ARC 9887C

ARC 9887C

INSPECTIONS AND APPEALS DEPARTMENT[481]

Notice of Intended Action

Proposing rulemaking related to public records and fair information practices
and providing an opportunity for public comment

    The Department of Inspections, Appeals, and Licensing hereby proposes to rescind Chapter 5, “Public Records and Fair Information Practices,” Iowa Administrative Code, and to adopt a new Chapter 5 with the same title.

Legal Authority for Rulemaking

    This rulemaking is proposed under the authority provided in Iowa Code sections 10A.104, 17A.24, 22.3, and 22.11.

State or Federal Law Implemented

    This rulemaking implements, in whole or in part, Iowa Code chapters 10A, 22, and 272C.

Purpose and Summary

    This rulemaking repromulgates Chapter 5 and implements Iowa Code chapters 10A, 22, and 272C in accordance with the goals and directives of Executive Order 10.

    This chapter provides procedures for requesting access to public records, including location of records and potential fees to access the records. This chapter also provides direction on what records can be released without providing consent to the subject of the record, instances where a subject can provide consent to release a confidential record, and the availability of public records.

Regulatory Analysis

    A Regulatory Analysis for this rulemaking was published in the Iowa Administrative Bulletin on October 29, 2025. A public hearing was held on the following date(s):

     ?   November 18, 2025

Fiscal Impact

    This rulemaking has no fiscal impact to the State of Iowa.

Jobs Impact

    After analysis and review of this rulemaking, no impact on jobs has been found.

Waivers

    Any person who believes that the application of the discretionary provisions of this rulemaking would result in hardship or injustice to that person may petition the Department for a waiver of the discretionary provisions, if any, pursuant to 481—Chapter 6.

Public Comment

    Any interested person may submit written or oral comments concerning this proposed rulemaking, which must be received by the Department no later than 4:30 p.m. on January 28, 2026. Comments should be directed to:

Public Hearing

    Public hearings at which persons may present their views orally or in writing will be held as follows:

    Persons who wish to make oral comments at a public hearing may be asked to state their names for the record and to confine their remarks to the subject of this proposed rulemaking.

    Any persons who intend to attend a public hearing and have special requirements, such as those related to hearing or mobility impairments, should contact the Department and advise of specific needs.

Review by Administrative Rules Review Committee

    The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rulemaking by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rulemaking at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6).

    The following rulemaking action is proposed:

    ITEM 1.  Rescind 481—Chapter 5 and adopt the following new chapter in lieu thereof:

CHAPTER 5

PUBLIC RECORDS AND FAIR INFORMATION PRACTICES

The department of inspections, appeals, and licensing hereby adopts, with the following exceptions, amendments, and additions, the Uniform Rules on Agency Procedure relating to public records and fair information practices, which are published on the Iowa general assembly’s website at www.legis.iowa.gov/DOCS/Rules/Current/UniformRules.pdf. These rules are applicable to any division, board, or commission under the administrative authority of the department pursuant to Iowa Code chapter 10A unless a division, board, or commission has separate rulemaking authority and has adopted rules governing public records and fair information practices.

481—5.1(10A,17A,22) Definitions. As used in this chapter:

    “Agency.” In lieu of the words “(official or body issuing these rules)”, insert “department of inspections, appeals, and licensing (the ‘department’) or any division, board, or commission under the administrative authority of the department pursuant to Iowa Code chapter 10A, as applicable”.

    “Custodian” means an agency that owns and exercises control over public records. The originating agency, if any, is the custodian of records that are used to perform work or a service for the originating agency.

    “Law enforcement official” means an officer or employee of any agency or authority of the United States, a state, a territory, a political subdivision of a state or territory, or an Indian tribe that is empowered by law to:

    1.   Investigate or conduct an official inquiry into a potential violation of law; or

    2.   Prosecute or otherwise conduct a criminal, civil, or administrative proceeding arising from an alleged violation of law.

    “Originating agency” means any government agency that has requested the department to perform work or a service on its behalf. An originating agency retains custody of all records provided by the originating agency to the department pursuant to Iowa Code section 10A.105.

481—5.3(17A,22) Requests for access to records.

    5.3(1) Location of record. A request for access to a record should be directed to the department through its website at dial.iowa.gov or through iowaopenrecords.nextrequest.com.

    5.3(2) Office hours. Open records will be made available during all customary office hours, which are 8 a.m. to 4:30 p.m., Monday through Friday, except legal holidays.

    5.3(3) Request for access. Requests for access to open records may be made in writing, in person, by facsimile, email, or other electronic means, 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.

    5.3(7) Fees.

    c.  Supervisory fee. An hourly fee may be charged for agency expenses in supervising the examination and copying of requested records or preparing the production of requested records when the supervision or other time necessary is in excess of three hours or otherwise as permitted by Iowa Code chapter 22. The agency will prominently post or otherwise advise the requester of the hourly fees to be charged for supervision of records during examination and copying or preparation of records for production. That hourly fee shall not be in excess of the hourly wage of an agency employee who ordinarily would be appropriate and suitable to perform that function.

481—5.6(17A,22) Procedure by which additions, dissents, or objections may be entered into certain records. Strike the words “or to (designate office)”.

481—5.7(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 agency 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. This rule does not allow the subject of a record that is confidential under Iowa Code section 272C.6(4) to consent to its release.

481—5.9(17A,22) Disclosures without the consent of the subject.

    5.9(1) Open records are routinely disclosed without the consent of the subject.

    5.9(2) To the extent allowed by law, disclosure of confidential records may occur without the consent of the subject. The following are instances where disclosure, if lawful, will generally occur without notice to the subject:

    a.  For a routine use as defined in rule 481—5.10(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 another government agency or to an instrumentality of any governmental jurisdiction within or under the control of the United States for a civil, administrative, 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.

    h.  To other licensing authorities as described in Iowa Code section 272C.6(4).

    i.  To the office of ombudsman, pursuant to Iowa Code section 2C.9.

    j.  To the child support recovery unit or centralized collection unit of the department of revenue for the purpose of identifying licensees or applicants subject to enforcement, pursuant to Iowa Code chapters 252J and 272D, respectively.

481—5.10(17A,22) Routine use. “Routine use” means the disclosure of a record without the consent of the subject or subjects, for a purpose that is compatible with the purpose for which the record was collected. It includes disclosures mandated 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:

    5.10(1) Disclosure to those officers, employees, and agents of the department or the originating agency as necessary to administer the program for which the information is collected and as necessary to administer a program within the other entity. 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.

    5.10(2) 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.

    5.10(3) Transfers of information within the agency, to other state agencies, to local and federal units of government, or to national associations as appropriate to administer the program for which the information is collected.

    5.10(4) 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.

    5.10(5) Any disclosure specifically authorized by the statute under which the record was collected or maintained.

    5.10(6) Information transferred to any originating agency when the department has completed the authorized work.

481—5.11(17A,22) Consensual disclosure of confidential records.

    5.11(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 481—5.7(17A,22).

    5.11(2) Complaints to public officials. A letter from a subject of a confidential record to a public official that 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.

    5.11(3) Obtaining information from a third party. The department occasionally requests personally identifiable information from third parties during the course of its authorized audits, investigations, hearings or inspections. Requests to third parties for this information that involve the release of confidential identifying information will be made in accordance with the department’s pertinent statutory authority. Where necessary, the department will obtain from the subject individual an authorization for the release of specially protected information on a form that meets any legal mandates, including alcohol and drug abuse patient information.

481—5.12(17A,22) Release to subject.

    5.12(1) A written request to review confidential records may be filed by the subject of the record as provided in rule 481—5.6(17A,22). The department 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.  The work product of an attorney, a hearing officer’s personal notations to be used by the hearing officer and not intended for public dissemination, or otherwise privileged records.

    c.  Investigative reports, except as required by Iowa Code section 22.7(5) or other provision of law.

    d.  Information in licensee complaint and investigation files maintained for licensee discipline required to be withheld from the subject prior to filing formal charges and the notice of hearing in a licensee disciplinary proceeding, except any files that can be provided in accordance with Iowa Code section 10A.506(9).

    e.  Others authorized by state or federal law.

    5.12(2) Where a record has multiple subjects with interest in the confidentiality of the record, the department may take reasonable steps to protect confidential information relating to another subject.

481—5.13(17A,22) Availability of records.

    5.13(1) Open records. Agency records are open for public inspection and copying unless otherwise provided by rule or law.

    5.13(2) Confidential records. Iowa Code chapters governing the operations of the agency establish the confidential nature of many agency records. The following is a nonexhaustive list of records that may be withheld from public inspection:

    a.  Sealed bids received prior to the time set for public opening of bids protected by Iowa Code section 72.3.

    b.  Tax records made available to the agency protected by Iowa Code section 422.20 or 422.72 or 26 U.S.C. Section 7213(a)(2).

    c.  Exempt records under Iowa Code section 22.7.

    d.  Minutes of closed meetings of a government body under Iowa Code section 21.5(5).

    e.  Identifying details in final orders, decisions and opinions to the extent necessary to prevent a clearly unwarranted invasion of personal privacy or trade secrets under Iowa Code section 17A.3(1)“b.”

    f.  Pursuant to Iowa Code sections 17A.2 and 17A.3, portions of department staff manuals, instructions or other statements issued that set forth criteria or guidelines to be used by department 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 pursuant to Iowa Code sections 17A.2 and 17A.3.

    g.  Records that constitute attorney work product or attorney-client communications or that are otherwise privileged. Attorney work product is confidential under Iowa Code sections 22.7(4), 622.10 and 622.11; Iowa Rule of Civil Procedure 1.503(3); 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.  Records or portions of records protected pursuant to Iowa Code section 515A.13.

    i.  Records or portions of records containing social security numbers protected by 42 U.S.C. Section 405(c)(2)(C)(viii).

    j.  Records of hearings that are closed to the public pursuant to Iowa Code section 272C.6(1) are confidential under Iowa Code section 21.5(4). However, upon transmittal to the district court in accordance with Iowa Code section 17A.19(6) for judicial review, the record is not confidential unless so ordered by the district court. Unlicensed hearing files are open to the public.

    k.  Minutes and tapes of closed meetings pursuant to Iowa Code section 21.5(4).

    l.  Information or records made confidential by law.

481—5.14(17A,22) Authority to release confidential records. The department may have discretion to disclose some confidential records that 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 that authorizes limited or discretionary disclosure as provided in rule 481—5.4(17A,22). If the department initially determines that it will release these records, the department may notify interested parties and withhold the records from inspection as provided in subrule 5.4(3).

481—5.15(17A,22) Personally identifiable information, storage, and data processing systems. The department maintains systems of records that contain personally identifiable information. Records are collected in accordance with the agency’s duties set forth in Iowa Code chapters 10A and 272C and other state and federal law governing programs administered by the agency. Specific personally identifiable information collected and the agency’s authority to collect said information is contained in pertinent Iowa Code sections and Iowa Administrative Code rules governing such programs. The department stores information in paper and on a cloud-based system and other electronic data management and storage systems. All data processing systems that have common data elements can potentially match, collate, and compare personally identifiable information as appropriate and legally authorized.

481—5.16(17A,22) Applicability. This chapter does not:

    5.16(1) Obligate the agency to index or retrieve records that contain information about persons by that person’s name or other personal identifier.

    5.16(2) Make available to the general public records that would otherwise not be available under the public records law, Iowa Code chapter 22.

    5.16(3) Govern the maintenance of, disclosure of, notification of or access to records in the possession of the agency that are governed by the rules of another agency.

    5.16(4) Apply to grantees, including local governments or subdivisions thereof, administering state-funded programs unless otherwise provided by law or agreement.

    5.16(5) Make available records compiled by the agency in reasonable anticipation of court litigation or formal administrative proceedings. The availability of such records to the general public or to any subject, person or party to such litigation or proceedings is governed by applicable legal and constitutional principles, statutes, rules of discovery, evidentiary privileges, and applicable rules of the agency.

    5.16(6) Obligate the agency to create, compare or procure a record solely for the purpose of making it available.

These rules are intended to implement Iowa Code chapters 10A, 22, and 272C.