GOVERNOR’S OFFICE RECORD RETENTION AND OPEN RECORD POLICY
Application of This Policy
This policy shall govern the activities of the Iowa Governor’s Office with regard to its record retention practices and responses to requests for public records. Public inquiries regarding this policy should be directed to the governor’s legal counsel, using the contact information listed below.
Definitions
“Non-incidental retrieval or supervisory services” mean services provided by governor’s office staff (or staff from the department of administrative services and/or the state archives) to persons requesting access to public documents that exceed three (3) hours in duration.
“Public record” means a record, as defined in Iowa Code Chapter 22. A public record includes both ‘confidential records’ and ‘open records.’ A ‘confidential record,’ as used in this policy, 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, including but not limited to executive privilege. An ‘open record’ as used in this policy means a record other than a confidential record.
“Records officer” means an official who possesses a broad understanding of programs and records of the governor’s office, and who is designated by the governor’s office to coordinate its records program.
Policy Statement
The governor’s office is committed to ensuring that the workings of state government are open to public inspection. To that end, a public record in the custody of this office will be maintained and archived through a standard record retention policy, with public access to be given in full compliance with applicable provisions of law.
The record retention program will provide economy and efficiency in the creation, organization, administrative use, maintenance, security, availability and disposition of public records to ensure that a needless record will not be created or retained, and a valuable record will be preserved, as provided under Iowa law. This office will preserve the integrity public records, and reply to all open records requests in a timely, responsive and efficient manner in full compliance with applicable provisions of law.
Record Retention Requirements
Every record made or received under the authority of, or coming into the custody, control, or possession of governor’s office personnel, in connection with the transaction of official business of state government, and having sufficient legal, fiscal, administrative, or historical value, shall be retained in accordance with Iowa law. A Deputy Chief of Staff shall be designated to serve as the governor’s office records’ officer to oversee this office’s record retention program, and to serve as the primary point of contact with the state archives. This office will follow the record retention protocol that is established by the Iowa Records’ Retention Commission. The governor’s office records’ officer shall select retention mechanisms that are designed to implement the commission protocol, and arrange for training for governor’s office personnel on each selected mechanism.
Availability of a Public Record
Open records will be available to the public during customary office hours, which are 8:00 a.m. to 5:00 p.m., Monday through Friday (except holidays). Immediate access to records may be affected by a good faith effort to: verify the scope of the records’ request; locate the specific records requested; and determine whether any of the records, or information contained therein, are confidential in nature. This office will make every effort to provide the public with access to public records in a prompt and efficient manner. If this office discovers that circumstances will prolong a timely response, this office will notify the requestor at once, and make alternate arrangements to provide the response in a manner that is satisfactory to the requestor.
Confidential records may be withheld, and confidential information within an otherwise open record may be redacted prior to a record’s release for public examination and copying. If a confidential record is withheld from examination and copying, or confidential information within an otherwise open record are redacted, the governor’s office will identify the document(s), and cite the applicable provision of law, which supports the decision to withhold the confidential information from public examination.
Requests For a Public Record
Requests for access to a public record may be made in person, in writing or by telephone. A request for access to a public record should be directed to the governor’s legal counsel, who shall be responsible for implementing the requirements of public records’ laws inside the governor’s office. Requests transmitted by mail shall be addressed to: James Larew, Governor’s Office, State Capitol, Des Moines, Iowa 50319. Requests by e-mail should include the term “Public Records’ Request” in the subject field, and should be directed to: james.larew@iowa.gov. Requests by telephone should be directed to James Larew. at: 515/281-3502.
Persons who submit a mail, electronic, or oral request for public records should also provide their name, address, and telephone number in order to facilitate effective communication with this office regarding the request. Persons who submit their request orally will receive a transmittal letter from this office verifying the specific scope of the search requested. The verification letter will be transmitted before the request for documents is processed.
Requests for access to a public record shall identify the particular public record, to which access is requested, by name or description in order to identify efficiently the desired record. The requestor’s description should: (1) specify the particular type of record sought; (2) specify the particular time period to be searched by providing a start and end date; (3) specify the author and/or recipient of the record requested, to the extent possible; (4) specify, to extent possible, the particular records’ median to be searched (letters, memoranda, reports, recordings, etc.) – the requestor shall specify if the request applies to a record stored in electronic form; and (5) provide any other pertinent information that will assist this office in locating the record requested (please note that the governor’s office can usually process a request for specific records more quickly than a request for “all information pertaining to a particular subject”). If the public request applies to a record that is stored in electronic form, the requestor shall list the search terms to be used to conduct the electronic search.
Governor’s office personnel should direct public record requests to the legal counsel for docketing and processing. Before a search is conducted, the legal counsel may contact the requestor if there are questions concerning the scope of the record request. The governor’s office shall employ a staff member who is proficient in conducting electronic record searches within the office of the governor. This individual will be responsible for conducting all searches for electronic records that are accessible inside the governor’s office.
Upon receipt of a request for access to a public record, this office will promptly take all reasonable steps to preserve a public record while the request is pending.
Every public record that is gathered pursuant to a records’ request, will be examined by legal counsel for completeness in response to the request, and to determine whether the record is confidential. Every record that is presented to the public for review shall be date-stamped, and attached to a transmittal letter that specifies the manner in which the records’ search has been performed.
Questions by the public regarding the scope of a records’ search, or requests for an expanded search, should be submitted to the legal counsel in writing.
Fees.
Fees for time spent retrieving an open record and/or supervising the public examination of an open record may be charged to the requestor of the record in an amount equal to the actual cost of time spent providing non-incidental retrieval and/or supervisory services, as provided under applicable law. Whenever possible, an estimate of fees will be provided to the requestor before a search is initiated.
The actual cost for non-incidental retrieval and/or supervisory services may vary according to the nature of the search that is specified by the requestor. However, non-incidental retrieval and/or supervisory fees performed by governor’s office staff, pursuant to a request for records that are accessible inside the governor’s office, will ordinarily be set at $15.00 per hour. Fees for governor’s office records that are accessible only with the assistance of department of administrative services or state archives personnel will be based on the fee structure that is established by these agencies. Requestors are generally billed for fees after their request has been processed. However, if total fees are expected to exceed $250.00, the governor’s office may require payment in advance of processing.
Photocopies of open records located in this office will be provided at no charge for the first ten pages, and $.10 cents per page for each additional page.