaries of peace officers earning $100,000 or more per year, as a general matter, are not exempt from public disclosure under the CPRA. However, I have joined Justice Chin’s dissenting opinion in Commission on Peace Officer Standards and Training v. Superior Court (Aug. 27, 2007, S134072) ___ Cal.4th ___ (dis. opn. of Chin, J.), which, contrary to the majority view in that case, recognizes that peace officers’ names themselves fall into the category of confidential “[p]ersonal data,” within the meaning of Penal Code section 832.8, subdivision (a), when the names are recorded in peace officer personnel records.[9] Accordingly, I agree with Justice Chin here that where a request is made for disclosure of peace officers’ names in connection with a request for disclosure of peace officer salary information, “names may not be disclosed to the extent the source of that information is a ‘file maintained under [the peace officer’s] name by his or her employing agency.’ (Pen. Code, § 832.8.)” (Conc. & dis. opn. of Chin, J., ante, at p. 1.)
BAXTER, J.
CONCURRING AND DISSENTING
OPINION BY CHIN, J.
Except as to peace officers, I agree with the majority’s conclusion that names and salaries of public employees earning $100,000 or more per year are not exempt from public disclosure under the California Public Records Act (CPRA) (Gov. Code, § 6250 et seq.).[10] As explained below, however, my analysis of this question is somewhat different from the majority’s and I do not endorse all of the majority’s reasoning. Regarding peace officers, I agree with the majority’s conclusion that salary information is not exempt from disclosure. However, as explained in my dissenting opinion in Commission on Peace Officer Standards and Training v. Superior Court (Aug. 27, 2007, S134072) ___ Cal.4th ___ (dis. opn. of Chin, J.), I believe that peace officers’ names are “[p]ersonal data” within the meaning of Penal Code section 832.8, subdivision (a). Thus, I would hold that where, as here, a request is made for disclosure of names linked to salary, officers’ names may not be disclosed to the extent the source of that information is a “file maintained under [the peace officer’s] name by his or her employing agency.” (Pen. Code, § 832.8.) I dissent to the extent the majority holds otherwise.
The CPRA makes all “[p]ublic records . . . open to [public] inspection . . . except as” expressly provided by statute. (§ 6253, subd. (a).) Because, as the parties agree, the records in question are “public records” within the meaning of the CPRA (§ 6254, subd. (d)), they are subject to inspection unless some statutory exception applies. As the majority explains (maj. opn., ante, at p. 5), the exception principally at issue here is found in section 6254, subdivision (c), which provides that nothing in the CPRA requires disclosure of “personnel, medical, or similar files, the disclosure of which would constitute an unwarranted invasion of personal privacy.”
In
the 40 years since the Legislature enacted this CPRA disclosure exception, we
have said little about it. However, that
fact does not leave us without significant guidance. The federal Freedom of Information Act (FOIA)
( 5 U.S.C. § 552 et seq.) contains an almost identical disclosure
exception. Known as exemption 6, the
FOIA exception provides for
nondisclosure of “personnel and medical files and similar files the disclosure
of which would constitute a clearly unwarranted invasion of personal
privacy.” (5 U.S.C. §552(b)(6).) “Because the FOIA provided a model for the
[CPRA], and because they have a common purpose,” they “ ‘should receive a
parallel construction.’ [Citation.] Therefore, federal decisions under the FOIA
may be used to construe the [CPRA].
[Citations.]” (Times Mirror Co. v. Superior Court
(1991) 53 Cal.3d 1325, 1350.)
Giving the CPRA a construction parallel to
the FOIA’s, I first conclude that the records at issue constitute “personnel . . .
or similar files” under section 6254, subdivision (c). Based on evidence of congressional intent,
the high court has broadly interpreted the scope of the term “personnel and
medical files and similar files” in exemption 6 (5 U.S.C. §552, subd. (b)(6))
to “ ‘cover [all] detailed Government records on an individual [that] can
be identified as applying to that individual.’
[Citation. Fn. omitted.]” (Department
of State v. Washington Post Co. (1982) 456 U.S. 595, 602 (Washington Post).) The records sought here—the name of
each employee of the City of
Like
the high court in applying exemption 6, I begin the balancing inquiry under
section 6254, subdivision (c), by considering “the privacy interest at stake.” (Department
of State v. Ray (1991) 502 U.S. 164, 175 (Ray).) As the majority
correctly notes (maj. opn., ante, at
p. 6), almost 40 years ago, we held that “the protection of one’s personal
financial affairs . . . against compulsory public disclosure is an
aspect of the [protected] zone of privacy . . . .” (City
of Carmel-by-the-Sea v. Young (1970) 2 Cal.3d 259, 268 (Young).)
A person’s salary generally falls within this protected category of
information. (See Moskowitz v. Superior Court (1982) 137 Cal.App.3d 313.) As we have explained, “the newspaper publication of a [person’s] assets . . . can
be expected to bring unwanted solicitation from a variety of [salespeople] and
others, could well encourage harassment lawsuits or demands of like nature, and
could expose the [person] . . . to various criminal elements in our
society.” (Young, supra, 2
Cal.3d at p. 270.) The high court, in
applying exemption 6, has similarly recognized “the individual privacy
interest” at stake when disclosed information makes a person an inviting target
of “commercial advertisers and solicitors.”[12] (Department of Defense v. FLRA (1994) 510
U.S. 487, 501 (FLRA); see also Painting Industry of Hawaii v. Dept. of Air
Force (9th Cir. 1994) 26 F.3d 1479, 1483 [“invasion of privacy
. . . can result from release of a list of names and addresses
coupled with a characteristic susceptible to commercial exploitation”]; National Assn. of Retired Federal Emp. v.
Horner (D.C.Cir. 1989) 879 F.2d 873, 878 [“there is a substantial
probability that the disclosure will lead to the threatened invasion: one need
only assume that business people will not overlook an opportunity to get
cheaply from the Government what otherwise comes dearly, a list of qualified
prospects for all the special goods, services, and causes likely to appeal to
financially secure retirees”]; Aronson v.
U.S. Dept. of Housing & Urban Dev. (1st Cir. 1987) 822 F.2d 182, 186 [“[w]hen
it becomes a matter of public knowledge that someone is owed a substantial sum
of money, that individual may become a target for those who would like to
secure a share of that sum by means scrupulous or otherwise”].)
I find the majority’s analysis of the privacy
interest at stake unpersuasive in several respects. To begin with, for the most part, the
majority asks not whether there are privacy interests at stake, but whether a
public employee’s “expectation of privacy” is “reasonable.” (Maj. opn., ante, at p. 7). The two
questions are not the same; notably, the high court, in applying both exemption
6 and another FOIA exemption that looks to whether disclosure “could reasonably
be expected to constitute an unwarranted invasion of personal privacy” (5
U.S.C. § 552(b)(7)(C)), has consistently considered only the nature of the
privacy interest at stake, and has never considered whether a reasonable
expectation of privacy exists.[13] (National Archives and Records Admin. v.
Favish (2004) 541 U.S. 157, 160 [public interest must be balanced against
any “personal privacy interest recognized by the statute”]; FLRA, supra, 510 U.S. at p. 497 [analysis requires
court to “weigh the privacy interest”]; Ray,
supra, 502 U.S. at p. 175 [proper to begin
analysis “by considering the significance of the privacy interest at stake”]; Washington Post, supra, 456 U.S. at pp. 602-603 [remanding for
lower court “to consider the effect of disclosure upon . . . privacy
interests”]; Reporters Committee, supra, 489 U.S. at p. 762 [court must “balance
the privacy interest . . . against the public interest in”
disclosure]; Dept. of Air Force v. Rose
(1976) 425 U.S. 352, 381 [discussing “the risk to . . . privacy
interests”].)
I also question the majority’s conclusion
that public employees have no
reasonable expectation of privacy in their salary information. (Maj. opn., ante, at p. 7.)
Nongovernmental employees most certainly have a reasonable expectation
of privacy regarding this information and, as we have stated, “[t]he mere
status of being employed by the government should not compel a citizen to
forfeit his or her fundamental right of privacy. Public employees are not second-class
citizens within the ken of the Constitution.
[¶] . . . [L]egal
distinctions between public and private sector employees that operate to
abridge basic rights cannot withstand judicial scrutiny unless justified by a
compelling governmental interest.
[Citation.] However much public
service constitutes a benefit and imposes a duty to uphold the public interest,
a public sector employee, like any other citizen, is born with a constitutional
right of privacy. A citizen cannot be
said to have waived that right in return for the ‘privilege’ of public
employment, or any other public benefit, unless the government demonstrates a
compelling need. [Citation.]” (Long
Beach City Employees Assn. v. City of Long Beach (1986) 41 Cal.3d 937,
951-952). Moreover, although the
majority cites evidence and authorities supporting the view that disclosure of
the salaries of public employees is widespread (maj. opn., ante, at pp. 8-9), there is published authority in
Ultimately, I need not resolve this question
because I agree with the majority that “any cognizable [privacy] interest . . .
public employees may have” is insufficient to justify nondisclosure. (Maj. opn., ante, at p. 11.) Section
6254, subdivision (c), does not preclude all
“invasions of personal privacy,” only
“unwarranted” ones. Borrowing again from
the high court’s discussion of exemption 6, whether an invasion of privacy
would be “unwarranted” within the meaning of section 6254, subdivision (c),
depends on “the extent to which disclosure of the information sought would
‘shed light on an agency’s performance of its statutory duties’ or otherwise
let citizens know ‘what their government is up to.’ [Citation.]”
(FLRA, supra, 510 U.S. at p. 497.) “[T]he public has a legitimate
interest in knowing how public funds are spent” (Copley Press, Inc. v. Superior Court (1998) 63 Cal.App.4th 367,
376), and the names and compensation
paid to public employees directly relate to that issue. Disclosure of this information would directly
reflect on the City’s management of public funds and its employees’ performance
of public duties. I therefore conclude
that any invasion of privacy from disclosure of this information would not be
“unwarranted” within the meaning of section 6254, subdivision (c), and that the
information therefore is not exempt from disclosure under that provision.
Like the majority, but for a different
reason, I reject the view that balancing under section 6254, subdivision (c),
must be done on a case-by-case basis, taking into account the particular
privacy interests of each public employee.
(Maj. opn., ante, at pp.
15-17.) As the high court has explained
in construing the FOIA, “categorical decisions” regarding disclosure of records
“may be appropriate and individual circumstances disregarded when a case fits
into a genus in which the balance characteristically tips in one
direction.” (Reporters Committee, supra, 489 U.S. at p. 776.)
Regarding salary information of public employees, for the reasons stated
above, the balance characteristically tips in the direction of disclosure. Thus, as to this information, case-by-case
balancing under section 6254, subdivision (c), is unnecessary.
The claim that disclosure of public
employees’ names linked to their salaries violates the state constitutional
right to privacy (Cal. Const., art. I, § 1) fails for similar reasons. The state constitutional right to privacy is
not absolute; “it is subject to a balancing of interests. . [¶] . . ‘Invasion
of a privacy interest is not a violation of the state constitutional right to
privacy if the invasion is justified by a competing interest.’ [Citation.].”
(Jacob B. v.
The Oakland Police Officers Association (Police Officers Association), which intervened in this action, does not object to disclosure of the actual salary paid to each peace officer, so long as the officers are identified only by job title. It does, however, object to disclosures that link the actual salary paid to the officer’s name. It asserts that the latter disclosure would violate Penal Code section 832.7, subdivision (a), which provides in relevant part that “[p]eace officer . . . personnel records . . . or information obtained from these records, are confidential and shall not be disclosed” except as otherwise provided by statute. According to the Police Officers Association, individually identifiable salary information constitutes either a confidential “personnel record[]” or “information obtained from” personnel records within the meaning of Penal Code section 832.7, subdivision (a), by virtue of Penal Code section 832.8. The latter defines the term “personnel records” in Penal Code section 832.7, subdivision (a), as “any file maintained under [a peace officer’s] name by his or her employing agency and containing records relating to any of the following: [¶] (a) Personal data, including marital status, family members, educational and employment history, home addresses, or similar information. [¶] (b) Medical history. [¶] (c) Election of employee benefits. [¶] (d) Employee advancement, appraisal, or discipline. [¶] (e) Complaints, or investigations of complaints, concerning an event or transaction in which he or she participated, or which he or she perceived, and pertaining to the manner in which he or she performed his or her duties. [¶] (f) Any other information the disclosure of which would constitute an unwarranted invasion of personal privacy.”[16] (Pen. Code, § 832.8.)
In making its argument, the Police Officers Association first emphasizes that an officer’s actual pay is based on the following information that is expressly included within the term “personnel records” in Penal Code section 832.7: “educational and employment history” (id., § 832.8, subd. (a)), and “[e]mployee advancement” and “appraisal” (id., § 832, subd. (d)). Because of this fact, the Police Officers Association asserts, an officer’s actual pay constitutes “information obtained” from personnel records within the meaning of Penal Code section 832.7. It also qualifies independently as a confidential personnel record under Penal Code section 832.7, subdivision (a), because it is, in the words of Penal Code section 832.8, “relat[ed] to” the information specified elsewhere in the section. I agree with the majority’s analysis and rejection of these arguments. (Maj. opn., ante, at pp. 26-27, 29-30.)
The Police Officers Association also argues that individualized salary information qualifies for protection because it “constitutes ‘[p]ersonal data’ or ‘other similar information’ under Penal Code section 832.8[, subdivision] (a).” It asserts that anything “unique to the person . . . qualif[ies]” as “[p]ersonal data” under Penal Code section 832.8, subdivision (a), and that a particular officer’s salary is unique because it depends on the officer’s years of service, performance, education and specialties.
Like the majority, I reject this argument. As the majority explains, because all of the information specified in subdivisions (b) through (e) of Penal Code section 832.8 also is unique to the individual officer, those subdivisions would be unnecessary were we to construe the term “[p]ersonal data” in subdivision (a) to include everything that is unique to the person. (Maj. opn., ante, at p. 25.) Well-established canons of statutory construction preclude us from interpreting statutory language so as to render other parts of the statute unnecessary. (Manufacturers Life Ins. Co. v. Superior Court (1995) 10 Cal.4th 257, 274.) As the majority also explains, that the Legislature expressly specified another form of compensation—“election of employee benefits”—in a separate subdivision of the statute (Pen. Code, § 832.8, subd. (c)) counsels against adopting an interpretation of the term “[p]ersonal data” in subdivision (a) that includes an officer’s salary. (Maj. opn., ante, at pp. 25-26.) For these reasons, I agree that salary information does not constitute “[p]ersonal data” within the meaning of section 832.8, subdivision (a).[17]
Amicus
curiae Operating Engineers Local Union No. 3 argues that individualized salary
information regarding peace officers qualifies for protection under subdivision
(f) of Penal Code section 832.8, because disclosure of this information “would
constitute an unwarranted invasion of personal privacy.” I reject this argument because, as explained
above in connection with Government Code section 6254, subdivision (c), I do
not believe that any invasion of privacy from disclosure of the requested salary information would be
unwarranted.
Regarding
the names of peace officers, as explained in my dissenting opinion in Commission on Peace Officer Standards and
Training v. Superior
Court (Aug. 27, 2007, S134072) ___ Cal.4th ___ (dis. opn. of Chin, J.), I believe that peace officers’ names are “[p]ersonal data” within the meaning of Penal Code section 832.8, subdivision (a). Thus, I would hold that where, as here, a request is made for disclosure of names linked to salary, officers’ names may not be disclosed to the extent the source of that information is a “file maintained under [the peace officer’s] name by his or her employing agency.” (Pen. Code, § 832.8.) Where, however, the request identifies officers by name and asks for disclosure of their salaries, Penal Code section 832.7 does not preclude disclosure.
CHIN, J.
See lasext page for addresses and telephone numbers
for counsel who argued in Supreme Court.
Name of Opinion
International Federation of Professional & Technical Engineers v. Superior
Court
__________________________________________________________________________________
Unpublished Opinion
Original Appeal
Original Proceeding
Review Granted
XXX 128 Cal.App.4th 586
Rehearing Granted
__________________________________________________________________________________
Opinion No.
S134253
Date Filed:
__________________________________________________________________________________
Court:
County:
Judge: Steven Brick
__________________________________________________________________________________
Attorneys for Appellant:
Carroll, Burdick &
McDonald, Ronald Yank, David M. Rice and Troy M. Yoshino for CDF Firefighters
as Amicus Curiae on behalf of Petitioners and Real Party In Interest Oakland
Police Officers’ Association.
Weinberg, Roger &
Rosenfeld, Antonio Ruiz and M. Suzanne Murphy for Operating Engineers Local
Union No. as Amicus Curiae on behalf of Petitioners and Real Party In Interest
Oakland Police Officers’ Association.
Mastagni, Holstedt, Amick,
Miller, Johnsen & Uhrhammer, David E. Mastagni, Will M. Yamada and Stesha
R. Hodges for California Correctional Peace Officers Association, Legal Defense
Fund of the Peace Officers’ Research Association of California, CAUSE-Statewide
Law Enforcement Association, Deputy Sheriffs’ Association of Alameda County,
Placer County Deputy Sheriffs’ Association, Sacramento County Deputy Sheriffs’
Association, Sacramento Police Officers’ Association, Stockton Police Officers’
Association, San Mateo County Deputy Sheriffs’ Association and San Francisco
Deputy Sheriffs’ Association as Amici Curiae on behalf of Petitioners and Real
Party In Interest Oakland Police Officers’ Association.
__________________________________________________________________________________
Attorneys for Respondent:
No appearance for Respondent
Attorneys for Real Party Interest:
Levy, Ram & Olson, Karl
Olson and Erica L. Craven for Real Party in Interest Contra Costa Newspapers,
Inc.
Page 2 – counsel continued – S134253
Attorneys for Real Party Interest:
Rains, Lucia & Wilkinson
and Allison
Davis Wright Tremaine and
Thomas R. Burke for Coalition of University Employees as Amicus Curiae on
behalf of Real Party in Interest Contra Costa Newspapers, Inc.
Trevor A. Grimm, Jonathan M.
Coupal and Timothy A. Bittle for Howard Jarvis Taxpayers Association as Amicus
Curiae on behalf of Real Party in Interest Contra Costa Newspapers, Inc.
Law Office of Judy Alexander
and Judy Alexander for ANG Newspapers, Bakersfield Californian, California
Newspaper Publishers Association, The Copley Press, Inc., Embarcadero
Publishing Company, Gannett, Hearst Corporation, Los Angeles Times
Communications LLC, McClatchy Company, Metro Newspapers, New York Times, Orange
County Register, The Press Enterprise Company and San Jose Mercury News as
Amici Curiae on behalf of Real Party in Interest Contra Costa Newspapers, Inc.
Alan L. Schlosser, Mark
Schlosberg; Peter Eliasberg; Law Offices of Amitai Schwartz, Amitai Schwartz,
Lisa Sitkin; and Jordan C. Budd for ACLU of Northern California, ACLU
Foundation of Southern California and ACLU Foundation of San Diego &
Imperial Counties as Amici Curiae on behalf of Real Party in Interest Contra
Costa Newspapers, Inc.
Counsel who argued in Supreme Court (not intended for
publication with opinion):
Duane W.
(415) 274-8700
Karl Olson
Levy, Ram & Olson
(415) 433-4949
Allison
Rains, Lucia & Wilkinson
(925) 609-1699
[1] All further statutory references are to the Government Code unless otherwise noted.
[2] The 2004 initiative that amended the state Constitution to include a right of access to public records explicitly preserves such statutory exceptions. (Cal. Const., art.1, § 3, subd. (b)(5).)
[3] As we stated in Commission on Peace Officer Standards and Training v. Superior Court (Aug. 27, 2007, S134072) ___ Cal.4th ___, ___, footnote 11 [at p. 25, fn. 11] (Commission on Peace Officer Standards): “Our decision in Hill, supra, 7 Cal.4th 1, defined the elements that must be proved in order to establish a claim for invasion of the state constitutional right of privacy. Although we find the definition of privacy used in Hill to be useful in the present context, we do not intend to suggest that an intrusion upon a privacy interest must rise to the level of an invasion of the constitutional right of privacy in order to be recognized under . . . section 6254, subdivision (c).”
[4] Local 21 cites a line of federal cases, decided under analogous provisions of the federal Freedom of Information Act (FOIA) (5 U.S.C. § 552), that have recognized a privacy interest in the salaries of employees of private companies who are paid with public funds. (See, e.g., Painting Industry of Hawaii v. Dept. of Air Force (9th Cir. 1994) 26 F.3d 1479, 1483-1484; Painting and Drywall Work Preservation Fund v. HUD (D.C. Cir. 1991) 936 F.2d 1300, 1303; Hopkins v. U.S. Dept. of Housing & Urban Dev. (2d Cir. 1991) 929 F.2d 81, 87-88; Sheet Metal Workers v. Dept. of Veterans Affairs (3d Cir. 1998) 135 F.3d 891, 903; see also Campbell v. United States Civil Service Commission (10th Cir. 1976) 539 F.2d 58, 62.) These cases are distinguishable from the present one because they do not involve public employees.
[5] The
Court of Appeal cited the following cases:
Local 1264 v. Municipality of
Anchorage (Alaska 1999) 973 P.2d 1132 (disclosure of municipal employees’
names and salaries does not violate their constitutional right of privacy or
municipal code provision exempting personnel records from disclosure); Richmond County Hospital Authority v.
Southeastern Newspapers Corp. (Ga. 1984) 311 S.E.2d 806 (county hospital
authority required to disclose names and salaries of employees earning $28,000
or more per year); Magic Valley
Newspapers, Inc. v. Magic Valley Regional Medical Center (Idaho 2002) 59
P.3d 314 (names and salaries of employees earning more than $50,000 per year
not exempt from disclosure under public records law); People ex rel. Recktenwald v. Janura (Ill.App.Ct. 1978) 376 N.E.2d
22 (county forest preserve district required to disclose names and salaries of
employees); Clymer v. City of Cedar
Rapids (Iowa 1999) 601 N.W. 2d 42 (compensation of city employees,
including amount of sick leave used, subject to disclosure under open records
act); State Dept. of SRS v. PERB (Kan.
1991) 815 P.2d 66 (statute exempted personnel records but required disclosure
of employee names, salaries, and length of employment); Caple v. Brown (La. 1975) 323 So.2d 217 (sheriff required to
disclose records of salary fund); Moberly
v. Herboldsheimer (Md. 1975) 345 A.2d 855 (hospital required to disclose
salary of director); Hastings & Sons
Pub.
Neither Local 21 nor the
Police Officers Association challenges the Court of Appeal’s conclusions
regarding the prevailing norm in other states.
We note that an American Law Reports Annotation on the subject
identified only two cases in which records disclosing the salaries of current
government employees were held to be exempt from disclosure under state public
records laws: Priceless, supra, 112
Cal.App.4th 1500, and Smith v. Okanogan
County, supra, 994 P.2d 857. (Annot., Payroll Records of Individual
Government Employees as Subject to Disclosure to Public (1980) 100 A.L.R.3d
699, 705-706, § 3[b], and later cases (2006 Supp.) p. 80,
§ 3[b].)
[6] The Brown Act serves the same democratic purposes as the California Public Records Act: “The people of this State do not yield their sovereignty to the agencies which serve them. The people, in delegating authority, do not give their public servants the right to decide what is good for the people to know and what is not good for them to know. The people insist on remaining informed so that they may retain control over the instruments they have created.” (§ 54950.)
[7] The only portion of the Act that addresses public employee compensation directly is section 6254.8, which provides that “[e]very employment contract between a state or local agency and any public official or public employee is a public record which is not subject to” the exemptions specified in sections 6254 and 6255. Although the Newspapers do not contend that Oakland’s employees come within the terms of section 6254.8, this statute indicates that the Legislature viewed the amount of compensation paid to public employees in the context of employment contracts as a matter of public interest so substantial that it could not be outweighed by any claim of privacy (under § 6254, subd. (c)) or other public interests (under § 6255, subd. (a)).
[8] In
support of this argument, Local 21 relies upon the decision of the United
States Supreme Court in National Archives
and Records Admin. v. Favish (2004) 541
Favish
denied relief to an individual seeking to compel the production of death-scene
photographs of the body of the President’s deputy counsel, whose death resulted
from an apparent suicide. The high court
considered the FOIA’s exemption for “records or information compiled for law
enforcement purposes” when their production “could reasonably be expected to constitute an unwarranted invasion of
personal privacy.” (5 U.S.C. § 552
(b)(7)(C), italics added.) In
recognizing that the deceased’s surviving family members had a privacy interest
in the photographs of his body, the high court took an expansive view of the
concept of personal privacy. It
specifically relied upon the circumstance that the language used in the law
enforcement records exemption — “ ‘could reasonably be expected to
constitute an unwarranted invasion of personal privacy’ ” — was “in
marked contrast to” the language used in the exemption for personnel records,
which applies only when the disclosure “ ‘would constitute a clearly
unwarranted invasion of personal privacy.’ ” (Favish,
supra, 541 U.S. at p. 165, quoting 5
U.S.C. § 552 (b)(6), (7).)
The high court held that
“[w]here the privacy concerns addressed by [the law enforcement records]
exemption are present, the exemption requires the person requesting the
information to establish a sufficient reason for the disclosure. First, the citizen must show that the public
interest sought to be advanced is a significant one, an interest more specific
than having the information for its own sake.
Second, the citizen must show the information is likely to advance that
interest. Otherwise, the invasion of
privacy is unwarranted.” (Favish, supra, 541 U.S. at p. 172.)
The court in Favish stated
that the exemption in 5
The law enforcement records
exemption at issue in Favish is not
comparable to the personnel records exemption of the Act, and shifting the
burden of proof to the party seeking disclosure under the Act would be
unwarranted. Furthermore, the payroll
records here at issue, unlike information collected and maintained solely for
law enforcement purposes, plainly are relevant to the business of the
government.
* Associate Justice, Court of Appeal, Second Appellate District, Division Five, assigned by the Chief Justice pursuant to article VI, section 6 of the California Constitution.
[9] Penal
Code sections 832.7 and 832.8 are part of the statutory scheme mandating
confidentiality of peace officer personnel records. (Stats. 1978, ch. 630, §§ 5, 6, p.
2083.) Peace officer “personnel records”
made confidential by subdivision (a) of Penal Code section 832.7 are defined in
subdivision (a) of section 832.8, the companion statute, as any file kept by
the employing agency under the name of the officer and containing records
relating to “[p]ersonal data, including marital status, family members,
educational and employment history, home addresses, or other similar
information.”
[10] All further unlabeled statutory references are to the Government Code.
[11] The majority merely assumes, without deciding, that the records are “[p]ersonnel . . . or similar files” under section 6254, subdivision (c). (Maj. opn., ante, at p. 5.)
[12] The
majority acknowledges the “interest” of public employees “in avoiding unwanted
solicitations or marketing efforts,” but finds that interest “comparatively
weak” absent disclosure of other contact information, such as home address or
telephone number. (Maj. opn., ante, at p. 19.) Given
that publicly available databases on the Internet make it easy to link a name
to an address or telephone number, I find the absence of disclosure of contact
information to be of little, if any, significance. (See Sheet Metal Workers Local No. 9 v. U.S. Air Force (10th Cir. 1995)
63 F.3d 994, 998 [“redaction of addresses alone, leaving names on the payroll
records and thereby directly linking detailed financial information about
workers . . . to those workers, does not materially lessen the
substantial privacy interest involved”].)
[13] The
majority’s “reasonable expectation of privacy” inquiry derives from the test we
announced in Hill v. National Collegiate
Athletic Assn. (1994) 7 Cal.4th 1 for determining whether a person’s
constitutional right of privacy has been violated. (See Maj. opn., ante, at pp. 6, fn. 3, 7-8, 19.)
However, the issue under section 6254, subdivision (c), is not whether disclosure would violate the
constitutional right of privacy, but whether it would be “an unwarranted invasion of privacy” under
section 6254, subdivision (c). (Cf.
U.S. Dept. of Justice v. Reporters
Committee (1989) 489 U.S. 749, 762, fn. 13 (Reporters Committee) [“[t]he question of the statutory meaning of
privacy under the FOIA is . . .
not the same as . . . the question whether an individual’s
interest in privacy is protected by the Constitution”].)
[14] People v. Mooc (2001) 26 Cal.4th 1216, 1220 [statutory scheme recognizes a peace officer’s “legitimate expectation of privacy in his or her personnel records”]; BRV, Inc. v. Superior Court (2006) 143 Cal.App.4th 742, 756 [“[p]ublic employees have a legally protected interest in their personnel files”]; Versaci v. Superior Court (2005) 127 Cal.App.4th 805, 821; Teamsters Local 856 v. Priceless, LLC (2003) 112 Cal.App.4th 1500, 1516 [public employees have “a legally protected privacy interest” in their personnel files, including “salary details”]; City of Los Angeles v. Superior Court (2003) 111 Cal.App.4th 883, 892 [disclosure of peace officer’s payroll records, including his salary, “would constitute one of the greatest ‘unwarranted invasions of personal privacy’ ”]; San Diego Trolley, Inc. v. Superior Court (2001) 87 Cal.App.4th 1083, 1097 [“personnel records . . . are within the scope of the protection provided by the state and federal Constitutions”]; Eastbank Consolidated Special Service Fire Protection Dist. v. Crossen (La.App. 2004) 892 So.2d 666, 670; Beck v. Department of Justice (D.C.Cir. 1993) 997 F.2d 1489, 1494 [“A government employee has at least some privacy interest in his own employment records”]; Campbell v. U.S. Civil Service Commission (10th Cir. 1976) 539 F.2d 58, 62 [disclosure of federal employees’ salary “would be a serious invasion of privacy”]; Columbia Packing Co., Inc. v. U.S. Dept. of Agri. (D.C. Mass. 1976) 417 F.Supp. 651, 655 [recognizing “privacy interest in nondisclosure” of federal employees’ “earnings statements reflecting” their “remuneration”].)
[15] In light of this conclusion, I need not decide whether public employees have a reasonable expectation of privacy regarding their specific salaries.
[16] Penal Code sections 832.7 and 832.8 establish a disclosure exception under the CPRA by virtue of Government Code sections 6254, subdivision (k), and 6276.34. (See Copley Press, Inc. v. Superior Court (2006) 39 Cal.4th 1272, 1283.)
[17] Except as expressly noted above, I do not join the majority’s analysis of this issue.