CHAPTER 6
PUBLIC RECORDS AND FAIR INFORMATION PRACTICES
283—6.1(17A,22) Definitions. As used in this chapter:
“Commission” means the Iowa college student aid commission.
“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 commission 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 commission, or a person lawfully delegated authority by the commission to act for the commission 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” means the whole or a part of a “public record,” as defined in Iowa Code section 22.1, that is owned by or in the physical possession of the commission.
“Record system” means any group of records under the control of the commission 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.
283—6.2(17A,22) Statement of policy. The purpose of this chapter is to facilitate broad public access to open records. It also seeks to facilitate sound commission determinations with respect to the handling of confidential records and the implementation of the fair information practices Act. The commission is committed to the policies set forth in Iowa Code chapter 22; commission staff shall cooperate with members of the public in implementing the provisions of that chapter.
283—6.3(17A,22) Requests for access to records.
	6.3(1) Location of record. A request for access to a record should be directed to the Executive Director, Iowa College Student Aid Commission, 400 E. 14th Street, Des Moines, Iowa 50319-0146. If a request for access to a record is misdirected, commission personnel will promptly forward the request to the appropriate person.
	6.3(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 holidays.
	6.3(3) Request for access. Requests for access to open records may be made in writing, in person, or by telephone. 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.
	6.3(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) and 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 283—6.4(17A,22) and other applicable provisions of law.
	6.3(5) Security of record. No person may, without permission from the custodian, search or remove any record from commission files. Examination and copying of commission records shall be supervised by the custodian or a designee of the custodian. Records shall be protected from damage and disorganization.
	6.3(6) Copying. A reasonable number of copies of an open record may be made in the commission’s office. If photocopy equipment is not available in the commission 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.
	6.3(7) Fees.
	a. 	When charged. The commission may charge fees in connection with the examination or copying of records only if the fees are authorized by law. To the extent permitted by applicable provisions of law, the payment of fees may be waived when the imposition of fees is inequitable or when a waiver is in the public interest.
	b. 	Copying and postage costs. Price schedules for published materials and for photocopies of records supplied by the commission shall be prominently posted in commission offices. Copies of records may be made by or for members of the public on commission photocopy machines or from electronic storage systems at cost as determined and posted in commission 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.
	c. 	Supervisory fee. An hourly fee may be charged for actual commission expenses in supervising the examination and copying of requested records when the supervision time required is in excess of one hour. The custodian shall prominently post in commission offices the hourly fees to be charged for supervision of records during examination and copying. That hourly fee shall not be in excess of the hourly wage of a commission clerical employee who ordinarily would be appropriate and suitable to perform this supervisory function.
	d. 	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 the requester.
[ARC 1869C, IAB 2/18/15, effective 3/25/15; Editorial change: IAC Supplement 2/10/21; Editorial change: IAC Supplement 4/3/24]
283—6.4(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 283—6.3(17A,22).
	6.4(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.
	6.4(2) Requests. The custodian may require a request to examine and copy a confidential record to 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.
	6.4(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 specific period of time during which disclosure will be delayed for that purpose.
	6.4(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.
	6.4(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.
283—6.5(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.
	6.5(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.
	6.5(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 commission 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.
	6.5(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 commission does not request that it be withheld from public inspection under Iowa Code sections 22.7(3) and 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.
	6.5(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.
	6.5(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.
	6.5(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 shall 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 reasons 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.
283—6.6(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 commission proceeding. The 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 Iowa college student aid commission. The request to review such a record or the written statement of such a record of additions, dissents, or objections must be dated and signed by the requester, and shall include the current address and telephone number of the requester or the requester’s representative.
283—6.7(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 before the commission on behalf of a person who is the subject of a confidential record is deemed to constitute consent for the commission to disclose records about that person to the person’s attorney.
283—6.8(17A,22) Notice to suppliers of information. When the commission requests a person to supply information about that person, the commission shall notify the person of the use that will be made of the information, which persons outside the commission 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.
283—6.9(17A,22) Routine use.
	6.9(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.
	6.9(2) To the extent allowed by law, the following are considered routine uses of all commission records:
	a. 	Disclosure of officers, employees, and agents of the commission who have a need for the record in the performance of their duties. The custodian of the record may, upon request of an 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 prosecution, civil court action, or regulatory order.
	c. 	Disclosure to the department of inspections and appeals regarding matters in which it performs services or functions on behalf of the commission.
	d. 	Transfers of information within the commission, 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 to determine whether the commission is lawfully operating a program.
	f. 	Any disclosure specifically authorized by the statute under which the record is collected or maintained.
283—6.10(17A,22) Consensual disclosure of confidential records.
	6.10(1) Consent to disclosure by a subject. The subject may consent in writing to commission disclosure of confidential records as provided in rule 283—6.7(17A,22).
	6.10(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 commission may be treated as an authorization to release sufficient information about the subject to the official to resolve the matter.
283—6.11(17A,22) Release to subject. The subject of a confidential record may file a written request to review the subject’s confidential records. However, the commission need not release the following records to the subject:
	1.	The identity of a person providing information to the commission when the information is authorized as confidential pursuant to Iowa Code subsection 22.7(18).
	2.	The work product of an attorney or otherwise privileged information.
	3.	Peace officers’ investigative reports, except as required by Iowa Code subsection 22.7(5).
	4.	Those otherwise authorized by law.
283—6.12(17A,22) Availability of records. This rule lists the commission records which are open to the public, those which are confidential, and those which are partially open and partially confidential.
Commission records are listed by category, according to the legal basis for confidential treatment (if any). The commission administers federally funded programs, as well as state programs, and is authorized by Iowa Code section 22.9 to enforce confidentiality standards for federal law and regulations as are required for receipt of the funds. A single record may contain information from several categories.
The chart indicates whether the record contains personally identifiable information, and indicates the legal authority for confidentiality and for the collection of personally identifiable information.

<fo:wrapper font-size="6pt">Abbreviations are used in the chart as follows:</fo:wrapper>	
Code	Meaning	Code	Meaning	
O	The records are open for public inspection.	O/C	The record is partially open and partially confidential.	
C	The records are confidential and are not open to public
inspection.	O/E	The record is partially open to the public and partially
exempt from disclosure.	
E	The record is exempt from mandatory disclosure to
members of the public.	O/E/C	The record is partially open to the public, partially exempt
from disclosure, and partially confidential and not open
to the public.	
E/C	The record is exempt from mandatory disclosure to the
public and is confidential and not open to public
inspection.	NA	Not applicable.	

DESCRIPTION OF RECORD	TYPE
OF RECORD	LEGAL AUTHORITY FOR CONFIDENTIALITY	PERSONALLY IDENTIFIABLE INFORMATION	LEGAL AUTHORITY FOR INFORMATION	
Records of Commission, Advisory Council, and Committees	O/E	Iowa Code 21.5	No	NA	
Rule Making	O	NA	No	NA	
Declaratory Ruling Records	O/C	Iowa Code 22.7	No	NA	
Rules and Policy Manuals	O	NA	No	NA	
General Correspondence	O/E/C	Iowa Code 22.7	Yes	NA	
Publications
• General
• GSL
• Scholarship	O	NA	No	NA	
Statistical Reports	O	NA	No	NA	
Staff Reports	O	NA	No	NA	
Financial & Administrative Records	O/E/C	Iowa Code 22.7	Yes	NA	
Registration and Approval Records	O	NA	No	NA	
Contracts and Interagency Agreements	O/C	Iowa Code 22.7(3)	No	NA	
Sealed Bids Prior to Public Opening	C	Iowa Code 22.3,
22.7 and 72.3	No	NA	
Appeal Records	O/C	Iowa Code 22.7	Yes	NA	
Litigation Files	O/E/C	Iowa Code 22.7	Yes	NA	
Privileged Communication and Products of
Attorneys Representing the Commission	E/C	Iowa Code 22.7, Iowa
Code of Professional
Responsibility for
Lawyers, Canon 4	No	NA	
Individual Applicant/Recipient Records (such as those collected under
the Iowa Tuition Grant and Iowa Vocational-Technical Tuition Grant
Programs)	<fo:wrapper font-size="6pt">C</fo:wrapper>	<fo:wrapper font-size="6pt">Iowa Code 22.7</fo:wrapper>	<fo:wrapper font-size="6pt">Yes</fo:wrapper>	<fo:wrapper font-size="6pt">P.L. 89-329</fo:wrapper>	
<fo:wrapper font-size="6pt">Collections</fo:wrapper>	C	Iowa Code 22.7	Yes	Sec. 428[b-c] and
Sec. 488[c]	
State and Federal Program Records (such as those maintained under
the Iowa Tuition Grant Program and the John R. Justice Student
Loan Repayment Program)	<fo:wrapper font-size="6pt">O</fo:wrapper>	<fo:wrapper font-size="6pt">NA</fo:wrapper>	<fo:wrapper font-size="6pt">No</fo:wrapper>	<fo:wrapper font-size="6pt">NA</fo:wrapper>	
[ARC 1869C, IAB 2/18/15, effective 3/25/15]
These rules are intended to implement Iowa Code section 256.178.
[Filed 5/13/88, Notice 4/6/88—published 6/1/88, effective 7/6/88]
[Filed 9/24/03, Notice 6/11/03—published 10/15/03, effective 11/19/03]
[Filed ARC 1869C (Notice ARC 1689C, IAB 10/29/14), IAB 2/18/15, effective 3/25/15]
[Editorial change: IAC Supplement 2/10/21]
[Editorial change: IAC Supplement 4/3/24]