v.
Waubonsee Community College
2016 IL App (2d) 150836 No. 2-15-0836 Opinion filed June 6, 2016 ______________________________________________________________________________
IN THE APPELLATE COURT OF ILLINOIS
SECOND DISTRICT ______________________________________________________________________________
DANIEL HITES, ) Appeal from the Circuit Court ) of Kane County. Plaintiff-Appellant, ) ) v. ) No. 14-CH-398 ) WAUBONSEE COMMUNITY COLLEGE, ) Honorable ) David R. Akemann, Defendant-Appellee. ) Judge, Presiding. ______________________________________________________________________________
JUSTICE SPENCE delivered the judgment of the court, with opinion. Justices Hutchinson and Zenoff concurred in the judgment and opinion.
OPINION
¶1 Plaintiff, Daniel Hites, requested data from defendant, Waubonsee Community College
(WCC), pursuant to the Illinois Freedom of Information Act (FOIA) (5 ILCS 140/1, et seq.
(West 2014)). The data he sought were “raw inputs” for fields on WCC’s student registration
forms, as well as zip codes of students in specified classes and the total numbers of students in specified classes. WCC responded that it did not have documents responsive to his requests.
¶2 Plaintiff sought recourse in the circuit court, and WCC moved to dismiss his complaint under section 2-619 of the Code of Civil Procedure (Code) (735 ILCS 5/2-619 (West 2014)).
After an evidentiary hearing, the circuit court dismissed plaintiff’s complaint because his requests were not for public records under FOIA.
¶3 On appeal, plaintiff argues that his requests were for public records under FOIA. For the 2016 IL App (2d) 150836 reasons contained herein, we affirm in part and reverse in part, because 9 of plaintiff’s 13 requests were for public records under FOIA.
¶4 I. BACKGROUND
¶5 A. Plaintiff’s Complaint and FOIA Requests
¶6 Plaintiff filed his complaint against WCC on March 18, 2014. He sought (1) an order for WCC to produce the nonexempt public records he requested, (2) a declaration that WCC
willfully and intentionally failed to comply with FOIA and a civil penalty for each violation, and (3) an award of attorney fees and costs.
¶7 Plaintiff made his first FOIA requests on January 6, 2011. WCC provided documents responsive to some but not all of plaintiff’s requests. Plaintiff made additional FOIA requests on
February 14, 2013. This second set of requests formed the basis for the current litigation.
Plaintiff requested:
(1) The zip codes of all people taking the National Safety Council’s Defensive
Driving Course (DDS-4) in 2011.
(2) The zip codes of all people taking GED classes in the fall of 2011 at the Aurora campus.
(3) The zip codes of all people taking ESL classes in the fall of 2011 at the Aurora campus.
(4) The total number of registered students without social security numbers in the fall of 2011 at the Aurora campus.
(5) The raw input for the “city” field on the student registration forms for all students registered in the fall of 2011 at the Aurora campus.
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(6) The raw input for the “county code” field on the student registration forms for all students registered in the fall of 2011 at the Aurora campus.
(7) The raw input for the “U.S. Citizen” field on the student registration form for all students registered at the Aurora campus in the fall of 2011.
(8) The raw input for the “Are you in the United States on a visa―nonresident
Alien” field on the student registration forms for all students registered in the fall of 2011 at the Aurora campus.
(9) The total number of registered students by year from 1995 to 2008 at the Aurora campus.
(10) The total number of registered students by year from 1995 to 2008 taking
ESL classes at the Aurora campus.
(11) The total number of registered students by year from 1995 to 2008 taking
ABE/GED classes at the Aurora campus.
(12) The total number of registered students from 1995 to the present taking
classes at Beaupre Elementary School, Family Focus, Hermes Elementary School, Rollins Elementary School, St. Mark’s Lutheran Church, and Westminster Presbyterian
Church (as shown on page AS of the fall 2009 workforce development noncredit course schedule).
(13) The total number of out-of-district students in the fall of 2011 at the Aurora campus.
(14) A copy of the charter for WCC.
(15) The mailing addresses of WCC trustees.
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¶8 WCC responded to plaintiff’s requests on February 21, 2013. It provided the same response to requests (1) through (13): “The college does not aggregate this information as there is no purpose for the college to do so. Therefore, there is no responsive document to your request.”
¶9 In an August 2, 2013, letter, plaintiff replied to WCC’s response. Plaintiff maintained that the requested information should be provided. In the event that WCC was unwilling to reconsider its position, plaintiff alternatively requested that WCC provide a complete copy of its databases housing the requested information. WCC responded on August 8 that it would not change its position or alternatively provide a complete copy of its databases. Plaintiff and WCC exchanged more letters in which plaintiff asserted that WCC needed to provide the requested information and WCC claimed that it was not required to do so.
¶ 10 On September 3, 2013, plaintiff requested that WCC furnish a description of how the requested information could be obtained. On September 11, WCC responded that it was not required by FOIA to answer questions. Rather, FOIA allowed only access to public records.
¶ 11 On October 11, 2013, plaintiff proposed a “final attempt at compromise” via letter, with which he included an Adobe-based script that could automate the redaction process, in an effort to minimize WCC’s alleged burden. The letter described the script’s functioning and use. WCC responded that it could not use the Adobe-based script but that, even if it could, the script would not diminish the burden of retrieving the requested information. It therefore declined to provide the information.
¶ 12 B. Motion to Dismiss
¶ 13 On May 2, 2014, WCC filed a motion to dismiss plaintiff’s complaint under section 2-
619 of the Code (735 ILCS 5/2-619 (West 2014)). WCC moved to dismiss for lack of 150839
2016 IL App (2d) 150836 jurisdiction (735 ILCS 5/2-619(a)(1) (West 2014)) or, alternatively, because the complaint was barred by an affirmative matter (735 ILCS 5/2-619(a)(9) (West 2014)). The affirmative matter was that FOIA did not require WCC to create new records to respond to plaintiff’s requests.
WCC argued that plaintiff improperly requested it to provide general data and aggregate
statistics and did not reasonably identify a public record. To wit, WCC argued that “the gravamen of plaintiff’s Complaint is that the College will not compile data and information for him,” but FOIA was not designed to compel such compilation of data. WCC further argued that compliance with plaintiff’s requests would be significantly burdensome; that it had properly invoked per se exemptions under FOIA; and that plaintiff’s complaint should be barred by laches.
¶ 14 On September 17, 2014, the court set an evidentiary hearing to address WCC’s burden in complying with plaintiff’s requests and to determine the availability of alternative methods of providing plaintiff the information he sought.
¶ 15 C. Evidentiary Hearing
¶ 16 The court held an evidentiary hearing over the course of three days—March 4, 6, and 12, 2015—and we summarize the relevant testimony. Terrence Felton, WCC’s chief information officer (CIO), testified as to WCC’s databases as follows. WCC had two databases with information responsive to plaintiff’s FOIA requests: the Banner database (Banner), which housed
GED files, and the Driver Safety database. Banner was a relational database made by Oracle, and WCC used it to handle “every major function” at WCC, including finance, financial aid, student records, and inventory. Banner tracked all sorts of student information, including a student’s name, address, and zip code, and what courses a student took and when he or she took them. It also stored the county in which a student lived, whether a student was a United States
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2016 IL App (2d) 150836 citizen, and whether a student lived within the school district. Information in Banner flowed two
ways: an authorized user could look up information such as a student’s name or zip code and could also enter a student’s name or zip code into the system. WCC employed two IT employees
who could extract information from WCC’s database by writing a program to do so. For example, it was possible to search Banner for the name and zip code of all students taking an
ESL class in 2011. Felton continued, “[y]ou could write a program to do pretty much anything you want.” It “would take a while,” but it was possible to write a program to extract from
Banner everything that plaintiff sought in his FOIA requests.
¶ 17 The Driver Safety database was also a relational database. WCC could search it and extract information from it just as it could with Banner. The Driver Safety database tracked students’ names, zip codes, and classes taken.
¶ 18 Alexander Deligtisch, a director in information management services with AlixPartners, was accepted by the circuit court as a data analytics expert, and he testified as follows. He worked in litigation analytics, which included work with attorneys on behalf of their clients with databases, for purposes of commercial litigation. He had spent 19 years working with data analytics. He worked with databases, both relational and nonrelational, on a daily basis, and he often worked to extract responsive data without also extracting personally identifying information.
¶ 19 He identified both Banner and the Driver Safety database as relational databases, which were systems that stored data in a grid format. Relational databases were common and widely
used by businesses. Relational databases were like Excel spreadsheets, with data organized in columns and rows, forming tables. Each database would usually contain many tables. Searches across multiple tables were not only possible but were the purpose of a relational database. For 150841
2016 IL App (2d) 150836 instance, the relational database allowed for a search of the zip codes of all students taking a particular class. In order to perform such a search for zip codes, one would have to write code to perform the search, but this did not constitute writing a program. Rather, the query would essentially say, “ ‘Go to this table, look at these columns, pull out this data and put it in a spreadsheet or a grid for me.’ ” Writing the necessary query would take less than one minute.
¶ 20 Deligtisch thus believed that it was possible to respond to plaintiff’s request for, for example, the zip codes of all students taking the DDS-4 in 2011. It would require the user to identify the tables or the field names that contained the data. Then, the user would enter a short language command, around 10 to 20 words, and the database would provide the information in a grid that looked like an Excel spreadsheet. Relational databases allowed the user to quickly extract the data and put it in an Excel format. He analogized running a search query on a relational database to going to a filing cabinet and pulling out certain responsive files.
¶ 21 D. Circuit Court Ruling
¶ 22 On July 22, 2015, the circuit court issued its findings and order on WCC’s section 2-619 motion to dismiss. It addressed only plaintiff’s February 14, 2013, FOIA requests, because it determined that plaintiff’s complaint did not seek relief related to his January 6, 2011, FOIA requests.
¶ 23 The circuit court began its analysis by examining Chicago Tribune Co. v. Department of Financial & Professional Regulation, 2014 IL App (4th) 130427, which it found instructive.
There, the plaintiff sought various information from the Department of Financial and Professional Regulation (Department), including the number of license holders who had ever been identified as sex offenders; the number of medical professionals who were identified as sex offenders; the numbers, respectively, of initial claims, complaints, and formal complaints
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2016 IL App (2d) 150836 received against these sex offenders; and the dates of these claims, complaints, and formal complaints, and how and when they were resolved. Id. ¶¶ 5-6. The parties filed cross-motions
for summary judgment, with the Department arguing, in part, that it did not keep the types of records requested and that FOIA did not require it to create such records. Id. ¶¶ 1, 14. The circuit court denied the Department’s motion for summary judgment and granted summary
judgment in favor of the plaintiff. Id. ¶ 16. The appellate court reversed, reasoning that the plaintiff had not requested “public records” as defined by FOIA. Id. ¶ 32. Rather, the plaintiff’s request was more akin to an interrogatory in a civil action than a FOIA request for records. Id.
A proper FOIA request had to identify a public record, not general data, information, or statistics. Id. ¶ 33. Accordingly, the Department did not need to answer the plaintiff’s “ ‘general inquiry question’ ” concerning the number of initial claims, because doing so would require creating a new record. Id. ¶ 36.
¶ 24 The circuit court here then turned to plaintiff’s FOIA requests. It reasoned that plaintiff, like the plaintiff in Chicago Tribune, was requesting that WCC provide tallies of data instead of existing public records. Specifically, the circuit court identified five of plaintiff’s requests: (4)
the total number of registered students at the Aurora campus without social security numbers in the fall of 2011; (9) the total number of registered students by year at the Aurora campus from
1995 to 2008; (10) the total number of registered students taking ESL classes at the Aurora campus from 1995 to 2008; (11) the total number of registered students taking ABE/GED classes at the Aurora campus from 1995 to 2008; and (12) the total number of registered students from
1995 to the present taking classes at other locations, including Beupre Elementary School and Hermes Elementary School. Seeking such numerical tallies did not constitute requests for public records under FOIA. “Simply put, if [WCC] already aggregated such data and statistics, then
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any resulting documents aggregating said information would be subject to FOIA.” But, in the absence of such data aggregation, FOIA did not compel WCC to compile data or answer plaintiff’s questions. Therefore, the circuit court dismissed the five aforementioned FOIA requests.
¶ 25 The circuit court next addressed plaintiff’s request that WCC conduct database queries responsive to his specific requests. It disagreed with plaintiff’s argument that each data point— for example, the zip codes of individual students—constituted a public record. While it recognized that records maintained in an electronic format are subject to the FOIA disclosure rules, plaintiff sought to expand the definition of public records to include every unique data point in a database. Plaintiff relied on Kalven v. City of Chicago, 2014 IL App (1st) 121846, to support that each piece of data in WCC’s databases was a public record, but the circuit court
disagreed that Kalven supported plaintiff’s assertion. The salient distinction, the court stated, was that the documents sought in Kalven had already been prepared and maintained, whereas
WCC did not prepare and maintain documents with the aggregate data that plaintiff sought.
¶ 26 Nor was the circuit court persuaded by plaintiff’s citation to Southern Illinoisan v. Illinois
Department of Public Health, 218 Ill. 2d 390 (2006). The circuit court explained that the court
in Southern Illinoisan did not order the defendants to query their database in response to the plaintiff’s FOIA request. Rather, it ordered the defendants to produce portions of their cancer registry that listed the information sought. Id. at 398. While the opinion did not explicitly establish that the documents requested were previously available, the case’s prior history established that they were.
¶ 27 Accordingly, the circuit court held that FOIA did not require that WCC conduct database queries to create a new report for plaintiff.
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¶ 28 The circuit court’s final consideration was whether plaintiff’s FOIA requests created an
undue burden on WCC. The undue burden related to copying and redacting physical records, such as registration forms and new student information forms. The circuit court ultimately found that the production of thousands of heavily redacted student forms constituted a burden that outweighed the public’s interest in obtaining the requested information.
¶ 29 For all these reasons, the circuit court granted WCC’s section 2-619(a)(9) motion to dismiss plaintiff’s complaint, based on affirmative matters defeating the claims. [1]
¶ 30 Plaintiff timely appealed.
¶ 31 II. ANALYSIS
¶ 32 A motion to dismiss pursuant to section 2-619(a)(9) of the Code admits the legal
sufficiency of the complaint but asserts an affirmative matter that avoids the legal effect of or defeats the claim. Donovan v. Community Unit School District 303, 2015 IL App (2d) 140704, ¶
15. Our review is generally de novo. Law Offices of Nye & Associates, Ltd. v. Boado, 2012 IL
App (2d) 110804, ¶ 12. However, when the trial court grants the motion after an evidentiary
hearing, “we review whether the trial court’s findings of fact are against the manifest weight of the evidence while reviewing the questions of law de novo.” Id.
¶ 33 A. Plaintiff’s Argument
¶ 34 Plaintiff argues that the circuit court erred in dismissing his complaint. Plaintiff frames the issue as whether searching for and producing information from a database creates a new document. He argues that the circuit court erred when it held that the data residing in a public