Iowa Admin. Code r. 261-195.3 - Access to confidential records
The following procedures for access to confidential records are in addition to those specified for all authority records in rule 261-195.2 (15,22).
(1) A person requesting access to a
confidential record may be required to provide proof of identity or authority
if access to the record is limited to a particular person or class of
persons.
(2) The authority may
require a request for access to a confidential record to be in writing. A
person requesting access to a confidential record may be required to sign a
certified statement or affidavit enumerating the specific grounds justifying
access to the confidential record and to provide any proof necessary to
establish relevant facts.
(3) When
the authority denies a request for access to a confidential record, in whole or
in part, the requester shall be notified in writing. The written notice will
include:
a. The name and title or position of
the person or persons responsible for the denial; and
b. A brief statement of the grounds for the
denial, including a citation to the applicable provision of law vesting
authority in the authority to deny disclosure of the record.
(4) When the authority grants a
request for access to a confidential record to a particular person, the
authority will indicate any lawful restrictions imposed by the authority on
that person's examination and copying of the record.
Notes
State regulations are updated quarterly; we currently have two versions available. Below is a comparison between our most recent version and the prior quarterly release. More comparison features will be added as we have more versions to compare.
(1) Location of record . A request for access to a record should be directed to the Director 's Office, Iowa Department of Economic Development, 200 East Grand Avenue, Des Moines, Iowa 50309. If a request for access to a record is misdirected, agency personnel will promptly forward the request to the appropriate person within the agency .
(2) Office hours. Open records shall be made available during all customary office hours, which are 8 a.m. to 4:30 p.m. daily, excluding Saturdays, Sundays and legal holidays.
(3) Request for access to open records.
a. Requests for access to open records may be made in writing, in person, electronically, or by telephone.
b. Mail or telephone requests shall include the name, address, telephone number, and the E-mail address (if available) of the person requesting the information. A person shall not be required to give a reason for requesting an open record .
c. For all requested records, the person making the request shall set forth all available information that would assist in locating the records.
d. The request shall set out the maximum search fee the requester is prepared to pay. If the maximum search fee is reached before all the requested records have been located and copied, the requester shall be notified and asked for further directions before the search proceeds.
(4) Response to requests.
a. Timing. Access to an open record shall be provided promptly upon request unless the size or nature of the request makes prompt access infeasible. Advance requests to have records available on a certain date may be made by telephone or correspondence. If the size or nature of the request for access to an open record requires time for compliance, the custodian shall comply with the request as soon as feasible. Records will be produced for inspection at the earliest date possible following the request. Records should be inspected within ten business days after notice is given that the records have been located and are available for inspection. After ten business days, the records will be returned to storage and additional costs may be imposed for having to produce them again.
b. Reasonable delay. Access to an open record may be delayed for one of the purposes authorized by:
(1) Iowa Code section 228(4)., which includes good faith delay to seek an injunction or determine if the agency is entitled to seek an injunction; for the agency to determine if the public records are confidential; to determine if the confidential record should be made available (a reasonable delay for this purpose shall not exceed 20 calendar days and ordinarily should not exceed 10 business days); or
(2) Iowa Code section 2210(4). (civil enforcement).
c. Notice to requester. The custodian shall promptly give notice to the requester of the reason for any delay in access to an open record and an estimate of the length of that delay and, upon request, shall promptly provide that notice to the requester in writing.
d. Denial of access to records. The custodian of a record may deny access to the record by members of the public only on the grounds that such a denial is warranted under Iowa Code sections 228(4). and 2210(4)., or that it is a confidential record , or that its disclosure is prohibited by a court order. Access by members of the public to a confidential record is limited by law and, therefore, may generally be provided only in accordance with the provisions of rule 195.4(17A,22) and other applicable provisions of law.
e. Federal requirements. The agency administers several federal programs and is authorized by Iowa Code section 229. to enforce confidentiality standards from federal law and regulations as are required for receipt of federal funds. Access to records covered by federal confidentiality requirements will not be permitted to the extent that examination or copying of such records would cause the denial of federal funds, services or essential information from the U.S. government that would otherwise be available to the agency .
(5) Security of record . No person may, without permission from the custodian , search or remove any record from agency files. Examination and copying of agency records shall be supervised by the custodian or a designee of the custodian . Records shall be protected from damage and
disorganization. Individuals will not be given access to the area where the records are kept and will not be permitted to search the files.
(6) Copying. A reasonable number of copies of an open record may be made in the agency 's office. If photocopy equipment is not available in the agency office where an open record is kept, the custodian shall permit its examination in that office and shall arrange to have copies promptly made elsewhere.
(7) Access to records for examination and copying.
a. Location. As specified in Iowa Code section 223., the agency will provide a suitable place for examination of public records. If it is impracticable to do the work at the agency 's office at 200 East Grand Avenue, Des Moines, Iowa, the person desiring to examine or copy shall pay all necessary expenses of providing a place for the work. All expenses of the work shall be paid by the person desiring to examine or copy the records.
b. Paper files. Hard copies of public records will be made available for examination and copying.
c. Electronic files. The agency will take reasonable steps to provide on-site access to electronically stored public records. To the extent the agency 's technology permits, electronic records, including E-mail, will be made available through a secure, on-site computer terminal. If a requester prefers, copies of electronic records located during a records search will be provided and copying fees will apply.
d. Data processing software. Reserved.
e. Tapes. Public records maintained in the form of cassette, videotape or similar form are available for public examination. Upon request, copies of tapes will be made available, and the individual requesting the tape will bear all actual costs of copying.
f.Mixed records. If a record contains both public and confidential information, the agency will remove the confidential material before making it available for examination or copying. For paper files, a copy of the original will be made and the confidential material will be marked out. Copying fees will apply. For electronic files, if the agency is technologically able to block access to fields containing confidential materials, records will be made available as described in paragraph 195.3(7)"c" above.
(8) Fees.
a. When charged. The agency may charge fees in connection with the examination, search, retrieval, restoration or copying of records. To the extent permitted by applicable provisions of law, the payment of fees may be waived in the case of small requests often or fewer copies when the imposition of fees is inequitable or when a waiver is in the public interest.
b. Copying faxing and postage costs. Price schedules for published materials and for photocopies of records supplied by the agency shall be prominently posted in agency offices. Copies of records may be made by or for members of the public on agency photocopy machines or from electronic storage systems at cost as determined and posted in agency offices by the custodian . When the mailing of copies of records is requested, the actual costs of such mailing may also be charged to the requester. Actual costs to fax a document may also be charged to the requester.
c. Search and supervisory fee. An hourly fee may be charged for actual agency expenses in searching for, and supervising the examination and copying of, requested records when the time required is in excess of one hour. The fee shall be based upon the pay scale of the employee involved and other actual costs incurred. The agency shall post in agency offices the hourly fees to be charged in routine cases for search and supervision of records. The agency shall give advance notice to the requester if it will be necessary to use an employee with a higher hourly wage in order to find or supervise the examination and copying of particular records in question, and shall indicate the amount of that higher hourly wage to the requester.
d. Computer-stored information. All costs (including staff time) for retrieval, restoration and copying of information stored in electronic storage systems will be charged to the requester.
e. Advance deposits.
(1) When the estimated total fee chargeable under this subrule exceeds $25, the custodian may require a requester to make an advance payment to cover all or a part of the estimated fee.
(2) When a requester has previously failed to pay a fee chargeable under this subrule, the custodian may require advance payment of the full amount of any estimated fee before the custodian processes a new request from that requester.