22FC:0061 Williams Evans/Iowa Department of Revenue - Dismissal Order

Date:
07/21/2022

Subject:
Williams Evans/Iowa Department of Revenue - Dismissal Order

Opinion:

 

The Iowa Public Information Board

In re the Matter of: William Evans, Complainant And Concerning: Iowa Department of Revenue,  Respondent

Case Number: 22FC:0061                                                                  Dismissal Order

 

COMES NOW, Margaret E. Johnson, Executive Director for the Iowa Public Information Board (IPIB), and enters this Dismissal Order.

William Evans filed formal complaint 22FC:0061 on June 13, 2022, alleging that the Iowa Department of Revenue (IDR) violated Iowa Code chapter 22.

Mr. Evans alleged that on June 2, 2022, he requested the “documented reasons and rationale for the resignation in lieu of termination” of an IDR employee.  He further alleged that in response, he was told that the records were confidential personnel records.1

On June 17, 2022, Mr. Evans provided a copy of his original record request, dated May 3, 2022.  In his request, he asked for records indicating the “employment dates and documented reason and rationale for the departure” of a specific IDR employee and for disciplinary actions against the employee from January 1, 2018, until terminated.

In response to the complaint, the IDR provided additional communications from Mr. Evans, along with a statement that the records were confidential.  Copies of the records that were released on May 23, 2022, including a notice of resignation and employment dates, were also provided. 2

Iowa Code section 22.7(11) provides that personal information in an employee’s personnel file is confidential, except for specific information that must be released:

11. a. Personal information in confidential personnel records of government bodies relating to identified or identifiable individuals who are officials, officers, or employees of the government bodies. However, the following information relating to such individuals contained in personnel records shall be public records:

(1) The name and compensation of the individual including any written agreement establishing compensation or any other terms of employment excluding any information otherwise excludable from public information pursuant to this section or any other applicable provision of law. For purposes of this paragraph, “compensation” means payment of, or agreement to pay, any money, thing of value, or financial benefit conferred in return for labor or services rendered by an official, officer, or employee plus the value of benefits conferred including but not limited to casualty, disability, life, or health insurance, other health or wellness benefits, vacation, holiday, and sick leave, severance payments, retirement benefits, and deferred compensation.

(2) The dates the individual was employed by the government body.

(3) The positions the individual holds or has held with the government body.

(4) The educational institutions attended by the individual, including any diplomas and degrees earned, and the names of the individual’s previous employers, positions previously held, and dates of previous employment.

(5) The fact that the individual resigned in lieu of termination, was discharged, or was demoted as the result of a disciplinary action, and the documented reasons and rationale for the resignation in lieu of termination, the discharge, or the demotion.  For purposes of this subparagraph, "demoted" and "demotion" mean a change of an employee from a position in a given classification to a position in a classification having a lower pay grade. (Emphasis added.)

At issue is whether the information and records released by the IDR were sufficient pursuant to Iowa Code.  The IPIB issued an advisory opinion in 2018 that provided guidance on subsection 22.7(11)(a)(5):

In order to meet the new requirement in 22.7(11)(a)(5), government bodies must say which law, rule, or policy, if any, they believe the employee violated and provide at least one sentence about the behavior or incident that triggered the action.  The explanation should include details, such as the date(s) of alleged behavior, location, and how it was discovered.

A written documentation could be drafted in such a way that the employee and the public both know the reason for the disciplinary action and whether it was a resignation in lieu of termination, discharge, or demotion. The required information could then be released in fulfillment of Iowa law while still protecting confidential information contained within the personnel file such as statements made by co-workers or other confidential records under Iowa Code section 22.7.3

A copy of the advisory opinion was provided to both parties.  On June 28, 2022, the IDR released a copy of the June 23, 2021, discharge letter sent to the terminated employee.  This letter provided the specific reasons for discharge, including the dates of previous disciplinary actions.

The additional record released by the IDR met the requirements of Iowa Code section 22.7(11)(a)(5) and of IPIB advisory opinion AO 2018-0008.  

On June 28, 2022, Mr. Evans requested copies of previous written warnings or reprimands that are noted in the discharge letter released by IDR.  This record request was not included in the original complaint and, in all likelihood, is not required for release pursuant to Iowa Code section 22.7(11)(a)(5).4

Iowa Code section 23.8 requires that a complaint be within the IPIB’s jurisdiction, appear legally sufficient, and could have merit before the IPIB accepts a complaint.  Although IDR should have released more information in response to the initial record request, the matter has now been appropriately resolved.

IT IS SO ORDERED:  Formal complaint 22FC:0061 is dismissed due to the release of the records pursuant to Iowa Code section 23.8(2) and Iowa Administrative Rule 497-2.1(2)(b).  

Pursuant to Iowa Administrative Rule 497-2.1(3), the IPIB may “delegate acceptance or dismissal of a complaint to the executive director, subject to review by the board.”  The IPIB will review this Order on July 21, 2022.  Pursuant to IPIB rule 497-2.1(4), the parties will be notified in writing of its decision.

By the IPIB Executive Director

________________________________

Margaret E. Johnson, J.D.

1. Mr. Evans provided a copy of email communications he had with the IDR between June 2 and June 13, 2022.  The emails indicate that the IDR declined to provide the specific information required to be released by Iowa Code section 22.7(11)(a)(5).
2.  A copy of the employee’s notice of resignation was released to Mr. Evans, but it did not provide the Iowa Code section 22.7(11)(a)(5) information.
3. Advisory opinion AO 2018-0008, issued on May 17, 2018.
4. The June 23, 2021, termination letter indicates that previous disciplinary actions included a reprimand and 1, 3, or 5 day work suspension, but not a demotion as necessary to require the release of such information.

CERTIFICATE OF MAILING

This document was sent by electronic mail on the ___ day of July, 2022, to:

William Evans

John Fuller, Iowa Department of Revenue