2008 WI 69
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Supreme Court of |
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Case No.: |
2005AP1473; 2006AP174; 2006AP175 |
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Complete Title: |
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WIREdata, Inc., Plaintiff-Respondent, v. Defendants-Co-Appellants-Cross Petitioners, Grota Appraisals, LLC, Michael L. Grota and Assessment Technologies of WI, LLC, Defendants-Appellants-Petitioners. |
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WIREdata, Inc., Plaintiff-Appellant, v. Defendant-Respondent, Grota Appraisals, LLC and Michael L. Grota, Assessment Technologies of WI, LLC, Defendants-Respondents-Petitioners. |
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WIREdata, Inc., Plaintiff-Appellant, v. City of Defendant-Respondent-Cross Petitioner, Matthies Assessments, Inc., Defendant-Respondent, American Family Insurance Company, Intervenor. |
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REVIEW OF A DECISION OF THE COURT OF APPEALS 2007 WI App 22 Reported at: 298 (Ct. App. 2007-Published) |
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Opinion Filed: |
June 25, 2008 |
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Submitted on Briefs: |
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Oral Argument: |
March 13, 2008
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Source of Appeal: |
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Court: |
Circuit |
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County: |
Waukesha & Ozaukee |
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Judge: |
Mark S. Gempeler & Thomas R. Wolfgram |
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Justices: |
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Concurred: |
ABRAHAMSON, C.J., concurs (opinion filed). |
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Dissented: |
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Not Participating: |
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Attorneys: |
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For the defendants-co-appellants-cross petitioners and
the defendant-respondent-cross-petitioner there were briefs by Raymond J. Pollen, Remzy D. Bitar, and Crivello Carlson & Mentkowski,
For the defendants-appellants-petitioners there were
briefs by Joseph A. Kromholz, Daniel R.
Johnson, and Ryan Kromholz &
Manion, S.C.,
For the defendant-respondent there were briefs by Maile E. Beres, Barbara O’Brien, and Borgelt, Powell,
For the respondent there were briefs by Alan H. Deutch, Deutch Law Offices, SC, and A Division of Deutch & Weiss, LLC, Fox Point, and oral argument by Alan H. Deutch.
An amicus curiae brief was filed by Andrew T. Phillips, Kristen D. DeCato, and Stadler,
An amicus curiae brief was filed by Daniel M. Olson, Madison, on behalf of the League of Wisconsin Municipalities.
An amicus curiae brief was filed by Joseph P. Guidote, Jr., Outagamie county corporation counsel, on behalf of the Wisconsin Association of County Corporation Counsel.
An amicus curiae brief was filed by David A. Strifling and Quarles
& Brady LLP,
An amicus curiae brief was filed by Mary E. Burke, assistant attorney general, with whom on the brief was J.B. Van Hollen, attorney general, on behalf of the Wisconsin Department of Justice.
An amicus curiae brief was filed by Paul W. Schwarzenbart and Lee,
Kilkelly,
An amicus curiae brief was filed by Robert J. Dreps, Rebecca Kathryn
Mason, and
2008 WI 69
notice
This opinion is subject to further editing and modification. The final version will appear in the bound volume of the official reports.
Nos. 2005AP1473, 2006AP174, & 2006AP175
REVIEW of a decision of the Court of Appeals. Reversed in part, affirmed in part, and remanded.
¶1 N. PATRICK CROOKS, J. This is a review of a published decision of the court of appeals.[1]
¶2 Petitioners, Grota Appraisals, LLC, and Michael L. Grota (Grota);
Assessment Technologies of WI, LLC; and the Village of Thiensville
(Thiensville); and cross-petitioners, the Village of Sussex and the Village of
Sussex Custodian (collectively, Sussex); and the City of Port Washington (Port
Washington)[2]
seek review of a published decision of the court of appeals. The court of appeals' decision affirmed in
part and reversed in part the decision of the Circuit Court for Waukesha County
(the Sussex action), Judge Mark S. Gempeler, presiding. The court of appeals' decision also affirmed
in part, reversed in part, and remanded the decision of the Circuit Court for
Ozaukee County (the Thiensville and Port Washington actions), Judge Thomas R.
Wolfgram, presiding. The
defendant-respondent is Matthies Assessments, Inc. (Matthies Assessments). The plaintiff in the circuit court cases was WIREdata,
Inc. (WIREdata). These cases deal with
the interpretation and application of
¶3 There are six principal issues upon appeal. The first issue is whether WIREdata properly commenced the mandamus actions against the municipalities under the open records law, pursuant to Wis. Stat. § 19.37(1), when the municipalities had not denied WIREdata's requests for the records before WIREdata filed the mandamus actions.[4] The second issue is whether WIREdata's initial written requests were insufficient as a matter of law as to time and subject matter. The third issue is whether a municipality's independent contractor assessor is an authority under the open records law, so that the independent contractor assessor is a proper recipient of an open records request.[5] The fourth issue is whether a municipality may avoid liability under the open records law by contracting with an independent contractor assessor for the collection, maintenance, and custody of its property assessment records, and by then directing any requester of those records to the independent contractor assessor who has custody of the sought-after records. The fifth issue is whether the court of appeals was mistaken in concluding that the petitioners and the cross-petitioners had not fulfilled WIREdata's initial open records requests, once they produced portable document files (hereafter, PDF or PDFs) with the requested information and gave those files to WIREdata. The sixth issue is whether the fees charged to WIREdata were fees that complied with the law for that requested output.
¶4 We hold as follows on the issues: based on the facts of the present case, WIREdata did not properly commence the mandamus actions against the municipalities under the open records law, pursuant to Wis. Stat. § 19.37(1), because the municipalities had not denied WIREdata's requests for the records before WIREdata filed the mandamus actions; WIREdata's initial written requests were not insufficient as a matter of law as to time and subject matter; a municipality's independent contractor assessor is not an authority under the open records law, so that the independent contractor assessor is not a proper recipient of an open records request; a municipality may not avoid liability under the open records law by contracting with an independent contractor assessor for the collection, maintenance, and custody of its property assessment records and by then directing any requester of those records to the independent contractor assessor who has custody of the sought-after records; the court of appeals was mistaken in concluding that the petitioners and the cross-petitioners had not fulfilled WIREdata's initial open records requests, once they produced PDFs with the requested information and gave those files to WIREdata; and, because no fees were actually charged for the information the municipalities provided to WIREdata in the PDF format, the municipalities did not violate the open records law. Accordingly, the municipalities are not liable for any damages in the present action.
¶5 We reverse in part and affirm in part the decision of the court of
appeals. WIREdata, Inc. v. Village of Sussex, 2007 WI App 22, ¶¶2, 3, 67-70, 298
Wis. 2d 743, 729 N.W.2d 757. In order to
assist the reader in understanding our determinations, in relation to that
decision, we disagree with the court of appeals' specific holdings as follows:
that the three municipalities denied the open records requests of WIREdata and,
thus, violated the open records law; that the PDFs were insufficient to comply
with such open records requests; that the open records law requires access to
the computerized database; that the "enhanced" demands did not
require the creation of new records; and that WIREdata is entitled to fees and
costs from each of the municipalities.
However, we agree with the court of appeals' specific holdings as
follows: that the municipalities are the responsible authorities under the open
records law; that such responsibility cannot be shifted to independent
contractor assessors; and that the initial written requests of WIREdata were
valid and, thus, were not insufficient as to subject matter and length of time.
I
¶6 This litigation arose when WIREdata, which is a wholly owned
subsidiary of the Multiple Listing Service, Inc., made a series of open records
requests. The relevant requests asked
¶7 The three municipalities had contracted with private, independent
contractor assessors to complete their property assessments. WIREdata initially made a request to all
three municipalities directly that they provide the company with the requested
data. WIREdata's "initial"
request to
¶8 Later, WIREdata made requests directly to the independent contractor assessors for those records to be provided to the company in the format that was created and maintained by those independent contractor assessors in a computerized database (the "enhanced" requests).[6] We note at the outset that WIREdata's attorney admitted at oral argument before this court that the company had never provided its "enhanced" requests directly to any of the municipalities in this action. While the data was not provided in the format requested in WIREdata's "enhanced" requests, the municipalities gave WIREdata access to the requested data using the PDF format, which complied with WIREdata's "initial" requests for the data either in no specified format or in an "electronic/digital" format. WIREdata was not satisfied with the provision of the relevant data using the PDF format.
A. The
¶9
¶10 Grota also owns Assessment Technologies of WI, LLC (Assessment
Technologies). Assessment Technologies
was the company that had developed and copyrighted the
¶11 The open records law request involved in this action was submitted
to
This is to formally request an electronic/digital copy
of the detailed real estate property records (showing the specific
characteristics of each parcel and the improvements thereupon) used and/or
maintained by the Assessor in determining the proper assessments for each
parcel within the
In this letter, WIREdata requested that the company be advised of "any cost involved . . . before incurring same."
¶12 In response,
¶13 Only four days later, on April 24, 2001, WIREdata sent a letter to
The purpose of this letter is to inform you that if the request is denied in whole or in part or if the Municipality tries to charge an amount which is not the actual and direct cost of the copying, we will be seeking immediate relief via a mandamus action pursuant to Wis. Stat. § 19.37.
Also, it stated, "I am
also concerned that your client may try to become 'creative' in ascertaining
the costs involved." The letter
continued by informing
¶14 On approximately May 4, 2001, Pelkey contacted WIREdata's Vice President
and Chief Technology Officer, Thomas Curtis (Curtis). Curtis later stated that Pelkey gave him the
understanding that Pelkey would help WIREdata get the data. By a letter dated May 4, 2001, Pelkey informed
¶15 As part of WIREdata's "enhanced" request, Curtis directly
sent Pelkey an e-mail that requested 49 selected fields from the
¶16 After receiving the "enhanced" request, Pelkey responded
with an e-mail to Curtis that outlined the costs and terms of producing the
requested records in the "enhanced" format using the
¶17 On May 21, 2001, WIREdata's attorney wrote
¶18 The next day, on May 22, 2001, Sussex's counsel sent Grota a letter
that asked him to explain how the costs and the fees in Pelkey's e-mail could
be justified as being the "'actual, necessary and direct costs'" to
produce the requested data in the "enhanced" format.
¶19 In a letter dated May 25, 2001, Pelkey explained the expenses. Pelkey stated that, although the Market Drive
software had the ability to export a property record card into a text file,
each property record must be exported one at a time, which would be highly
labor intensive. Pelkey further
explained that the software did not have the ability to export data into a
comma delimited record format. Pelkey
also reiterated that Assessment Technologies had granted Grota Appraisals the
authority to give
¶20 On May 29, 2001,
¶21 On June 8, 2001, WIREdata filed a mandamus action in the Waukesha
County Circuit Court against
¶22 On June 20, 2001, Grota provided an estimate to
¶23 In August 2001, Assessment Technologies filed a lawsuit in the
United States District Court for the Eastern District of Wisconsin seeking an
injunction to prohibit WIREdata from infringing on its copyrights for the
¶24 The United States Court of Appeals for the Seventh Circuit reversed
the district court's decision. See
Assessment Techs. of WI, LLC v. WIREdata, Inc., 350 F.3d 640, 648 (7th
Cir. 2003). The Seventh Circuit held
that extracting the raw data that WIREdata sought from the
¶25 After the release of the federal appellate court's decision, Grota
sent the requested data on
¶26 After the Seventh Circuit's decision was rendered on November 25,
2003, all parties moved for summary judgment in the pending mandamus action in
the Waukesha County Circuit Court. The
circuit court granted WIREdata's summary judgment motion but denied WIREdata's
request for punitive damages on May 20, 2005.
The circuit court held that there could be multiple authorities under
the open records law, and that
B.
The Thiensville action in the Ozaukee County Circuit Court
¶27 In October 1999, Thiensville contracted with Grota Appraisals to
maintain its assessment records for the period between January 1, 2000, and
December 31, 2001. A computer that was
loaded with the
¶28 On April 20, 2001, WIREdata made a written open records law request to Thiensville. In this request (the "initial" request), WIREdata asked for the following:
[A]n electronic/digital copy of the detailed real estate property records (showing the specific characteristics of each parcel and the improvements thereupon) used and/or maintained by the Assessor in determining the proper assessments for each parcel within the Village of Thiensville.
However, WIREdata wanted to be advised in writing of any costs that were associated with fulfilling its request before the municipality incurred the costs. The village forwarded the request to Grota Appraisals and informed WIREdata that it had done so.
¶29 Only four days later, on April 24, 2001, WIREdata's attorney sent
Thiensville's counsel a letter that was nearly identical to the letter that
WIREdata's attorney had sent to
The purpose of this letter is to inform you that if the request is denied in whole or in part or if the Municipality tries to charge an amount which is not the actual and direct cost of the copying, we will be seeking immediate relief via a mandamus action pursuant to Wis. Stat. § 19.37.
The letter further stated,
"I am also concerned that your client may try to become 'creative' in
ascertaining the costs involved."
The letter continued by stating that, if WIREdata was "forced to
start a mandamus action, [WIREdata] will also be seeking reimbursement of
attorney fees." All of these
statements mirrored WIREdata's letter to
¶30 On May 30, 2001,[9] WIREdata filed a mandamus action in the Ozaukee County Circuit Court against Thiensville, Grota Appraisals, and Grota. WIREdata later amended its complaint to include Assessment Technologies as well. On June 4, 2001, Thiensville's counsel wrote to WIREdata to inform the company that Thiensville officials were reviewing systems issues and were attempting to comply with WIREdata's "initial" request.
¶31 On June 29, 2001, after the mandamus action was filed,
Thiensville's village administrator sent WIREdata a letter in an attempt to
resolve the action that was similar to the one
¶32 After the Seventh Circuit rendered its decision on November 25,
2003, Pelkey sent WIREdata a PDF file that contained Thiensville's property
records data. Thiensville, Grota
Appraisals, Grota, Assessment Technologies, and WIREdata had all previously filed
summary judgment motions, which were substantially similar to the ones they
filed in the
¶33 The circuit court granted summary judgment in favor of Thiensville,
the
C.
The
¶34 In November 2000,
¶35 On April 25, 2001, WIREdata sent
¶36 On May 4, 2001,
¶37 On May 22, 2001, Matthies sent WIREdata a response to its May 9
letter. In his response, Matthies stated
he assumed that WIREdata was "requesting a copy of the assessment data
base used to store assessment data for the City of
¶38 On June 12, 2001,[11]
WIREdata filed a mandamus action against both Port Washington and Matthies
Assessments in the Circuit Court for
¶39 After the Seventh Circuit's decision was rendered on November 25, 2003,
Pelkey sent WIREdata a PDF that contained the requested property records for
D.
The court of appeals' decision
¶40 As previously noted, all of the appeals from the three circuit court decisions were considered together on appeal by the court of appeals.
¶41 On January 3, 2007, the court of appeals, in a published decision,
held that the open records law allowed WIREdata the opportunity to access the
databases of the independent contractor assessors to examine and to copy the
requested property assessment records.
As a result, the court of appeals held that the municipalities had
violated the open records law when they did not give WIREdata the requested
data in the "enhanced" request's format and instead provided the data
to the company in PDFs. However, the
court of appeals only held the municipalities, and not their independent
contractor assessors, liable for the open records law violations. The court of appeals stated that
municipalities could not evade their duties under the open records law by
having independent contractor assessors create and maintain their property
assessment records. The court of appeals
also rejected "all challenges to the sufficiency of the open records
requests and [to] the existence of the denials of those requests." WIREdata, Inc., 298
¶42 As a result, the court of appeals, in the Sussex action, affirmed
the Circuit Court of Waukesha County to the extent that the circuit court held
that: (1) Sussex was an authority and was responsible for the relevant
violations of the open records law; (2) WIREdata had submitted a valid request
under the open records law that Sussex had improperly denied; (3) the PDF did not comply with the open
records law's requirements; (4) the open records law required that WIREdata be
given access to the Market Drive software's computerized database; and (5)
WIREdata was entitled to receive its actual, reasonable, and customary fees and
costs. However, the court of appeals, in
the
¶43 In the combined Thiensville and Port Washington actions, the court
of appeals affirmed the Circuit Court for
II
¶44 These cases are before us on review in regard to summary judgment
motions, which were decided by the circuit courts. We review a circuit court's grant or denial
of a summary judgment motion de novo and independently of either the circuit
court or the court of appeals; however, we apply the same methodology and
benefit from their analyses. AKG Real
Estate, LLC v. Kosterman, 2006 WI 106, ¶14, 296
¶45 The interpretation and application of a statute, such as the open
records law, to undisputed facts presents a question of law that we review de
novo. Osborn v. Bd. of Regents of the
Univ. of Wis. Sys., 2002 WI 83, ¶12, 254 Wis. 2d 266, 647 N.W.2d 158. However, we benefit from the analyses of both
the circuit court and the court of appeals.
III
¶46 The first issue on review is whether WIREdata properly commenced the mandamus actions against the municipalities under the open records law, pursuant to Wis. Stat. § 19.37(1), when the municipalities had not denied WIREdata's requests for the records before WIREdata filed the mandamus actions.
¶47 On review, the petitioners and the cross-petitioners claim that the municipalities did not deny WIREdata's requests for records and, accordingly, that a mandamus action was improper. They note that the relevant statute does not provide a concrete time frame for a response to an open records request. The petitioners and the cross-petitioners argue that, in cases such as this one where the requests are complex, municipalities should be afforded latitude in regard to the time frame for their response. They argue that the municipalities acted promptly and appropriately given the circumstances. Grota further argues that Pelkey's communications may not be deemed to be either a denial or a delaying of the requests because Pelkey was neither an authority nor a proper recipient of the requests. Finally, the petitioners and the cross-petitioners argue that the court of appeals erred by determining that the municipalities delayed too long in responding to the requests.
¶48 On review, WIREdata argues that, even though the municipalities did not issue any express denials to the company's requests, the municipalities failed to respond adequately to those requests. WIREdata cites three court of appeals cases[12] in support of its assertion that the relevant statute requires either a grant or a denial of an open records request, and WIREdata argues that the municipalities did neither. However, WIREdata also asserts that Pelkey's communications made it clear that the requests were denied.
¶49 For the reasons discussed in detail below, based on the facts of the present case, we hold that WIREdata did not properly commence the mandamus actions against the municipalities under the open records law, pursuant to Wis. Stat. § 19.37(1), because the municipalities had not denied WIREdata's requests for the records before WIREdata filed the mandamus actions.
¶50 Wisconsin Stat. § 19.35(4)(a)
requires an authority, upon a request for any record, to "as soon as
practicable and without delay, either fill the request or notify the requester
of the authority's determination to deny the request in whole or in part and the
reasons therefor." Wisconsin Stat. § 19.37(1), in relevant
part, provides that, "[i]f an authority withholds a record or a part of a
record or delays granting access to a record or part of a record after a
written request for disclosure is made, the requester may pursue . . ." a
cause of "action for mandamus asking a court to order [the] release of the
record."
¶51 It is important to note that WIREdata admitted in its brief to this
court that Grota was always willing to supply copies in written form of the
requested information for each of the three municipalities. The record also reflects that the
municipalities offered WIREdata printouts in written form of the relevant
property records in a timely manner, but WIREdata refused these offers. Grota's attorney stated at oral argument
before this court that the full records, in written form, were offered to
WIREdata within weeks of the company's requests. When pressed for a more specific time frame,
the attorney stated that, to the best of his recollection, the records for
¶52 Contrary to WIREdata's arguments, the court of appeals' decision in
Oshkosh Northwest Co. (
¶53 We are further satisfied that the court of appeals' decision in WTMJ,
Inc. (WTMJ) does not compel a different result on this issue. WTMJ, Inc. v. Sullivan, 204
¶54 WTMJ filed a mandamus action to obtain the records it
requested.
¶55 We are satisfied that, under the circumstances here, there were not
any denials by the relevant authorities, the municipalities, of WIREdata's
requests. This case is distinguishable
because, in the present case, unlike the custodian in WTMJ, the
municipalities were diligently working toward ascertaining the technical and
legal requirements of producing the records.
WTMJ, Inc., 204
¶56 We are satisfied that, in cases such as these where the requests are complex, municipalities should be afforded reasonable latitude in the time frame for their responses. In its amicus brief, the Wisconsin Department of Justice (DOJ) appropriately expressed a concern that the court of appeals' opinion could be construed as allowing a mandamus action, even where municipalities were acting diligently in attempting to respond in a timely manner to requests under the open records law. As the DOJ stated, "An authority should not be subjected to the burden and expense of a premature public records lawsuit while it is attempting in good faith to respond, or to determine how to respond, to a public records request." We further concur with the DOJ's opinion that what constitutes a reasonable time for a response by an authority "depends on the nature of the request, the staff and other resources available to the authority to process the request, the extent of the request, and other related considerations." Accordingly, whether an authority is acting with reasonable diligence in a particular case will depend upon the totality of the circumstances surrounding the particular request.
¶57 We further agree with the petitioners and the cross-petitioners that the municipalities acted promptly given the circumstances of this case. The record reflects that questions on the "enhanced" format that WIREdata desired the data to be produced in were still going back and forth in May of 2001, which was several weeks after WIREdata made its initial request. This shows that the municipalities were still attempting in good faith to comply with the difficult logistical and legal aspects of WIREdata's complex and large "enhanced" requests at that time.
¶58 We are satisfied that the municipalities, as the authorities under
the open records law, acted reasonably in the present case. The open records law, specifically Wis. Stat.
§ 19.35(4)(a),
requires an authority to either comply with or deny a request "as soon as
practicable." Here, WIREdata filed
the mandamus actions without first giving the municipalities an appropriate amount
of time to comply with its requests, especially given all of the complex
copyright and licensing issues, and given the large volume of data
requested. Here, WIREdata threatened
both
¶59 In summary, based on the facts of the present case, we hold that WIREdata did not properly commence the mandamus actions against the municipalities under the open records law, pursuant to Wis. Stat. § 19.37(1), because the municipalities had not denied WIREdata's requests for the records before WIREdata filed the mandamus actions.
IV
¶60 The second issue on review is whether WIREdata's initial written requests were insufficient as a matter of law as to time and subject matter.
¶61 On review, the petitioners and the cross-petitioners claim that WIREdata's initial written requests were insufficient as a matter of law, because WIREdata did not properly define the time and subject matter limitations on its requests. The petitioners and the cross-petitioners argue that, under Wis. Stat. § 19.35(1)(h), WIREdata's requests were too broad to be valid because the requests contained no such limitations.
¶62 On review, WIREdata argues that the municipalities did not assert, as a reason for denying the company's requests, that WIREdata's requests were too broad. As a result, WIREdata argues that the petitioners and the cross-petitioners waived this argument because the alleged denials were based on copyright issues, not on claims that the requests were overbroad. Furthermore, WIREdata argues that its requests must have been understood because Pelkey was able to set up a pricing structure for the provision of the "enhanced" data in his May 28, 2001 letter. WIREdata further contends that the requests were sufficient on their face. Finally, WIREdata argues that Wis. Stat. § 19.35(1)(h) does not require a requester to include a precise list of the desired data or a precise limitation as to the time frame.
¶63 For the reasons discussed in detail herein, we conclude that WIREdata's initial written requests were not insufficient as a matter of law in regard to subject matter and length of time.
¶64 Wisconsin Stat. § 19.35(1)(h), in relevant part, provides that a request "is deemed sufficient if it reasonably describes the requested record or the information requested. However, a request for a record without a reasonable limitation as to subject matter or length of time represented by the record does not constitute a sufficient request."
¶65 In Schopper, the court of appeals affirmed the circuit
court's order that dismissed the complaint of Allan Schopper (Schopper). Schopper v. Gehring, 210
¶66 Schopper had been arrested for a traffic violation on the night for
which he requested the 911 calls.
¶67 The court of appeals stated, "While this state favors the
opening of public records to public scrutiny, we may not in furtherance of this
policy create a system that would so burden the records custodian that the
normal functioning of the office would be severely impaired."
¶68 We note, as the court of appeals pointed out, that the petitioners'
and the cross-petitioners' arguments here, on this issue, were not raised until
quite late in the litigation. We need
not consider such after the fact reasons for nondisclosure. See Oshkosh Nw. Co., 125
¶69 In summary, we conclude that WIREdata's initial written requests were not insufficient as a matter of law in regard to time and subject matter.
V
¶70 The third issue before us is whether a municipality's independent contractor assessor is an authority under the open records law, so that such an assessor is a proper recipient of an open records request.
¶71 On review, the municipalities argue that the court of appeals erred when it held that the independent contractor assessors were not authorities under the open records law. The municipalities maintain that an "authority" under the open records law includes independent contractors who fill statutory appointments to local public offices. The municipalities then argue that the open records statutes apply to such authorities. In contrast, the independent contractor assessors argue that the definition of public office that is set forth in Wis. Stat. § 19.42(7w)(d) controls and defines an "appointive office" as expressly excluding "a position filled by an independent contractor." The independent contractor assessors argue that this express exclusion carries over to Wis. Stat. § 19.32(1dm). However, those assessors also argue that, regardless of the independent contractor exclusion in § 19.42(7w)(d), they cannot be considered to be filling "public offices" under § 19.32(1dm). Furthermore, the assessors assert that, because they are not authorities under the open records law, the mandamus actions that were filed against them by WIREdata should have been dismissed.
¶72 On review, WIREdata argues that such assessors should be deemed to be proper recipients of open records requests because to hold otherwise would slow down the process of satisfying open records requests. Furthermore, WIREdata argues that Pelkey was acting as an agent for the municipalities.
¶73 For the reasons discussed in detail below, we are satisfied that a municipality's independent contractor assessor is not an authority under the open records law, so that such an assessor is not a proper recipient of an open records request.
¶74 Wisconsin Stat. § 19.32(1), in relevant part, states, "'Authority' means any of the following having custody of a record: a state or local office, elected official, agency, board, commission, committee, council, department or public body corporate and politic created by constitution, law, ordinance, rule or order; . . . or a formally constituted subunit of any of the foregoing." This statute clearly envisions a public entity, a quasi-governmental corporation, or a governmental entity, not an independent contractor hired by such a public or governmental entity, as being the "authority" for purposes of the open records law.
¶75
"Local public office" means any of the following offices, except an office specified in sub. (13):[15]
(a) An elective office of a local governmental unit.
(b) A county administrator or administrative coordinator or a city or village manager.
(c) An appointive office or position of a local governmental unit in which an individual serves for a specified term, except a position limited to the exercise of ministerial action or a position filled by an independent contractor.
. . . .
(d) An appointive office or position of a local government which is filled by the governing body of the local government or the executive or administrative head of the local government and in which the incumbent serves at the pleasure of the appointing authority, except a clerical position, a position limited to the exercise of ministerial action or a position filled by an independent contractor.
(Emphasis added.) We are satisfied that this statute clearly envisions a public or governmental entity, not an independent contractor hired by the public or governmental entity, as being the "authority" for purposes of the open records law. Indeed, as noted, Wis. Stat. § 19.42(7w)(c)-(d) excludes from the definition of "Local public office" any "position filled by an independent contractor." While Wis. Stat. § 61.197(1)(f) allows villages to appoint an independent contractor to be the village assessor, and while Wis. Stat. § 62.09(1)(c) allows cities to appoint an independent contractor to be the city assessor, nothing in either of those statutes changes or modifies the language of Wis. Stat. § 19.32(1dm) or Wis. Stat. § 19.42(7w)(c)-(d).
¶76 The definition of local public office that is set forth in Wis. Stat. § 19.42(7w)(c)-(d) controls and defines an "appointive office" as expressly excluding "a position filled by an independent contractor." We are satisfied that this express exclusion carries over to Wis. Stat. § 19.32(1dm) because of the specific cross-reference in § 19.32(1dm) to § 19.42. However, regardless of the independent contractor exclusion in § 19.42(7w)(c)-(d), the independent contractor assessors do not hold a local public office under § 19.32(1dm) for another reason, which is that an independent contractor assessor does not serve "as the head of a department, agency, or division of the local governmental unit . . . ."
¶77 We hold that, here, the municipalities themselves were the "authorities" for purposes of the open records law. Accordingly, only the municipalities were proper recipients, here, of the relevant open records requests. As such, a communication from an independent contractor assessor should not be construed as a denial of an open records request.
¶78 In summary, we are satisfied that a municipality's independent contractor assessor is not an authority under the open records law, so that such an assessor is not a proper recipient of an open records request.
VI
¶79 The fourth issue on review is whether a municipality may avoid liability under the open records law by contracting with an independent contractor assessor for the collection, maintenance, and custody of its property assessment records, and by then directing any requester of those records to such an assessor.
¶80 On review, the municipalities argue that independent contractor assessors are authorities who can be held liable under the open records law in lieu of the municipalities. The municipalities further claim that the contractor exception in Wis. Stat. § 19.36(3) does not apply to the present case because the contract here was between two authorities. Furthermore, the municipalities argue that, just because a contract exists between a municipality and an independent contractor assessor, this does not mean that a municipality can order such an assessor to turn over the relevant database. In contrast, the assessors argue that municipalities may not transfer their legal status as authorities to such assessors by outsourcing data collection. The assessors also argue that the municipalities need not physically have custody of the requested records to be the proper party to a mandamus action.
¶81 On this issue, WIREdata argues that the independent contractor assessors are not authorities under the open records law. WIREdata proffers that the municipalities are the only authorities in the present cases. WIREdata argues that Wis. Stat. § 19.36(3) holds authorities liable for the failure to make records available that were produced or collected under a contract.
¶82 For the reasons discussed in detail herein, we hold that the municipalities here may not avoid liability under the open records law by contracting with independent contractor assessors for the collection, maintenance, and custody of property assessment records, and by then directing any requester of those records to the independent contractor assessors. As we noted previously, the municipalities here are the authorities for purposes of the open records law.
¶83 As Wis. Stat. § 19.37(2), in relevant part, states, "Costs and fees shall be paid by the authority affected or the unit of government of which it is a part, or by the unit of government by which the legal custodian under s. 19.33 is employed and may not become a personal liability of any public official." The statute discusses governmental or quasi-governmental entities, not private citizens, corporations,[16] or even individual public officials, as being the parties responsible for paying any damages or fees under the statute to a prevailing requester. Given that we have held that the independent contractor assessors are not authorities under the open records law, and being satisfied that the statutes do not otherwise provide for independent contractor assessors' liability, we hold that the municipalities retain sole liability in cases such as the present ones for any damages or fees resulting from a violation.
¶84 Wisconsin Stat. § 19.36(3)
further supports our holding on this issue.
The statute, in relevant part, states, "[E]ach authority shall make
available for inspection and copying under s. 19.35(1) any record produced or
collected under a contract entered into by the authority with a person other
than an authority to the same extent as if the record were maintained by the
authority."
¶85 Our holding here also comports with prior
¶86 Additional Wisconsin case law supports our decision on this
issue. In Blum, the court of
appeals reiterated that an authority "may not avoid the public access
mandate of Chapter 19 . . . 'by
delegating both [a] record's creation and custody to an agent.'" State ex rel. Blum, 209
¶87 We disagree with the municipalities' contention that Machotka v.
Village of West Salem, 2000 WI App 43, 233 Wis. 2d 106, 607 N.W.2d 319, and
Building and Construction Trades Council of South Central Wisconsin v.
Waunakee Community School District, 221 Wis. 2d 575, 585 N.W.2d 726 (Ct.
App. 1998), control to absolve the municipalities of their responsibility for
any violations of the open records law.
In both of the cited cases, the requesters were seeking records that
fell outside of the parameters of the contractual obligations between the
authorities and their independent contractors.
See Machotka, 233
¶88 While the municipalities may not avoid liability in the present cases for any violations of the open records law just because they employed independent contractor assessors, as previously noted, we are satisfied that the municipalities acted reasonably and promptly, given the circumstances. As a result, the municipalities are not liable in the present cases.
¶89 In summary, we hold that a municipality may not avoid liability under the open records law by contracting with an independent contractor assessor for the collection, maintenance, and custody of its property assessment records, and by then directing any requester of those records to such an assessor.
VII
¶90 The fifth issue before us is whether the court of appeals was mistaken in concluding that the petitioners and the cross-petitioners had not fulfilled WIREdata's initial open records requests, once they produced PDFs with the requested information and gave those files to WIREdata.
¶91 The petitioners and the cross-petitioners claim that, by providing WIREdata with the PDFs, they satisfied the company's open records requests because the company requested an electronic, digital format of the data. Furthermore, the petitioners and the cross-petitioners maintain that providing the requested information to WIREdata in any format, including the PDF format, was more than the open records law required because the provision of the relevant data required the creation of a new record, which is explicitly exempted under Wis. Stat. § 19.35(1)(L). The petitioners and the cross-petitioners assert that, when WIREdata received the PDF files, the company received all of the relevant information that was in the possession of either the assessors or the municipalities. Finally, they argue that the quality of the data that WIREdata received in the PDFs was the exact same quality of data as the company would have received using any other format, including using the Market Drive software. As a result, they assert that WIREdata's only remaining complaint is that the data's format was not optimal for its needs, which is not an appropriate claim upon which a writ of mandamus should issue.
¶92 WIREdata argues that the PDFs were not sufficient responses to even its "initial" requests for the records in an electronic, digital format. WIREdata further contends that the PDFs were not responsive to its "enhanced" requests. WIREdata asserts that a records custodian should not be able to produce such records in a format that it does not typically keep the records in. WIREdata argues that Pelkey was an agent of the municipalities, and, therefore, that WIREdata's later "enhanced" requests for a specific data format had to be followed, in lieu of following its first requests for any electronic, digital file.
¶93 For the reasons discussed in detail below, we are satisfied that the court of appeals was mistaken in concluding that the petitioners and the cross-petitioners had not fulfilled WIREdata's initial open records requests once they produced PDFs with the requested information and gave those files to WIREdata. In addition, the records requested were offered to WIREdata, by all three municipalities, in written form shortly after its requests were made, demonstrating good faith efforts to satisfy such requests quickly. The PDF files satisfied the open records requests of WIREdata, as its initial requests were worded. Our holdings in the present case are based on WIREdata's initial requests because the enhanced requests were not properly submitted to the relevant authorities. Accordingly, we need not address whether the municipalities' responses satisfied WIREdata's purported "enhanced requests" because WIREdata's communications with Pelkey and with the independent contractor assessors did not constitute appropriate enhanced requests to authorities.
¶94 WIREdata's attorney admitted at oral argument before this court that the "enhanced" requests had not been submitted to the municipalities.[17] The "enhanced" requests were submitted directly to Pelkey or to the independent contractor assessors, who are not authorities under the open records law. Accordingly, WIREdata now erroneously tries to claim that the PDF files were inappropriate because of the company's later "enhanced" requests.
¶95 Wisconsin Stat. § 19.32(2)
defines a "record" as "any material on which written, drawn,
printed, spoken, visual or electromagnetic information is recorded or
preserved, regardless of physical form or characteristics, which has been
created or is being kept by an authority."
The statute further defines a "record" as including, but not
being limited to, "handwritten, typed or printed pages, maps, charts,
photographs, films, recordings, tapes (including computer tapes), computer
printouts and optical disks."
¶96 There is no dispute that WIREdata's requests were for records within the meaning of the statute. The question is whether the PDFs supplied by Grota to WIREdata fulfilled WIREdata's initial requests to the municipalities, which were for "electronic/digital" copies. PDF files are "electronic/digital" files, as WIREdata conceded at oral argument. Thus, despite the fact that the PDF files did not have all of the characteristics that WIREdata wished (that is, WIREdata could not easily manipulate the data), the PDF files did fulfill WIREdata's initial requests as worded. In addition, the records requested were offered to WIREdata, by all three municipalities, in written form shortly after its requests were made, demonstrating good faith efforts to satisfy such requests quickly.[18]
¶97 We disagree with the court of appeals' statement that requesters
must be given access to an authority's electronic databases to examine them,
extract information from them, or copy them.
See WIREdata, Inc., 298
¶98 In summary, we are satisfied that the court of appeals was mistaken in concluding that the petitioners and the cross-petitioners had not fulfilled WIREdata's initial open records requests, once they produced PDFs with the requested information and gave those files to WIREdata. In addition, all three municipalities offered the requested records to WIREdata in written form shortly after its requests were made. Such offers demonstrated good faith efforts to provide WIREdata with the requested information quickly.
VIII
¶99 The sixth issue before us on review is whether the fees charged to WIREdata were fees that complied with the open records law.
¶100 On review, Grota argues that the figure he quoted to WIREdata of $3,100 was the actual amount or fee that it would have cost to provide the requested "enhanced" data. Grota explains that the $3,100 figure was based on a trial run attempting to provide the requested information in a text format, which WIREdata demanded in its "enhanced" requests. Grota argues that, because the $3,100 price accompanied an agreement to provide the requested "enhanced" data, it was an actual estimated cost, which comports with the requirements of Wis. Stat. § 19.35(3). Furthermore, Grota argues that the complexity of WIREdata's "enhanced" requests does not lend itself to a simplistic application of § 19.35(3). Grota explains that the price Pelkey had quoted to WIREdata of $6,600 was merely a business proposition that included substantial data formatting and annual updates to the data.
¶101 On review, WIREdata claims that Pelkey admitted that the database could be copied for substantially less than the $6,600 he requested. WIREdata alleges that Grota was attempting to charge a fee that would result in a profit. As a result, WIREdata argues that the fees that Grota attempted to charge the company exceeded the actual, necessary and direct costs allowed under Wis. Stat. § 19.35(3).
¶102 For the reasons discussed in detail below, we hold that, because no fees were actually charged to WIREdata for the information provided in the PDF format, the municipalities did not violate the open records law.
¶103 Wisconsin Stat. § 19.35(3)(a) states, "An authority may impose a fee upon the requester of a copy of a record which may not exceed the actual, necessary and direct cost of reproduction and transcription of the record, unless a fee is otherwise specifically established or authorized to be established by law." As a result, the authority may not make a profit on its response to an open records request.
¶104 As this court has noted, an authority under the open records law
"is not required, by itself, to bear the costs of producing documents in
response to [an open records law] request." Osborn, 254
¶105 The record reflects that, in early 2004, Assessment Technologies,
through Grota Appraisals, sent a copy in PDF format of
¶106 It is important to note that the record before us reflects that, at Grota's deposition, WIREdata's attorney conceded that WIREdata would have taken the requested data "in any format, in any digital mode." Additionally, WIREdata's Chief Technology Officer, Tom Curtis, agreed during his deposition that, unlike the "enhanced" requests, WIREdata's "initial" requests did not "say anything about comma delimited ASCII files[.]"
¶107 Because we do not have a sufficient record before us to determine what an appropriate fee would have been for the provision of "enhanced" data for all three municipalities, we will not address that issue further, except to note that nothing in this opinion should be viewed as changing or modifying our prior case law that an authority may charge fees only as provided under Wis. Stat. § 19.35(3)(a), fees that reflect the actual, necessary, and direct costs of providing the information. However, we agree with the comment in the amicus brief of the DOJ that an authority may charge a requester for the authority's actual costs in complying with the request, such as any computer programming expenses or any other related expenses. We reiterate that an authority may not make a profit, but an authority may recoup all of its actual costs.
¶108 In summary, we hold that, because no fees were actually charged for the information the municipalities provided to WIREdata in the PDF format, the municipalities did not violate the open records law.
IX
¶109 We hold as follows on the issues: based on the facts of the present case, WIREdata did not properly commence the mandamus actions against the municipalities under the open records law, pursuant to Wis. Stat. § 19.37(1), because the municipalities had not denied WIREdata's requests for the records before WIREdata filed the mandamus actions; WIREdata's initial written requests were not insufficient as a matter of law as to time and subject matter; a municipality's independent contractor assessor is not an authority under the open records law, so that the independent contractor assessor is not a proper recipient of an open records request; a municipality may not avoid liability under the open records law by contracting with an independent contractor assessor for the collection, maintenance, and custody of its property assessment records and by then directing any requester of those records to the independent contractor assessor who has custody of the sought-after records; the court of appeals was mistaken in concluding that the petitioners and the cross-petitioners had not fulfilled WIREdata's initial open records requests, once they produced PDF files with the requested information and gave those files to WIREdata; and, because no fees were actually charged for the information the municipalities provided to WIREdata in the PDF format, the municipalities did not violate the open records law. Accordingly, the municipalities are not liable for any damages in the present action.
¶110 We reverse in part and affirm in part the decision of the court of
appeals. WIREdata, Inc.,
298
By the Court.——The decision of the court of appeals is reversed in part and affirmed in part, and these cases are remanded to the circuit courts involved for actions consistent with this opinion.
¶111 LOUIS B. BUTLER, Jr., J., did not participate.
¶112 SHIRLEY S. ABRAHAMSON, C.J. (concurring). I join the majority opinion except Part III in which the majority opinion determines that the municipalities did not deny WIREdata's open records requests. Majority op. ¶49.[20]
¶113 All three municipalities referred WIREdata's open records request to
an independent contractor assessor.
¶114 Each
municipality's independent contractor assessor denied WIREdata's request for
the records after the receiving the request on referral from the
municipality.
¶115 Although I agree as a general matter with the majority opinion that "a communication from an independent contractor assessor should not be construed as a denial of an open records request,"[26] I do not agree that the same is true when an open records request is directed to a proper governmental authority under the open records law and the authority chooses to refer the request to an independent contractor assessor. The municipalities in the present case referred WIREdata's requests to their independent contractor assessors and thus must be held responsible for their assessors' responses to WIREdata's requests.
¶116 For the reasons set forth, I write separately on the issue of the relationship of the municipalities and assessors when a municipality refers an open record request to an assessor to respond on behalf of the municipality.
[1] WIREdata, Inc. v.
[2] American Family Insurance Company
intervened in WIREdata's action against
[3] All further references to the Wisconsin Statutes are to the 2005-06 version unless otherwise noted. We are utilizing the current version of the statutes so as to best provide guidance to future courts. There was only one instance where a relevant provision has been added since the commencement of these claims, and we note that one specific occurrence later in this opinion. No relevant provisions that are cited herein have changed since the commencement of these claims.
[4] We have combined the first issue presented by the petitioners ("Did the municipalities deny WireData's [sic] request prior to WireData [sic] filing the mandamus action?") and the third issue presented by the cross-petitioners ("Is a mandamus action properly commenced against municipalities under the Open Records Law pursuant to Wis. Stat. § 19.37(1) where the municipality never denied the request for records?") because they are largely duplicative.
[5] We have combined the fourth issue presented by the petitioners ("Are third party consultants, like Andrew Pelkey or Impact Consultants, proper recipients of an open records request?") and the first issue presented by the cross-petitioners ("Does an 'authority' under the Open Records Law . . . include a municipality's independent contractor assessor?") because they are largely duplicative.
[6] WIREdata's "enhanced" requests attempted to dictate that the data would be provided to the company in a particular computerized format, which included fixed length, pipe delimited, or comma-quote outputs. The "enhanced" requests included WIREdata's request for 49 specific fields of data per property.
[7] In its opinion, the Seventh Circuit stated:
To summarize, there are at least four possible methods by which WIRE data [sic] can obtain the data it is seeking without infringing AT's copyright; which one is selected is for the municipality to decide in light of applicable trade-secret, open-records, and contracts laws. The methods are: (1) the municipalities use Market Drive to extract the data and place it in an electronic file; (2) they use Microsoft Access to create an electronic file of the data; (3) they allow programmers furnished by WIREdata to use their computers to extract the data from their database——this is really just an alternative to WIREdata's paying the municipalities' costs of extraction, which the open-records law requires; (4) they copy the database file and give it to WIREdata to extract the data from.
Assessment Techs. of WI, LLC v. WIREdata, Inc., 350 F.3d 640, 647-48 (7th Cir. 2003).
[8] Apparently, Thiensville could not input data on its own, manipulate the data, format the data, or make any changes to the data.
[9] While the complaint was dated May 24, 2001, it was not filed with and stamped by the circuit court until May 30, 2001.
[10] This was a fictional party that WIREdata had included.
[11] The complaint was dated June 8, 2001, but the complaint was not filed with and stamped by the circuit court until June 12, 2001.
[12] State ex rel. Blum v. Bd.
of Educ., 209
[13] We note that the municipalities' offers of paper copies of the requested records demonstrated a good faith effort on the municipalities' part to provide WIREdata with the requested information quickly. We do not decide whether such paper copies would actually satisfy WIREdata's request.
[14] Wisconsin Stat. § 19.32(1dm)
was added to the
[15] Wisconsin Stat. § 19.42(13) defines "State public office[,]" which is not relevant to the present case.
[16] The independent contractor assessors here were incorporated as limited liability corporations.
[17] A later, coincidental viewing of an "enhanced" request, which was forwarded to a city's or a village's attorney by a contractor, was not sufficient to cure the lack of a proper submission of an "enhanced" request to the municipality itself.
[18] We do not address the issue of whether providing the data in written form would satisfy Wis. Stat. § 19.35(1)(b).
[19] The court of appeals'
decision on this point may have been misinterpreted by some commentators as
"compelling access to the original database that contained metadata that a
digital copy did not contain." See
Leanne Holcomb & James Isaac, Wisconsin's Public-Records Law: Preserving
the Presumption of Complete Public Access in the Age of Electronic Records,
2008 Wis. L. Rev. 515, 559, n.272. We
note that the court of appeals' decision on this issue did not specifically
discuss metadata, but merely stated that WIREdata must be given access to the
requested data "whatever its physical form or characteristics." WIREdata,
Inc., 298
[20] "If a municipality withholds a record or delays granting access, the
requester may immediately bring an action for mandamus seeking release of the
record." WTMJ, Inc. v. Sullivan,
204
[21] Majority op., ¶¶12, 28.
[22] Majoirty op., ¶36.
[23] Majority op., ¶¶12, 16.
Counsel for
[24] Majority op., ¶¶28, 31.
Alternatively, the record may be read to suggest that Grota Appraisals forwarded the Thiensville request to Richard Pelkey (just as it did for the Sussex request) and that Pelkey's demand for a $6,600 fee pertained to the request made upon Thiensville as well as to the request upon Sussex.
[25] Majority op., ¶37.
[26] Majority op., ¶77.