CHAPTER 2
PUBLIC RECORDS AND FAIR INFORMATION PRACTICES
561—2.1(17A,22) Purpose and scope.
	2.1(1) This chapter implements Iowa Code section 22.11 by establishing agency policies and procedures for the maintenance of records. The purpose of this chapter is to facilitate public access to open records. It also seeks to facilitate sound agency determinations with respect to the handling of confidential records and the implementation of the fair information practices Act. This agency is committed to the policies set forth in Iowa Code chapter 22; agency staff shall cooperate with members of the public in implementing the provisions of that chapter.
	2.1(2) This chapter does not:
	a. 	Require the agency to index or retrieve records which contain information about individuals by that person’s name or other personal identifier.
	b. 	Make available to the general public records which would otherwise not be available under the public records law, Iowa Code chapter 22.
	c. 	Govern the maintenance or disclosure of, notification of or access to, records in the possession of the agency which are governed by the regulations of another agency.
	d. 	Apply to grantees, including local governments or subdivisions thereof, administering state-funded programs, unless otherwise provided by law or agreement.
	e. 	Make available records compiled in reasonable anticipation of court litigation or formal administrative proceedings. The availability of such records to the general public or to any subject individual or party to such litigation or proceedings shall be governed by applicable legal and constitutional principles, statutes, rules of discovery, evidentiary privileges, and applicable regulations.
	2.1(3) This chapter applies to the department of natural resources.
561—2.2(17A,22) Definitions. As used in this chapter:
“Agency” means the department of natural resources.
“Confidential record” means a record which is not available as a matter of right for examination and copying by members of the public under applicable provisions of law. Confidential records include records or information contained in records that the agency is prohibited by law from making available for examination by members of the public, and records or information contained in records that are specified as confidential by Iowa Code section 22.7 or other provision of law, but that may be disclosed upon order of a court, the lawful custodian of the record, or by another person duly authorized to release the record. Mere inclusion in a record of information declared confidential by an applicable provision of law does not necessarily make that entire record a confidential record.
“Custodian” means the department of natural resources, or a person lawfully delegated authority by its director to act for the agency in implementing Iowa Code chapter 22.
“Open record” means a record other than a confidential record.
“Personally identifiable information” means information about or pertaining to an individual in a record which identifies the individual and which is contained in a record system.
“Record” in these rules means the whole or a part of a “public record” as defined in Iowa Code section 22.1.
“Record system” means any group of records under the control of the agency from which a record may be retrieved by a personal identifier such as the name of an individual, number, symbol or other unique retriever assigned to an individual.
561—2.3(17A,22) Requests for access to records.
	2.3(1)  Location of record. A request for access to a record should be directed to the custodian or the particular agency office where the record is kept. If the location of the record is not known by the requester, the request shall be directed to the Director, Department of Natural Resources, 502 East Ninth Street, Wallace State Office Building, Des Moines, Iowa 50319-0034. If a request for access to a record is misdirected, agency personnel will promptly forward the request to the appropriate person within the agency.
	2.3(2)  Office hours. Open records shall be made available during all customary office hours which are 8 a.m.	to 4:30 p.m., Monday through Friday, except legal holidays.
	2.3(3)  Request for access. Requests for access to open records may be made in writing or in person. The office may also accommodate telephone requests where appropriate. Requests shall identify the particular records sought by name or description in order to facilitate the location of the record. Mail or telephone requests shall include the name, address and telephone number of the person requesting the information. A person shall not be required to give a reason for requesting an open record.
	2.3(4)  Response to requests. Access to an open record shall be provided promptly upon request unless the size or nature of the request makes prompt access infeasible. 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. Access to an open record may be delayed for one of the purposes authorized by Iowa Code section 22.8(4) or 22.10(4). 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.
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 22.8(4), 22.10(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 2.4(17A,22) and other applicable provisions of law.
	2.3(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.
	2.3(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.
	2.3(7)  Fees.
	a. 	When charged. To the extent permitted by applicable provisions of law, the payment of fees may be waived in the case of small requests of five or fewer copies, when the imposition of fees is inequitable, or when a waiver is in the public interest. Charges for examination or copies requested in writing by a person in a capacity as representative of another governmental entity or where copies are provided under provisions of a written agency contract may be waived.
	b. 	Copying and postage costs. Anyone making a request for reproduction of the department’s records will pay for services at the following rates, in addition to postage and handling as determined by the agency:
	(1)	Photocopies (direct copies on 8½″ × 11″, 8½″ × 14″, or 11″ × 17″ paper)—40 cents per page.
	(2)	Paper copy from microfilm records—40 cents per page.
	(3)	The actual reproduction cost will be charged for any blueprint, picture, oral tape or any other work product not subject to photocopying.
	(4)	Fax—$1 per faxed page.
	(5)	Computer stored information. Computer stored information is available according to the fee schedule maintained by the administrative services division of the department. The fee schedule shall be available at the following locations: fifth floor record centers, Wallace State Office Building, and on the department’s Internet Web site, http://www.state.ia.us/dnr/administrative.
	c. 	Supervisory fee. An hourly fee may be charged for actual agency expenses in supervising the examination and copying of requested records when the supervision time required is in excess of one-half hour. The custodian shall prominently post in agency offices the hourly fee to be charged for supervision of records during examination and copying. That hourly fee shall not be in excess of the hourly wage of an agency clerical employee who ordinarily would be appropriate and suitable to perform this supervisory function.
	d. 	Search fees. If the request requires research or if the record or records cannot reasonably be readily retrieved by the office, the requester will be advised of this fact. Reasonable search fees may be charged where appropriate. In addition, all costs for retrieval and copying of information stored in electronic storage systems may 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.
561—2.4(17A,22) Access to confidential records. Under Iowa Code section 22.7 or other applicable provisions of law, the lawful custodian may disclose certain confidential records to one or more members of the public. Other provisions of law authorize or require the custodian to release specified confidential records under certain circumstances or to particular persons. In requesting the custodian to permit the examination and copying of such a confidential record, the following procedures apply and are in addition to those specified for requests for access to records in rule 2.3(17A,22).
	2.4(1) Proof of identity. A person requesting access to a confidential record may be required to provide proof of identity or authority to secure access to the record.
	2.4(2) Requests. The custodian may require that a request to examine and copy a confidential record be in writing. A person requesting access to such a record may be required to sign a certified statement or affidavit enumerating the specific reasons justifying access to the confidential record and to provide any proof necessary to establish relevant facts.
	2.4(3) Notice to subject of record and opportunity to obtain injunction. After the custodian receives a request for access to a confidential record, and before the custodian releases such a record, the custodian may make reasonable efforts to notify promptly any person who is a subject of that record, is identified in that record, and whose address or telephone number is contained in that record. To the extent such a delay is practicable and in the public interest, the custodian may give the subject of such a confidential record to whom notification is transmitted a reasonable opportunity to seek an injunction under Iowa Code section 22.8, and indicate to the subject of the record the specified period of time during which disclosure will be delayed for that purpose.
	2.4(4) Request denied. When the custodian denies a request for access to a confidential record, the custodian shall promptly notify the requester. If the requester indicates to the custodian that a written notification of the denial is desired, the custodian shall promptly provide such a notification that is signed by the custodian and that includes:
	a. 	The name and title or position of the custodian responsible for the denial; and
	b. 	A citation to the provision of law vesting authority in the custodian to deny disclosure of the record and a brief statement of the reasons for the denial to this requester.
	2.4(5) Request granted. When the custodian grants a request for access to a confidential record to a particular person, the custodian shall notify that person and indicate any lawful restrictions imposed by the custodian on that person’s examination and copying of the record.
	2.4(6) Notwithstanding any other provision, the following information will not be considered confidential by the department:
	a. 	Emission data;
	b. 	Analytical results of monitoring or public water supply systems;
	c. 	Name and address of any permit applicant;
	d. 	NPDES permits, applications (including any information required by NPDES application forms) and effluent data.
561—2.5(17A,22) Requests for treatment of a record as a confidential record and its withholding from examination. The custodian may treat a record as a confidential record and withhold it from examination only to the extent that the custodian is authorized by Iowa Code section 22.7, another applicable provision of law, or a court order, to refuse to disclose that record to members of the public.
	2.5(1) Persons who may request. Any person who would be aggrieved or adversely affected by disclosure of a record and who asserts that Iowa Code section 22.7, another applicable provision of law, or a court order, authorizes the custodian to treat the record as a confidential record, may request the custodian to treat that record as a confidential record and to withhold it from public inspection.
	2.5(2) Request. A request that a record be treated as a confidential record and be withheld from public inspection shall be in writing and shall be filed with the custodian. The request must set forth the legal and factual basis justifying such confidential record treatment for that record, and the name, address, and telephone number of the person authorized to respond to any inquiry or action of the custodian concerning the request. A person requesting treatment of a record as a confidential record may also be required to sign a certified statement or affidavit enumerating the specific reasons justifying the treatment of that record as a confidential record and to provide any proof necessary to establish relevant facts. Requests for treatment of a record as such a confidential record for a limited time period shall also specify the precise period of time for which that treatment is requested.
A person filing such a request shall, if possible, accompany the request with a copy of the record in question from which those portions for which such confidential record treatment has been requested have been deleted. If the original record is being submitted to the agency by the person requesting such confidential treatment at the time the request is filed, the person shall indicate conspicuously on the original record that all or portions of it are confidential.
	2.5(3) Failure to request. Failure of a person to request confidential record treatment for a record does not preclude the custodian from treating it as a confidential record. However, if a person who has submitted business information to the agency does not request that it be withheld from public inspection under Iowa Code section 22.7(3) or 22.7(6), the custodian of records containing that information may proceed as if that person has no objection to its disclosure to members of the public.
	2.5(4) Timing of decision. A decision by the custodian with respect to the disclosure of a record to members of the public may be made when a request for its treatment as a confidential record that is not available for public inspection is filed, or when the custodian receives a request for access to the record by a member of the public.
	2.5(5) Request granted or deferred. If a request for such confidential record treatment is granted, or if action on such a request is deferred, a copy of the record from which the matter in question has been deleted and a copy of the decision to grant the request or to defer action upon the request will be made available for public inspection in lieu of the original record. If the custodian subsequently receives a request for access to the original record, the custodian will make reasonable and timely efforts to notify any person who has filed a request for its treatment as a confidential record that is not available for public inspection of the pendency of that subsequent request.
	2.5(6) Request denied and opportunity to seek injunction. If a request that a record be treated as a confidential record and be withheld from public inspection is denied, the custodian shall notify the requester in writing of that determination and the reasons therefor. On application by the requester, the custodian may engage in a good faith, reasonable delay in allowing examination of the record so that the requester may seek injunctive relief under the provisions of Iowa Code section 22.8 or other applicable provision of law. However, such a record need not be withheld from public inspection for any period of time if the custodian determines that the requester had no reasonable grounds to justify the treatment of that record as a confidential record. The custodian shall notify the requester in writing of the time period allowed to seek injunctive relief or the reason for the determination that no reasonable grounds exist to justify the treatment of that record as a confidential record. The custodian may extend the period of good faith, reasonable delay in allowing examination of the record so that the requester may seek injunctive relief only if no request for examination of that record has been received, or if a court directs the custodian to treat it as a confidential record, or to the extent permitted by another applicable provision of law, or with the consent of the person requesting access.
	2.5(7) Processing of business confidentiality claims.
	a. 	Applicability/availability. Businesses which provide information to the department in applications, reports or otherwise in recorded form, or from or about which information is obtained and recorded by the department, may request that information not be disclosed to others for reasons of business confidentiality. Until such time as a request for confidentiality is received by the department, all information not within subrule 2.4(6) will be available to the public pursuant to subrule 2.3(3). If a claim is received after the information itself is received, the department will make such efforts as are administratively practicable to associate the claim with all copies of the previously received information. However, the department cannot ensure that such efforts will be effective, in light of the possibility of prior disclosure or dissemination of the information beyond the department’s reasonable control.
	b. 	Form. A business which submits information to the department may assert a business confidentiality claim in the manner prescribed in the application or instruction, if any, otherwise by placing on or attaching to the information, at the time it is submitted, a cover sheet, stamped or typed legend, or other suitable form of notice employing language such as “trade secret,” “proprietary,” or “company confidential.” When only a portion of the information is claimed to be confidential, only that portion shall be deleted from the application, report or other recorded submission, with appropriate reference to a separate claim for business confidentiality, which separate claim shall be submitted as specified above. If a request not to disclose information is filed with the department, the party shall file together with the document a second copy of the document from which has been deleted the information for which such party wishes to claim confidential treatment. The business shall conspicuously indicate on the face of the original document that it is confidential information and shall file a claim for confidential status in accordance with the provisions of 2.5(7)“c.”
A business which has reason to believe that the department has received information which the business asserts to be confidential may request that such information, described with reasonable specificity, be maintained as confidential, in the same manner as specified above.
	c. 	Contents of claim. All claims for confidentiality must be substantiated with the following information:
	(1)	A statement of all measures the business has taken to protect the confidentiality of the information, and a statement of intent to continue to take such measures;
	(2)	Practices and policies of other businesses, if known, regarding confidentiality of similar information;
	(3)	A statement that the information is not, and has not been, reasonably attainable without the consent of the business by other persons other than government bodies by use of legitimate means;
	(4)	A statement demonstrating that disclosure of the information is likely to cause substantial harm to the business’s competitive position;
	(5)	A reference to any other determinations of confidential status of the information or similar information.
	d. 	Initial action by department. All claims will be reviewed within ten days of receipt for completeness and applicability of subrule 2.4(6). If the claim does not include the substantiation required by 2.5(7)“c,” or if the claim relates to information within 2.4(6), the business making the claim will be so notified by certified mail. If the substantiation or comment regarding the inapplicability of 2.4(6) is not received by the department within ten days of the date on the return receipt, the department will place the information in the public file. Otherwise, all information claimed to be confidential will be treated as such by the department until further notice. A timely response from the notice under this paragraph will be ruled on by the department within ten days, based on the applicability of 2.4(6) or compliance with 2.5(7)“c” as appropriate.
	e. 	Initiation of official determination. All claims not rejected under 2.5(7)“d” shall receive an official determination when a request for disclosure covering such information is received by the department or when the department deems it advisable to make a determination because a request for disclosure is likely to be received or because of administrative burdens in maintaining the information confidential. The procedures and criteria below shall be followed.
	f. 	Substantive criteria for use in confidentiality determinations. Determinations shall hold that business information is entitled to confidential treatment for the benefit of a particular person if:
	(1)	The business has taken and intends to continue to take reasonable measures to protect the confidentiality of the information;
	(2)	The information is not readily obtainable by others by legitimate means;
	(3)	The claim is not unreasonable in view of the nature of the information, the interests, and normal practices of the business, and the practices of other businesses;
	(4)	No statute or rule specifically requires disclosure of the information; and
	(5)	There is a substantial likelihood that disclosure of the information would cause substantial harm to the competitive position of the business.
Prior determinations by the courts, the department or other agencies on the information or similar information shall be given due consideration and effect.
	g. 	Preliminary determination—opportunity for comment. The department shall transmit its preliminary determination regarding a claim for business confidentiality to the claimant by certified mail, notifying the claimant of the opportunity to provide comments within ten days subject to reasonable extension upon written request, and that failure to comment will be construed to indicate agreement with the preliminary determination. If the determination is in response to a request for disclosure, the person requesting the disclosure shall be sent a similar notice in the same manner within ten days of the request.
	h. 	Final determination. A final decision shall be issued within ten days after the close of the comment period to the preliminary determination. If any substantial comments are received, the final decision shall be made by the director or designee. If no substantial comments are received, the claimant and the person requesting disclosure, if any, shall be notified that the preliminary determination is the final decision.
	i. 	All procedures within this rule shall not be considered contested case proceedings as provided in Iowa Code chapter 17A.
561—2.6(17A,22) Procedure by which additions, dissents or objections may be entered into certain records. Except as otherwise provided by law, a person may file a request with the custodian to review, and to have a written statement of additions, dissents or objections entered into, a record containing personally identifiable information pertaining to that person. However, this does not authorize a person who is a subject of such a record to alter the original copy of that record or to expand the official record of any agency proceeding. Requester shall send the request to review such a record or the written statement of additions, dissents or objections to the custodian or to the attorney general. The request to review a written statement must be dated and signed by requester, and shall include the current address and telephone number of the requester or the requester’s representative.
561—2.7(17A,22) Consent to disclosure by the subject of a confidential record. To the extent permitted by any applicable provision of law, a person who is the subject of a confidential record may have a copy of the portion of that record concerning the subject disclosed to a third party. A request for such a disclosure must be in writing and must identify the particular record or records that may be disclosed, and the particular person or class of persons to whom the record may be disclosed (and, where applicable, the time period during which the record may be disclosed). The person who is the subject of the record and, where applicable, the person to whom the record is to be disclosed, may be required to provide proof of identity. (Additional requirements may be necessary for special classes of records.) Appearance of counsel on behalf of a person who is the subject of a confidential record is deemed to constitute consent for the agency to disclose records about that person to the person’s attorney.
561—2.8(17A,22) Notice to suppliers of information. When an agency form requests a person to supply information about that person, the agency shall notify the person of the use that will be made of the information, which persons outside the agency might routinely be provided this information, which parts of the requested information are required and which are optional, and the consequences of a failure to provide the information requested. This notice may be given in these rules, on the written form used to collect the information, on a separate fact sheet or letter, in brochures, in formal agreements, in contracts, in handbooks, in manuals, verbally or by other appropriate means. Notice need not be given in connection with discovery requests in litigation or administrative proceedings, subpoenas, investigations of possible violations of law or similar demands for information.
561—2.9(17A,22) Disclosures without the consent of the subject.
	2.9(1) Open records are routinely disclosed without the consent of the subject.
	2.9(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 notice to the subject:
	a. 	For a routine use as defined in rule 2.10(17A,22) or in any 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 another government agency or to an instrumentality of any governmental jurisdiction within or under the control of the United States for a civil or criminal law enforcement activity if the activity is authorized by law, and if an authorized representative of such government agency or instrumentality has submitted a written request to the agency specifying the record desired and the law enforcement activity for which the record is sought.
	d. 	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.
	e. 	To the legislative services agency under Iowa Code section 2A.3.
	f. 	Disclosures in the course of employee disciplinary proceedings.
	g. 	In response to a court order or subpoena.
561—2.10(17A,22) Routine use.
	2.10(1) Defined. “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.
	2.10(2) To the extent allowed by law, the following uses are considered routine uses of all agency records:
	a. 	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.
	b. 	Disclosure of information indicating an apparent violation of the law to appropriate law enforcement authorities for investigation and possible criminal prosecution, civil court action or regulatory order.
	c. 	Disclosure to the agency or officer which this office is advising or representing in the matter in question or to the department of inspections and appeals for matters in which it is performing services or functions on behalf of the agency.
	d. 	Transfer 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.
	e. 	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.
	f. 	Any disclosure specifically authorized by the statute under which the record was collected or maintained.
561—2.11(17A,22) Consensual disclosure of confidential records.
	2.11(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 2.7(17A,22).
	2.11(2) Complaints to public officials. A letter from a 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.
561—2.12(17A,22) Release to subject.
	2.12(1) The subject of a confidential record may file a written request to review confidential records about that person as provided in rule 2.6(17A,22). However, 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. 	As otherwise authorized by law.
	2.12(2) Where a record has multiple subjects with interest in the confidentiality of the record, the agency may take reasonable steps to protect confidential information relating to another subject.
561—2.13(17A,22) Availability of records.
	2.13(1) General. Agency records are open for public inspection and copying unless otherwise provided by rule or law.
	2.13(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;
	b. 	Tax records made available to the agency;
	c. 	Records which are exempt from disclosure under Iowa Code section 22.7;
	d. 	Minutes of closed meetings of a government body;
	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. 	Those portions of agency staff manuals, instructions or other statements issued which set forth criteria or guidelines to be used by staff in auditing, in making inspections, in settling commercial disputes or negotiating commercial arrangements, or in the selection or handling of cases such as operational tactics or allowable tolerances or criteria for the defense, prosecution or settlement of cases when disclosure of these statements would:
	(1)	Enable law violators to avoid detection;
	(2)	Facilitate disregard of requirements imposed by law; or
	(3)	Give a clearly improper advantage to persons who are in an adverse position to the agency.
	g. 	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(c), Fed R. Civ.	P. 26(b)(3), and case law. Attorney-client communications are confidential under Iowa Code sections 622.10 and 622.11, the rules of evidence, the Code of Professional Responsibility, and case law.
	h. 	Any other records made confidential by law.
	2.13(3) Authority to release confidential records. The agency may have discretion to disclose some confidential records which are exempt from disclosure under Iowa Code section 22.7 or other law. Any person may request permission to inspect records withheld from inspection under a statute which authorizes limited or discretionary disclosure as provided in rule 2.4(17A,22). If the agency initially determines that it will release such records, the agency may where appropriate notify interested parties and withhold the records from inspection as provided in subrule 2.4(3).
561—2.14(17A,22) Personally identifiable information. This rule describes the nature and extent of personally identifiable information which is collected, maintained, and retrieved by the agency by personal identifier in record systems as defined in rule 2.2(17A,22). For each record system, this rule describes the legal authority for the collection of that information, the means of storage of that information and indicates whether a data processing system matches, collates, or permits the comparison of personally identifiable information in one record system with personally identifiable information in another record system. Records maintained by the department of natural resources, the environmental protection commission and the natural resource commission are in accordance with guidelines as set forth by the state records commission’s file system. An updated index is maintained by the department and is available for public inspection. Records are collected pursuant to authorities contained in Iowa Code chapters 106, 107, 109, 109B, 110, 110A, 110B, 111, 111A, 111B, 112, 321G, 458A, 460A and Iowa Code Title XI, subtitles 1, 2, 3, 4 and 6. Agency records may include but are not limited to the following:
	2.14(1) Department of natural resources.
	a. 	Administration, organization, and management.
	(1)	Organization and management.
	(2)	Planning and programming.
	(3)	Administrative reports.
	(4)	Insurance and bonding.
	(5)	Departmental emergency planning.
	(6)	Correspondence and reference materials.
	(7)	Information and public relations.
	b. 	Budgets, accounting and financial analysis.
	(1)	Budget information.
	(2)	Accounting.
	(3)	Cost accounting.
	c. 	Office services and facilities management.
	(1)	Communications.
	(2)	Printing and reproduction.
	(3)	Records management.
	(4)	Motor pool operations.
	(5)	Facilities management.
	(6)	Engineering and construction.
	d. 	Equipment, supplies, and services.
	(1)	Procurement.
	(2)	Property accountability.
	e. 	Legislative and legal.
	(1)	Department legislative liaison.
	(2)	Bills, joint resolutions, amendments, messages and reports.
	(3)	Federal government.
	(4)	Administrative procedures.
	(5)	Attorney general opinions and research materials.
	(6)	Claims against the state.
	(7)	Lawsuits filed by the state.
	(8)	28E agreements.
	f. 	Personnel and payroll.
	(1)	Employee personnel/payroll files.
	(2)	Merit rules.
	(3)	Payroll administration.
	(4)	Position classification.
	(5)	Preemployment.
	(6)	Certification and selection.
	(7)	Scheduling, assignments, working hours.
	(8)	Grievances.
	(9)	Training and education.
	(10)	Employee benefits and welfare.
	(11)	Employment relations.
	(12)	Equal employment opportunity.
	(13)	Management improvement programs.
	(14)	Delegation of authority and signature authorization.
	g. 	Conservation and environment.
	(1)	Geology.
	1.	Surface and groundwater monitoring.
	2.	Water and mineral resources databases.
	3.	Natural resources GIS library.
	4.	Oil/gas exploration and drilling.
	(2)	Energy conservation.
	1.	Building energy management program database.
	2.	Technical engineering analysis.
	3.	Life cycle cost analysis.
	4.	State facilities energy use/energy management data.
	5.	Energy suppliers list.
	6.	Renewable energy facilities list.
	(3)	Water conservation.
	(4)	Land conservation.
	(5)	Soil conservation.
	(6)	Forestry management.
	(7)	Fish and game conservation.
	(8)	Recreation.
	(9)	Environmental technology.
	(10)	Air quality monitoring.
	(11)	Water quality monitoring.
	(12)	Land quality monitoring.
	(13)	Hazardous material planning.
	1.	Hazardous waste management.
	2.	Underground storage tanks.
	3.	Leaking underground storage tanks.
	(14)	Radioactive materials.
	(15)	Environmental—interdisciplinary.
Records are stored on paper, microfilm, microfiche, and, in some cases, automated data processing systems.
	2.14(2) Natural resource commission.
	a. 	Tort claims investigations.
	b. 	Numerous licensing files.
	c. 	Lifetime licenses.
	d. 	Boat registrations.
	e. 	Docks, mooring, buoys or raft registrations.
	f. 	Snowmobile registrations.
	g. 	Miscellaneous mailing list (magazine, etc.).
	h. 	Payroll and personnel information system.
	i. 	Fur buyer reports.
	j. 	Fish and game violations.
	k. 	Safety certified students (hunter safety, snowmobile safety, boating safety).
	l. 	Special events applications and permits.
	m. 	Snowmobile accident reports.
	n. 	Boating accident reports.
	o. 	Drowning reports.
	p. 	Timber buyer reports and bonds.
	q. 	Work programs with ISU.
	r. 	Timber management and forestry.
	s. 	State park ranger violation reports.
	t. 	Incident reports.
	u. 	Donations.
	v. 	Real estate acquisition.
	w. 	Encroachments.
	x. 	Campground host program.
	y. 	Law enforcement intelligence network (LEIN) and turn in poachers (TIP).
	z. 	Park leases and concessions.
All the above-listed records are collected pursuant to the authority of Iowa Code chapters 106, 107, 109, 109B, 110, 110A, 110B, 111, 111A, 111B, 112, 321G, 350, 456A, 461A, 462A, 464A, 465C, 481A, 482, 483A and 484A.
Records are stored on paper, microfilm, microfiche, and, in some cases, automated data processing systems.
	2.14(3) Energy bureau.
	a. 	Payroll and personnel information system. Grants programs. See professional service agreements.
	b. 	Building energy maintenance program. All of the above-listed records are collected pursuant to the authority of Iowa Code chapter 473. All are stored in paper form with those noted by an asterisk also stored in electronic form. None of the information can be matched, collated or compared.
	2.14(4) Geological survey bureau (Iowa City).
	a. 	Payroll and personnel information system.
	b. 	Professional and scientific employees—employment status information system. Publication mailing lists.
	c. 	Geological core and cutting samplings.
	d. 	Abandoned mine lands inventory. Geological data information.
	e. 	Municipal water supply inventory.
	f. 	National coal resources data.
	g. 	Sedimentology programs.
	h. 	Water resources information.
All of the above-listed records are collected pursuant to the authority of Iowa Code chapters 458A and 460A. All are stored in electronic form. Supplementary records in these categories are stored in paper form or on microfilm or microfiche. Information cannot be matched, collated or compared.
561—2.15(17A,22) Other groups of records. This rule describes groups of records maintained by the agency other than record systems as defined in rule 2.2(17A,22). These records are routinely available to the public. However, the agencies’ files of these records may contain confidential information. In addition, some records may contain information about individuals. Records are stored on paper, microfilm, microfiche, and, in some cases, automated data processing systems.
	2.15(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.
	2.15(2) Commission records. Agendas, minutes and materials presented to the environmental protection commission and the natural resource commission are available from the office of the director, except these records concerning closed sessions which are confidential 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.
	2.15(3) Publications. News releases, annual reports, Iowa Conservationist, project reports, agency newsletters, etc., are available from the department offices for public information. Brochures describing various department programs are available at local offices of the department. Department news releases, project reports, the Conservationist, and newsletters may contain information about individuals, including department staff or members of the commission or committees.
	2.15(4) Statistical reports. Periodic reports for various department programs are available from the department offices for public information.
	2.15(5) Grants or loans. Records on persons and institutions receiving grants or loans are available through the institutions, also for public information. The records may contain information about employees of a grantee.
	2.15(6) Published materials. The agency uses many legal and technical publications in its work. The public may inspect these publications upon request. Some of these materials may be protected by copyright law.
	2.15(7) Policy manuals. The agency employees’ manual, containing the policies and procedures for programs administered by the department, is available in every office of the department. Policy manuals do not contain information about individuals.
	2.15(8) All other records that are not exempted from disclosure by law. The department maintains a variety of records which do not generally contain information pertaining to named individuals.
	2.15(9) All other records that are not exempted from disclosure by law.
These rules are intended to implement Iowa Code section 22.11.
[Filed 1/9/87, Notice 11/5/86—published 1/28/87, effective 3/4/87]
[Filed emergency 8/17/88 after Notice 7/13/88—published 9/7/88, effective 8/17/88]
[Filed 3/14/01, Notice 1/10/01—published 4/4/01, effective 5/9/01]