CHAPTER 4
PUBLIC RECORDS AND FAIR INFORMATION PRACTICES
The state public defender adopts the fair information practices segments of the Uniform Administrative Rules which are printed in the first volume of the Iowa Administrative Code with the following amendments:
493—4.1(17A,22) Definitions. As used in this chapter:
“Agency.” In lieu of the words “(official or body issuing these rules)”, insert “state public defender”.
493—4.3(17A,22) Requests for access to records.
	4.3(1) Location of record. In lieu of the words “(insert agency head)”, insert “state public defender”. In lieu of the words “(insert agency name and address)”, insert “Office of the State Public Defender, Lucas State Office Building, Des Moines, Iowa 50319-0087”.
	4.3(2) Office hours. In lieu of the words “(insert customary office hours and, if agency does not have customary office hours of at least thirty hours per week, insert hours specified in Iowa Code section 22.4)”, insert “8 a.m.	to 4:30 p.m., Monday through Friday, except legal holidays”.
	4.3(7) Fees.
	c. 	Supervisory fee. In lieu of the words “(specify time period)”, insert “one hour”.
493—4.6(17A,22) Procedures by which additions, dissents, or objections may be entered into certain records. In lieu of the words “(designate office)”, insert “the office of the state public defender”.
493—4.9(17A,22) Disclosures without the consent of the subject.
	4.9(1) Open records are routinely disclosed without the consent of the subject.
	4.9(2) To the extent allowed by law, disclosure of confidential records may occur without the consent of the subject. Following are instances where disclosure, if lawful, will generally occur without the consent of the subject:
	a. 	For a routine use as defined in rule 4.10(17A,22) or in the notice for a particular record system.
	b. 	To a recipient who has provided the agency with advance written assurance that the record will be used solely as a statistical research or reporting record, provided that the record is transferred in a form that does not identify the subject.
	c. 	To an individual pursuant to a showing of compelling circumstances affecting the health or safety of any individual if a notice of the disclosure is transmitted to the last known address of the subject.
	d. 	To the legislative services agency under Iowa Code section 2A.3.
	e. 	Disclosures in the course of employee disciplinary proceedings.
	f. 	In response to a court order or subpoena.
493—4.10(17A,22) Routine use. “Routine use” means the disclosure of a record without the consent of the subject or subjects for a purpose which is compatible with the purpose for which the record was collected. It includes disclosures required to be made by statute other than the public records law, Iowa Code chapter 22.
To the extent allowed by law, the following uses are considered routine uses of all agency records:
	1.	Disclosure to those officers, employees, and agents of the agency who have a need for the record in the performance of their duties. The custodian of the record may, upon request of any officer or employee, or on the custodian’s own initiative, determine what constitutes legitimate need to use confidential records.
	2.	Transfers of information within the agency, to other state agencies, or to local units of government as appropriate to administer the program for which the information is collected.
	3.	Information released to staff of federal and state entities for audit purposes or for purposes of determining whether the agency is operating a program lawfully.
	4.	Any disclosure specifically authorized by the statute under which the record was collected or maintained.
493—4.11(17A,22) Consensual disclosure of confidential records.
	4.11(1) Consent to disclosure by a subject individual. To the extent permitted by law, the subject may consent in writing to agency disclosure of confidential records as provided in rule 4.7(17A,22).
	4.11(2) Complaints to public officials. A letter from the subject of a confidential record to a public official which seeks the official’s intervention on behalf of the subject in a matter that involves the agency may, to the extent permitted by law, be treated as an authorization to release sufficient information about the subject to the official to resolve the matter.
493—4.12(17A,22) Release to subject.
	4.12(1) A written request to review confidential records may be filed by the subject of the record as provided in rule 4.6(17A,22). The agency need not release the following records to the subject:
	a. 	The identity of a person providing information to the agency need not be disclosed directly or indirectly to the subject of the information when the information is authorized to be held confidential pursuant to Iowa Code section 22.7(18) or other provision of law.
	b. 	Records need not be disclosed to the subject when they are the work product of an attorney or are otherwise privileged.
	c. 	Peace officers’ investigative reports may be withheld from the subject, except as required by the Iowa Code. (See Iowa Code section 22.7(5).)
	d. 	Others authorized by law.
	4.12(2) Where a record has multiple subjects with interest in the confidentiality of the record, the state public defender may take reasonable steps to protect confidential information relating to another subject.
493—4.13(17A,22) Availability of records.
	4.13(1) Open records. Agency records are open for public inspection and copying unless otherwise provided by rule or law.
	4.13(2) Confidential records. The following records may be withheld from public inspection. Records are listed by category, according to the legal basis for withholding them from public inspection.
	a. 	Sealed bids received prior to the time set for public opening of bids. (Iowa Code section 72.3)
	b. 	Tax records made available to the agency. (Iowa Code sections 422.20 and 422.72)
	c. 	Records which are exempt from disclosure under Iowa Code section 22.7.
	d. 	Minutes of closed meetings of a government body. (Iowa Code section 21.5(4))
	e. 	Identifying details in final orders, decisions and opinions to the extent required to prevent a clearly unwarranted invasion of personal privacy or trade secrets under Iowa Code section 17A.3(1)“d.”
	f. 	Records which constitute attorney work product, attorney-client communications, or which are otherwise privileged. Attorney work product is confidential under Iowa Code sections 22.7(4), 622.10 and 622.11, Iowa R.C.P. 122.11, the rules of evidence, the Code of Professional Responsibility, and case law. Attorney work product includes an itemization of work performed on an interim indigent defense fee claim form or claims resulting from a mistrial.
	g. 	Criminal investigative reports. (Iowa Code section 22.7(5))
	h. 	Any other records considered confidential by law.
493—4.14(22) Personally identifiable information. The state public defender maintains systems of records which contain personally identifiable information.
	4.14(1) By authority of Iowa Code chapter 13B, the appellate defender division maintains information and records relating to criminal and postconviction relief cases that are being appealed. Records contain names and identifying numbers of persons involved in these cases. Case information is stored in a data processing system and may be compared with information in any data processing system. By authority of Iowa Code section 910A.13, the names of child victims shall not be disclosed. Presentence investigation reports in the possession of the appellate defender are confidential records pursuant to Iowa Code section 901.4.
	4.14(2) Litigation files. Litigation files or records contain information regarding litigation or anticipated litigation, which include judicial and administrative proceedings. The records include briefs, depositions, docket sheets, documents, correspondence, attorney’s notes, memoranda, research materials, witness information, investigation materials, information compiled under the direction of the attorney, and case management records. The files contain materials which are confidential as attorney work product and attorney-client communications. Some materials are confidential under other applicable provisions of law or because of a court order. Persons wishing copies of pleadings and other documents filed in litigation should obtain them from the clerk of the appropriate court which maintains the official copy.
	4.14(3) Contracts. Contractual agreements are maintained by the state public defender. These records contain personally identifiable information when the agreement is with a specific individual. In those instances, the records include the name, address, and social security number of the contracting attorney. Other information in these records may include the proposal of the contracting attorney, budget figures, correspondence, and business information. Personally identifiable information is contained in a data processing system and may be compared with information in any data processing system.
	4.14(4) Personnel files. Personnel files contain information required for tax withholding, information concerning employee benefits, affirmative action reports, and other information concerning the employer-employee relationship. Some of this information is confidential under Iowa Code section 22.7(11).
493—4.15(17A,22) Other groups of records. Other groups of records are maintained by the state public defender other than the records described in rule 4.14(22). These records are routinely available to the public; however, the agencies’ files may contain confidential information. The records may contain information about individuals. All records are stored on paper and in some cases in automated data processing systems.
	4.15(1) Rule making. Rule-making records may contain information about individuals making written or oral comments on proposed rules. This information is collected pursuant to Iowa Code section 17A.4. This information is available for public inspection and is not stored in an automated data processing system.
	4.15(2) Commission records. Agendas, minutes, and materials presented to the indigent defense advisory commission are available from the office of the state public defender, except those records concerning closed sessions exempt under Iowa Code section 21.5(4). Commission records contain information about people who participate in meetings. This information is collected pursuant to Iowa Code section 21.3. This information is not retrieved by individual identifier and is not stored in an automated data processing system.
	4.15(3) Statistical reports. Periodic reports on the state public defender system and the delivery of indigent defense services are available from the office of the state public defender.
	4.15(4) Address lists. The names and mailing addresses of members of the indigent defense advisory commission are maintained by the office of the state public defender.
These rules are intended to implement Iowa Code sections 17A.3, 22.7 and 22.11.
[Filed emergency 10/7/92 after Notice 8/19/92—published 10/28/92, effective 10/7/92]
[Filed 1/31/02, Notice 12/26/01—published 2/20/02, effective 4/1/02]