This case requires us to decide where disclosure ends and where confidentiality begins under the Iowa Open Records Act and the Federal Educational Rights and Privacy Act (FERPA). See 20 U.S.C. § 1232g (2006 and Supp.2010); Iowa Code §§ 22.2, .7, .9 (2007). In October 2007, two University of Iowa football players were accused of sexually assaulting another student in a campus dorm room. This incident led to a criminal investigation, criminal charges, and the conviction of one player on a charge of assault with intent to inflict serious injury and the other on a charge of simple assault. This incident also led to internal actions and responses by the University, external criticism of the University, and a special counsel investigation and report. Finally, this incident led to the present lawsuit.
The present litigation concerns Open Records Act requests that the Iowa City Press-Citizen served on the University after reports of the incident surfaced. Dissatisfied with the University's initial response to those requests, the Press-Citizen filed suit. The lawsuit resulted in more documents being produced and others being submitted for in camera review by the district court. The court then ordered additional documents produced, in some instances with redactions.
The University has appealed that order in part. It argues that FERPA prohibits the disclosure of the remaining documents, including even redacted versions of "education records" where the identity of the student is known to the recipient. The Press-Citizen counters that FERPA does not supersede any obligation to produce records under the Open Records Act, and in any event, the University has misinterpreted FERPA. For the reasons discussed herein, we ultimately agree with the University's arguments as to the meaning and force of FERPA, and therefore reverse the district court's judgment in part.
During the early morning hours of Sunday, October 14, 2007, a female student-athlete was allegedly sexually assaulted at the Hillcrest dormitory at the University of Iowa. Two University of Iowa football players who were accused of involvement were suspended and later dismissed from the team. A criminal investigation resulted in both men being charged. One ultimately pled guilty to assault with intent to inflict serious injury, and the other was convicted of simple misdemeanor assault following a jury trial. See Iowa Code §§ 708.1, 708.2(1), 708.2(6).
Numerous University officials were informed of the incident by Monday, October 15, 2007; however, the parents of the student-athlete believed their response was inadequate. Among other things, concerns were expressed that the University had shown a lack of understanding for the victim, had communicated poorly with her, and had allowed her to be subjected to retaliatory harassment from other students. In 2008, the University's Board of Regents engaged an outside law firm (the Stolar Partnership) to conduct a detailed investigation. Their report (the Stolar Report) criticized some aspects of the University's policies and performance.
Meanwhile, the incident received considerable publicity in the media. Articles appeared in which both football players were named. Beginning November 13, 2007, the Iowa City Press-Citizen served requests on the University under the Iowa Open Records Act. See Iowa Code § 22.2(1) (2011) ("Every person shall have the right to examine and copy a public
The University initially produced only eighteen pages of documents, claiming that any other responsive documents were protected from disclosure under Iowa Code section 22.7(1). See id. § 22.7(1) (protecting from disclosure "[p]ersonal information in records regarding a student ... maintained, created, collected or assembled by or for a school corporation or educational institution maintaining such records"). On January 4, 2008, the Press-Citizen filed a petition in district court seeking judicial enforcement of the Open Records Act. See id. § 22.10 (providing for civil enforcement of the Act).
Shortly after bringing suit, the Press-Citizen filed a motion to compel. The motion asked the district court to order the University to produce a Vaughn index of the documents it was withholding.
After conducting a painstaking in camera review, the district court entered another order on August 31, 2009. The order divided the University's documents into five categories:
The district court's August 31 order directed the University to disclose the Category 3 documents without redaction and the Category 4 documents with appropriate redactions within thirty days. On October 5, 2009, the district court entered a
We review the district court's interpretations of chapter 22 and FERPA for errors at law. Rathmann v. Bd. of Dirs. of Davenport Cmty. Sch. Dist., 580 N.W.2d 773, 776 (Iowa 1998). We review of the court's application of those statutes de novo. Id.
The Open Records Act is subject to a number of listed exemptions, both large and small. See Iowa Code § 22.7 (stating that "[t]he following public records shall be kept confidential, unless otherwise ordered by a court, by the lawful custodian of the records, or by another person duly authorized to release such information" and listing sixty-four separate exceptions). Nonetheless, the University does not argue that any of those designated exceptions applies here. Its sole argument on appeal is that federal law, i.e., FERPA, requires the appealed Category 3 and the Category 4 documents to be kept confidential.
20 U.S.C. § 1232g(b)(1). It also provides:
(A) there is written consent from the student's parents ... Id. § 1232g(b)(2).
The Department of Education (DOE) has adopted regulations to implement FERPA. See 34 C.F.R. § 99.3 (2009). In relevant part, they define "education records" as follows:
Id.
The same regulations define "personally identifiable information" as follows:
Id.
In light of these definitions, the University argues that the appealed Category 3 and the Category 4 documents cannot be produced at all. As it understands the law, "education records" with "personally identifiable information" cannot be released. Further, even if no student is
For purposes of this appeal, we assume that the appealed Category 3 and Category 4 documents are in fact "education records" under FERPA.
This debate has been played out in cases from other jurisdictions. Some courts have concluded that FERPA does not prohibit the disclosure of educational records. See Bauer v. Kincaid, 759 F.Supp. 575, 589 (W.D.Mo.1991) ("FERPA is not a law which prohibits disclosure of educational records. It is a provision which imposes a penalty for the disclosure of educational records."); WFTV, Inc. v. Sch. Bd. of Seminole, 874 So.2d 48, 57 (Fla.Dist.Ct.App. 2004) ("FERPA does not prohibit the disclosure of any educational records. FERPA only operates to deprive an educational agency or institution of its eligibility for applicable federal funding based on their policies and practices regarding public access to educational records if they have any policies or practices that run afoul of the rights of access and disclosural privacy protected by FERPA."); see also Kirwan v. The Diamondback, 352 Md. 74, 721 A.2d 196, 206 (1998) ("Another alternative argument made by The Diamondback is that
FERPA regulations allow for the possibility that an educational institution "cannot comply with the Act or this part due to a conflict with State or local law." See 34 C.F.R. § 99.61. One could argue that the mere recognition of this possibility in the regulations indicates that FERPA does not supersede state law.
On the other hand, other courts have given direct effect to FERPA's provisions, treating them as positive law with binding force on state authorities. See Sherry v. Radnor Twp. Sch. Dist., 20 A.3d 515, 525 (Pa.Cmwth.Ct.2011) (finding that the release of the requested reports "was precluded by FERPA"). In United States v. Miami University, 294 F.3d 797, 803 (6th Cir.2002), a federal court of appeals affirmed an injunction against the release of student disciplinary records covered by FERPA. The court reasoned that the remedies for FERPA violations were not limited to a cutoff of federal funding. Miami Univ., 294 F.3d at 809-10. Rather, once funds are accepted, "the school is indeed prohibited from systematically releasing education records without consent." Id. at 809; see also Rim of the World Unified Sch. Dist. v. Super. Ct., 104 Cal.App.4th 1393, 129 Cal.Rptr.2d 11, 15 (2002) (finding that FERPA preempts California law requiring the disclosure of student expulsion records); Unincorporated Operating Div. of Ind. Newspapers, Inc. v. Trs. of Ind. Univ., 787 N.E.2d 893, 904 (Ind.Ct.App.2003) (stating that "FERPA is a federal law which requires education records to be kept confidential").
In short, as one court has observed, "state and federal courts are sharply divided on this issue." Caledonian-Record Publ'g Co. v. Vt. State Colls., 175 Vt. 438, 833 A.2d 1273, 1274-76 (2003) (citing cases).
We need not step into this controversy here, however, because we believe a provision of the Iowa Open Records Act already gives priority to FERPA. Section 22.9 of the Act provides:
Otherwise stated, the first paragraph of section 22.9 suspends the operation of a provision of the Open Records Act if the provision would cause the denial of federal funds to a state agency. This paragraph, we believe, answers the Press-Citizen's argument that FERPA in and of itself is not a positive law. Section 22.9 gives it the effect of a positive law. If the University regularly released educational records pursuant to section 22.2(1) of the Open Records Act, it would be engaging in a "practice" of permitting the release of confidential education records, assuming the records contained "personally identifiable information." See 20 U.S.C. § 1232g(b)(1). The sanction for this would be a loss of federal funding. See 20 U.S.C. §§ 1232c, 1234c (authorizing the withholding of funds when a recipient "is failing to comply substantially with any requirement of law applicable to such funds"); see also id. § 1232g(f) (providing that "[t]he Secretary shall take appropriate actions to enforce this section and to deal with violations of this section, in accordance with this chapter, except that action to terminate assistance may be taken only if the Secretary finds there has been a failure to comply with this section, and he has determined that compliance cannot be secured by voluntary means").
The Press-Citizen responds that the University has not shown the disclosure of records would "definitely" cause it to lose funds as required by the first paragraph of section 22. This argument, we believe, misreads the statute. Section 22.9 requires that the federal funds be "definitely available." That they are. The University enjoys considerable federal support. See University of Iowa, General Education Fund, FY 2011-Use of New Revenues and Reallocations (2011), available at www.uiowa.edu/fusbudg/2011_final_budget_spread.pdf (disclosing total federal support of $258,999,082 for the University in fiscal year 2009). The statute does not have similar language requiring that the loss be definite.
The Press-Citizen urges, however, that a one-off production of records in this case would not amount to a "policy or practice." See Gonzaga Univ., 536 U.S. at 288, 122 S.Ct. at 2278, 153 L.Ed.2d at 324 (noting that FERPA's nondisclosure provisions "speak only in terms of institutional policy and practice, not individual instances of disclosure" and "have an aggregate focus" (citation)); see also Achman v. Chisago Lakes Indep. Sch. Dist. No. 2144, 45 F.Supp.2d 664, 674 (D.Minn. 1999) (finding that "a solitary violation is insufficient to support a finding that the District has violated FERPA as a matter of policy or practice"). One problem with this argument, however, is that the production would not be accidental or inadvertent and would necessarily set some kind of precedent after having been authorized by the Iowa courts. A "policy or practice" to some extent would be established.
Of course, at the end of the day the federal government might not try to defund the University of Iowa regardless of the circumstances. But we do not think section 22.9 requires Iowa courts to make predictions about policy decisions made in Washington D.C. That would be unworkable. See Iowa Code § 4.4(3) (setting forth a presumption that "[a] just and reasonable result is intended"). As we read the first paragraph of section 22.9, it requires us to withhold legal effect from a provision of the Open Records Act, such as section 22.2(1), if it appears that provision (not just an isolated application of the provision) would result in a loss of federal funding for a state agency.
The Press-Citizen also relies on the second paragraph of section 22.9. It urges that the University has failed to adopt a "rule" as required by that paragraph and, in the absence of such a rule, the first paragraph has no effect.
Our difficulty with this argument is that it treats two separate mechanisms as if they were one. The first paragraph of section 22.9 is written in the passive voice ("shall be suspended") and is directed at everyone. Thus, the first paragraph comes into effect whenever "it is determined," without confining itself to determinations by an agency. By contrast, the
The Press-Citizen responds that under the Open Records Act, access is a yes-or-no proposition. It cannot vary based upon the identity of the party making the request. See, e.g., Ne. Council on Substance Abuse, Inc. v. Iowa Dep't of Pub. Health, 513 N.W.2d 757, 761 (Iowa 1994) (rejecting a party's contention under the Open Records Act "that release of the applications should depend on the status of the party seeking them"). The flaw in this argument, however, is that the relevant legal standards in this case actually come from FERPA, incorporated into Iowa law through section 22.9.
The Press-Citizen also maintains that the DOE regulation should not be followed, either because the relevant part of it did not become effective until this lawsuit was already pending or because it is contrary to prior caselaw. As noted by the Press-Citizen, current subparts (f) and (g) of the definition of "personally identifiable information" were only approved as a final rule by the DOE on December 9, 2008, and became effective January 9, 2009. See Family Educational Rights and Privacy, 73 Fed.Reg. 74,806, 74,806 (December 9, 2008) (codified at 34 C.F.R. pt. 99). This action was filed January 4, 2008. The district court rendered its decision on the Category 3 and Category 4 documents on August 31, 2009.
Yet under federal law, there exists a "principle that a court is to apply the law in effect at the time it renders its decision, unless doing so would result in manifest injustice or there is statutory direction or legislative history to the contrary." Bradley
We think the modified definition of "personally identifiable information" easily passes the federal test for retroactivity. The relevant "conduct" here is the University's decision to withhold the appealed Category 3 and the Category 4 documents. That conduct continued after the lawsuit was filed. It was still ongoing even when the regulation was modified. There was no reliance such that there would be prejudice if we followed the new regulation.
Also, the previous definition of "personally identifiable information" was not all that different. It prohibited the disclosure of any "information that would make the students' identities easily traceable." 34 C.F.R. § 99.3(f) (2008). The DOE substituted the new language because the old language
73 Fed.Reg. 74,806, 74,831 (December 9, 2008).
But the DOE had issued guidance under the earlier language that educational records could not be released if the recipient could determine the student to whom reference was being made:
See Letter to School District re: Disclosure of Education Records to Texas Office of Attorney General (April 6, 2006), available at www2.ed.gov /policy/gen/guid/fpco/ferpa/library/tx040606.html. As DOE explained in its notice of proposed rulemaking for the amendment, "The proposed regulations are needed to establish this guidance in a definitive and legally binding interpretation...." Family Educational Rights and Privacy, 73 Fed.Reg. 15574, 15583 (March 24, 2008). Hence, the intent of the January 2009 amendment was to clarify the law, not change it.
The Press-Citizen also insists that it is not a legally permissible construction of the term "personally identifiable information" for the University to withhold entire documents, rather than redact them. We disagree. The statute forbids federal funding of institutions that have a policy or practice of releasing "education records (or personally identifiable information contained therein ...)" without parental permission. See 20 U.S.C. § 1232g(b)(1).
The Press-Citizen cites to a case where the Montana Supreme Court ordered release of student disciplinary records with the names redacted, even though the two students involved were known to the requesting newspaper. Bd. of Trs., Cut Bank Pub. Schs. v. Cut Bank Pioneer Press, 337 Mont. 229, 160 P.3d 482, 487 (2007). But that case was decided before the 2009 amendment to the FERPA regulations. In any event, the school district never made the specific argument, as far as we can tell, that FERPA prohibits release of an entire record where redaction would not be enough to avoid identification of the students involved. The Press-Citizen also cites to a passing observation of the Wisconsin Supreme Court that "once personally identifiable information is deleted, by definition, a record is no longer an education record since it is no longer directly related to a student." Osborn v. Bd. of Regents of Univ. of Wis. Sys., 254 Wis.2d 266, 647 N.W.2d 158, 168 n. 11 (2002). That comment also was made before the 2009 amendment to the regulations, and that case likewise did not address the particular issue that is now before us.
Thus, consistent with current DOE regulations, we conclude that educational records may be withheld in their entirety where the requester would otherwise know the identity of the referenced student or students even with redactions.
The Press-Citizen criticizes this position as a matter of policy. In its view: "The University's position boils down to a peculiar argument that FERPA applies on a sliding scale, saving its most vigorous application to records concerning crimes and alleged crimes that are the most notorious." This feature of FERPA, however, derives from earlier determinations by Congress and the DOE that preservation of student confidentiality should be an overarching goal of the statute. It is not our role to reexamine those decisions.
The Press-Citizen also argues that the University has been inconsistent in its position. As the Press-Citizen points out, University officials, including the president, the athletic director, and the football coach have commented publicly on aspects of the University's response to the alleged sexual assault. In addition, the seventy-two-page Stolar Report that was commissioned by the Board of Regents contains a detailed narrative and critique of the University's response to the incident, replete with references to "Football Player # 1," "Football Player # 2," and "the Student-Athlete."
We are not persuaded that the University has been altogether consistent. At the same time, commentators have criticized FERPA for permitting institutions to behave inconsistently — revealing student information when it puts the university in a good light and withholding it when it does not. See Matthew R. Salzwedel & Jon Ericson, Cleaning Up Buckley: How the Family Educational Rights and Privacy Act Shields Academic Corruption in College Athletics, 2003 Wis. L.Rev. 1053, 1105-06 (2003) (commenting that universities "provide disclosure that is selective in application"). Regardless, the Press-Citizen does not attach any particular legal significance to the University's alleged inconsistency. It provides no legal authority in this section of its brief and, at oral argument, specifically disclaimed any waiver argument. Cf. City of Riverdale, 806 N.W.2d at 657 (finding a municipality had waived the exemption in section 22.7(50) of the Open Records Act). For these reasons, the Press-Citizen's inconsistency argument does not alter our conclusions as to what FERPA requires in this case.
The amici curiae urge that it would violate federal and state constitutional provisions if access to public documents could depend upon the knowledge or identity of the requester. Although this argument is developed at some length in the brief of the amici, it was not raised below or by the Press-Citizen. We therefore decline to reach it. See Mueller v. St. Ansgar State Bank, 465 N.W.2d 659, 660 (Iowa 1991) (noting that "[u]nder Iowa law, the only issues reviewable are those presented by the parties"); see also Rants v.
We reverse the judgment of the district court to the extent it orders the production of the appealed Category 3 documents and the Category 4 documents. The University has not challenged any other aspects of the district court's judgment, including its award of attorneys' fees to the Press-Citizen. Therefore, we affirm the remainder of the judgment.
All justices concur except Appel, Wiggins, and Hecht, JJ., who dissent.
APPEL, Justice (dissenting).
I respectfully dissent.
The Federal Educational Rights and Privacy Act (FERPA) states that federal funds shall not be available "to any educational agency or institution which has a policy or practice" of releasing personally identifiable information without the written consent of parents. 20 U.S.C. § 1232g(b)(1) (2006). In my view, compliance with a judicial order pursuant to a generally applicable state public records statute does not amount to a policy or practice of any educational agency or institution. See generally Maynard v. Greater Hoyt Sch. Dist. No. 61-4, 876 F.Supp. 1104, 1108 (D.S.D.1995). The majority opinion repeatedly cites "policy or practice," while omitting the statutory requirement that the "policy or practice" must be one of the "educational agency or institution." In effect, the majority opinion amends the statute to strike the words "agency or institution."
In light of this explicit wording of FERPA and the Iowa Open Records Act, I would not rewrite either statute. While federal law plainly is supreme, I find no conflict between FERPA and the Iowa Public Records Act. As a result, I would require disclosure of the public records in this case.
WIGGINS and HECHT, JJ., join this dissent.
Neither party disputes that the University of Iowa is an agency within the meaning of Iowa Code sections 22.9 and 17A.2. See, e.g., Papadakis v. Iowa State Univ. of Sci. & Tech., 574 N.W.2d 258, 260-61 (Iowa 1997) (finding that a university's termination of a faculty member's salary and benefits constituted "agency action" within the meaning of section 17A.2(2)).
In light of our determination that adoption of a rule under the second paragraph of section 22.9 is not a prerequisite to the enforcement of the first paragraph of that section, we need not reach this argument.