Iowa Admin. Code — Records Commission [671]

Chapter 1 Organization; State Records Manual

Iowa Admin. Code r. 671—1.1 Purpose

1.1(1) State archives and records Act. This chapter provides an overview of the organization, responsibilities, definitions, and records manual details under the purview of the state records commission within the department of administrative services.

1.1(2) Location. Communication with the state records commission may be established through the State Archives and Records Bureau, Department of Administrative Services, State Historical Building, 600 East Locust Street, Des Moines, Iowa 50319.

1.1(3) Meetings and membership. Membership of the state records commission is outlined in Iowa Code section 8A.603. The state records commission chairperson shall be elected biennially from the membership. Iowa Code section 8A.606 references meetings for the commission. In accordance with state open meeting laws, agendas for meetings will be posted at the state historical building and on the state public meeting calendar. Two-thirds of the commission membership shall be a quorum for the purpose of conducting business. Actions of the commission shall be by simple majority of members present.

History

• ARC 0398D, IAB 6/24/26, effective 7/29/26

Iowa Admin. Code r. 671—1.2 Definitions

In addition to the definitions found in Iowa Code chapter 8A, and in particular, Iowa Code section 8A.602, the following definitions apply:

“Non-record materials” means documents and informational materials that do not meet the statutory definition of a record in Iowa Code section 8A.602(9) or that are excluded from the definition. Non-record materials include library and museum material made or acquired and preserved solely for reference or exhibition purposes, stocks of publications and unprocessed forms, and extra copies of documents made, acquired, or received only for convenience or reference purposes.

“Office of record” means the agency in which a record is created, produced, executed, or received in connection with official business of that agency. The office of record is responsible for maintenance and disposition of records in accordance with approved records series retention and disposition schedules.

“Reference copy” is a copy of a record kept for easy access to the information the record contains. A reference copy of a record may be distributed to make recipients aware of the content of the record but not to direct the recipient to take action on a matter.

“Retention” or “retention period” is the minimum length of scheduled time a record must be kept (either in the office or in offsite storage) because it is needed for ongoing business, to document an action, or for statutory reasons.

History

• ARC 0398D, IAB 6/24/26, effective 7/29/26

Iowa Admin. Code r. 671—1.3 Responsibilities

1.3(1) State records commission. The responsibilities of the commission are the same as defined in Iowa Code section 8A.608.

1.3(2) Department of administrative services. The responsibilities of the department are the same as defined in Iowa Code section 8A.609.

1.3(3) Agency head. In addition to the responsibilities set forth in Iowa Code section 8A.610, an agency head will also:

a. Appoint one or more records officers to coordinate the records program or programs within the agency and to serve as liaisons to the state archives and records bureau. An agency head shall document an appointment in writing to the state archives and records bureau.

b. Maintain or cause to be maintained complete and accurate records documenting the agency’s implementation of the state of Iowa records program.

c. Provide secure, environmentally appropriate storage areas for all records in the physical custody of the agency and provide public access to those records in accordance with the agency’s fair information practices rules.

d. Maintain legal custody of all agency records stored in agency offsite storage and provide public access to those records in accordance with the agency’s fair information practices rules.

e. Transfer legal custody of records that are transferred to the state archives of Iowa in accordance with Iowa Code section 8A.610.

History

• ARC 0398D, IAB 6/24/26, effective 7/29/26

Iowa Admin. Code r. 671—1.4 State records manual

1.4(1) Authority of the manual. The state records manual is an interagency manual as defined by Iowa Code section 17A.2(11)“c.”

1.4(2) Content of the manual. The commission shall, through the state archives and records bureau, create and maintain a state records manual that contains:

a. Records series retention and disposition schedules adopted by the commission.

b. Detailed procedures for agency interaction with the commission and the state archives and records bureau for such activities as the development and revision of records series and disposition schedules, transfer and storage of records, access and retrieval of records from storage, and destruction of records.

c. Guidelines adopted by the commission to assist an agency head in implementing an efficient government records program within the agency.

History

• ARC 0398D, IAB 6/24/26, effective 7/29/26

Iowa Admin. Code r. 671—1.5 Applicability of the manual

The provisions of the state records manual are applicable to all executive or legislative branch departments, offices, commissions, boards, or other units of state government unless otherwise exempted by law. However, the state records manual is not applicable to the department of transportation or agencies or institutions under the control of the state board of regents.

History

• ARC 0398D, IAB 6/24/26, effective 7/29/26

Iowa Admin. Code r. 671—1.6 Availability of the manual

The commission shall make the manual publicly available on its website at history.iowa.gov/research/state-government-record-management.

History

• ARC 0398D, IAB 6/24/26, effective 7/29/26

Chapter 2 Records Series Retention and Disposition Schedules Process

Iowa Admin. Code r. 671—2.1 Purpose

The records series retention and disposition process is designed to evaluate records to establish appropriate periods of time for holding records prior to final disposition by destruction or permanent preservation. These records are held in office or in storage areas.

History

• ARC 0399D, IAB 6/24/26, effective 7/29/26

Iowa Admin. Code r. 671—2.2 Form to use

A Records Series Inventory and Retention and Disposition Schedule Form is used for the inventorying of agency records and for the development or revision of records series retention and disposition schedules. The form is available from the state archives and records bureau of the department of administrative services.

History

• ARC 0399D, IAB 6/24/26, effective 7/29/26

Iowa Admin. Code r. 671—2.3 Agency responsibility

2.3(1) An agency head shall maintain or cause to be maintained an inventory of records that are made, produced, executed, or received by the agency pursuant to statute in connection with the transaction of official business of state government, whether those records are created or maintained in an electronic or paper system.

2.3(2) An agency head shall initiate or cause to be initiated a new Records Series Inventory and Retention and Disposition Schedule Form for previously unscheduled records series and, when needed, for revising an existing records series retention and disposition schedule. This applies to electronic and paper records.

2.3(3) An agency head shall provide or cause to be provided complete and thorough responses to the questions on the Records Series Inventory and Retention and Disposition Schedule Form and will work with the state archives and records bureau so that the bureau can finalize the records series retention and disposition schedule recommendations for presentation to the state records commission.

History

• ARC 0399D, IAB 6/24/26, effective 7/29/26

Iowa Admin. Code r. 671—2.4 State archives and records bureau responsibility

An agency shall submit any proposed Records Series Inventory and Retention and Disposition Schedule Forms to the state archives and records bureau for review. The bureau will assist the agency in finalizing the records series retention and disposition schedule recommendations for presentation to the state records commission.

History

• ARC 0399D, IAB 6/24/26, effective 7/29/26

Iowa Admin. Code r. 671—2.5 State records commission responsibility

2.5(1) The commission will evaluate records series retention and disposition schedule (schedule) recommendations presented by the state archives and records bureau. The commission’s evaluation of the bureau’s recommendations shall consider the administrative, legal, fiscal, and historical values of the records. The commission will ensure that the schedule recommendation is consistent with other adopted schedules.

2.5(2) The commission may:

a. Adopt the proposed schedule as presented.

b. Amend the proposed schedule as the commission deems appropriate.

c. Return the proposed schedule to the state archives and records bureau for additional research before the commission takes final action.

d. Return the proposed schedule to the agency for additional research with the intent that the agency will resubmit the schedule to the commission for final action.

e. Reject the proposed schedule.

History

• ARC 0399D, IAB 6/24/26, effective 7/29/26

Iowa Admin. Code r. 671—2.6 Effective date

Unless otherwise set forth by the commission, a schedule shall become effective 20 calendar days after commission approval.

History

• ARC 0399D, IAB 6/24/26, effective 7/29/26

Iowa Admin. Code r. 671—2.7 Procedures

Detailed procedures, including a sample copy of the Records Series Inventory and Retention and Disposition Schedule Form, are available in the state records manual.

History

• ARC 0399D, IAB 6/24/26, effective 7/29/26

Chapter 3 Permanent Records—transfer Process, Care, and Access

Iowa Admin. Code r. 671—3.1 Purpose

The department of administrative services administers the state archives of Iowa in order to preserve, protect, and make accessible those records of state government that have enduring value.

History

• ARC 0400D, IAB 6/24/26, effective 7/29/26

Iowa Admin. Code r. 671—3.2 Identification of permanent records

The state records commission shall adopt records series retention and disposition schedules in accordance with 671—Chapter 2 to identify state government records that have enduring value.

History

• ARC 0400D, IAB 6/24/26, effective 7/29/26

Iowa Admin. Code r. 671—3.3 Form to use

A Transfer of Custody of State Government Records to the State Archives of Iowa form obtained from the state archives and records bureau shall be used to transfer legal and physical custody of a record from an agency to the state archives of Iowa.

History

• ARC 0400D, IAB 6/24/26, effective 7/29/26

Iowa Admin. Code r. 671—3.4 Agency responsibility

3.4(1) A record that is scheduled for permanent preservation in the state archives of Iowa shall be transferred to the state archives of Iowa in accordance with established records series retention and disposition schedules. An agency records officer shall review, sign, and submit a properly completed Transfer of Custody of State Government Records to the State Archives of Iowa form to the state archives and records bureau for approval prior to the physical transfer of records from the agency.

3.4(2) A record scheduled for permanent preservation in an agency shall be retained in the agency in perpetuity. The agency shall maintain such a record in a manner that will ensure the continued availability of an accurate, authentic, and reliable record in perpetuity. The record shall be available for public inspection and copying in accordance with agency fair information practice rules.

History

• ARC 0400D, IAB 6/24/26, effective 7/29/26

Iowa Admin. Code r. 671—3.5 State archives and records bureau responsibility

3.5(1) The state archives and records bureau shall review and consider for approval a properly completed Transfer of Custody of State Government Records to the State Archives of Iowa form in a timely manner and will assist an agency in correcting an incomplete or inaccurate form.

3.5(2) After approving a form, the state archives and records bureau will arrange for physical transfer of records to the state archives of Iowa with the agency.

3.5(3) The state archives and records bureau shall establish and maintain inventory control of records transferred to the state archives of Iowa.

3.5(4) The department of administrative services shall provide a secure, environmentally appropriate storage area for all records transferred to its custody.

History

• ARC 0400D, IAB 6/24/26, effective 7/29/26

Iowa Admin. Code r. 671—3.6 Care of and access to permanent records

3.6(1) A record with enduring value shall be transferred to the state archives of Iowa in accordance with a state records commission adopted records series retention and disposition schedule. The state archives of Iowa shall provide a secure environment for the storage and use of these records so that they may be preserved and made available to future generations of researchers in accordance with Iowa Code section 8A.609.

3.6(2) Records transferred to the state archives of Iowa shall be cared for and administered in accordance with 223—Chapter 13.

3.6(3) Records transferred to the state archives of Iowa shall be made accessible to researchers in accordance with 223—Chapter 22.

3.6(4) The state archives and records bureau, with prior approval from the state archivist, may loan an agency record from the state archives of Iowa to an authorized agency user.

History

• ARC 0400D, IAB 6/24/26, effective 7/29/26

Chapter 4 Development Process for Government Information Policies, Standards, and Guidelines

Iowa Admin. Code r. 671—4.1 Proposal of government information policies, standards, and guidelines

An agency staff member or a member of the public may propose a topic to be developed into a government information policy, standard, or guideline by contacting the state records commission through the state archives and records bureau. A proposal may include a draft government information policy, standard, or guideline.

History

• ARC 0401D, IAB 6/24/26, effective 7/29/26

Iowa Admin. Code r. 671—4.2 Commission responsibilities

4.2(1) In accordance with Iowa Code section 8A.608, the commission shall:

a. Develop such government information policies, standards, and guidelines as it deems appropriate;

b. Prior to final adoption, solicit agency participation in the review of government information policies, standards, and guidelines;

c. Draft and file administrative rules in accordance with Iowa Code chapter 17A for all government information policies and standards; and

d. Include all government information guidelines in the state records manual.

4.2(2) The commission may:

a. Appoint advisory committees to research and analyze issues related to government information policies, standards, and guidelines; and

b. Prior to final adoption, solicit public participation in the review of government information policies, standards, and guidelines.

History

• ARC 0401D, IAB 6/24/26, effective 7/29/26

Iowa Admin. Code r. 671—4.3 State archives and records bureau responsibilities

The state archives and records bureau shall provide administrative support to advisory committees appointed by the commission.

History

• ARC 0401D, IAB 6/24/26, effective 7/29/26

Iowa Admin. Code r. 671—4.4 Agency responsibilities

4.4(1) An agency shall be in substantial compliance with government information policies and standards adopted by the commission.

4.4(2) An agency may utilize government information guidelines adopted by the commission as the agency implements the government records program within the agency.

History

• ARC 0401D, IAB 6/24/26, effective 7/29/26

Iowa Admin. Code r. 671—4.5 Advisory committees

4.5(1) Advisory committees of the state records commission may:

a. Make recommendations to the state records commission.

b. Consist of public members and agency staff members. No more than three members of the state records commission may be members of any advisory committee.

4.5(2) Individuals may volunteer to serve on advisory committees of the state records commission by submitting a letter of application to the state archives and records bureau along with a résumé stating areas of interest and expertise.

4.5(3) The state archives and records bureau will maintain the applications of individuals who volunteer to serve as members of advisory committees of the state records commission for a two-year period following receipt of the letter of application.

History

• ARC 0401D, IAB 6/24/26, effective 7/29/26