Iowa Administrative Code › Agency 621 - Public Employment Relations Board › Chapter 12 - Public Records and Fair Information Practices (Uniform Rules) › Rule 621-12.12 - Personally Identifiable Information

Current through Register Vol. 47, No. 3, July 24, 2024
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
				621-12.1(17A,20,22). Unless otherwise stated, the authority for this agency to
				maintain the record is provided by Iowa Code chapter 20, the statutes governing
				the subject matter of the record, and the enabling statutes of the agency,
				where applicable. The record systems maintained by the agency are:
(1) Prohibited practice complaint case files.
			 These files contain information which pertains to the alleged violation of Iowa
			 Code chapter 20. A person, employee organization or public employer may file
			 the documents contained in this type of case. Case files may include pleadings,
			 briefs, notices, rulings, decisions, orders, exhibits, transcripts, docket
			 sheets, general correspondence, attorneys' notes, settlement offers, memoranda,
			 and research materials. Cases contain personal information of the
			 representatives and may contain personal information if the complainant or
			 respondent is an individual. Further personal information may be included in
			 testimony, exhibits, and other documents. Cases filed prior to January 1, 2015,
			 are contained on the agency's network. Cases filed after January 1, 2015, are
			 contained within the agency's electronic document management system. If the
			 case went to hearing, the hearing may have been recorded by mechanical means,
			 and a copy of the recording may be available. The files are maintained by the
			 agency and are indexed by the case number. The files may contain materials
			 which are confidential as attorney work product or contain settlement offers
			 and mediators' documents. Some materials are confidential under other
			 applicable provisions of law. Copies of documents or hearing recordings filed
			 in these cases may be obtained through the agency or the agency's electronic
			 document management system.
(2)
			 Bargaining unit determination and representative certification case files.
			 These files contain information which pertains to the establishment of
			 appropriate bargaining units, conduct of secret ballot elections and monitoring
			 of the merger, and affiliation and disaffiliation of certified employee
			 organizations. A person, employee organization or public employer may file the
			 documents contained in these types of cases. Case files may include pleadings,
			 briefs, tally of ballots, notices, rulings, decisions, orders, exhibits,
			 transcripts, docket sheets, general correspondence, attorneys' notes,
			 settlement offers, memoranda, research materials, and investigation materials.
			 Cases contain personal information of the representatives and may contain
			 personal information if the petitioner or respondent is an individual. Further
			 personal information may be included in transcript testimony, exhibits, and
			 other documents. Cases filed prior to January 1, 2015, are contained on the
			 agency's network. Cases filed after January 1, 2015, are contained within the
			 agency's electronic document management system. If the case went to hearing,
			 the hearing may have been recorded by mechanical means, and a copy of the
			 recording may be available. The files are maintained by the agency and are
			 indexed by the case number. Further personal information may be included in
			 testimony and exhibits. The files may contain materials which are confidential
			 as attorney work product, shows of interest, settlement offers and mediators'
			 notes. Some materials are confidential under other applicable provisions of
			 law. Copies of documents or hearing recordings filed in these cases may be
			 obtained through the agency or the agency's electronic document management
			 system.
(3) Retention and
			 recertification election case files. These files contain information which
			 pertains to the conduct of a retention and recertification election. A person,
			 employee organization or public employer may file the documents contained in
			 this type of case. Case files include pleadings, notices, voter lists, tally of
			 ballots, orders, challenges, and objections. Cases contain personal information
			 of the representatives. Further personal information may be included in
			 testimony, exhibits, and other documents. The public employer is required to
			 send to the agency a listing of employees eligible to vote in the
			 recertification elections. The files located on the agency's network may
			 contain materials which are confidential as attorney work product, shows of
			 interest, settlement offers and mediators' notes. Some materials are
			 confidential under other applicable provisions of law. Copies of documents
			 filed in these cases may be obtained through the agency or the agency's
			 electronic document management system.
(4) Negotiability dispute case files. These
			 files contain information which pertains to specific contract proposals and
			 whether a specific contract proposal is a mandatory, permissive or excluded
			 subject of bargaining under Iowa Code section
			 20.9. An employee organization
			 or public employer may file the documents contained in this type of case. Such
			 files contain documents concerning the agency's determination of the
			 negotiability question. The records may include pleadings, briefs, notices,
			 rulings, orders, exhibits, transcripts, docket sheets, general correspondence,
			 attorneys' notes, memoranda, research materials, and information compiled under
			 the direction of the agency. Cases contain personal information of the
			 representatives. Cases filed prior to January 1, 2015, are contained on the
			 agency's network. The files may contain materials which are confidential as
			 attorney work product and contain settlement offers and mediators' documents.
			 Some materials are confidential under other applicable provisions of law. Cases
			 filed after January 1, 2015, are contained within the agency's electronic
			 document management system. If the case went to hearing, the hearing may have
			 been recorded by mechanical means, and a copy of the recording may be
			 available. The files are maintained by the agency and are indexed by the case
			 number. Copies of documents or hearing recordings filed in these cases may be
			 obtained through the agency or the agency's electronic document management
			 system.
(5) Declaratory order case
			 files. These files contain information which pertains to applicability of a
			 statute, rule or order within the primary jurisdiction of the agency. A person,
			 employee organization or public employer may file the documents contained in
			 this type of case. Such files contain documents concerning the agency's
			 determination of that question. The records may include pleadings, notices,
			 rulings, orders, exhibits, transcripts, docket sheets, general correspondence,
			 attorneys' notes, memoranda, research materials, and information compiled under
			 the direction of the agency. Cases contain personal information of the
			 representatives and may contain personal information of the petitioner or
			 respondent if the petitioner or respondent is an individual. Further personal
			 information may be included in testimony, exhibits, and other documents. Cases
			 filed prior to January 1, 2015, are contained on the agency's network. Cases
			 filed after January 1, 2015, are contained within the agency's electronic
			 document management system. If the case went to hearing, the hearing may have
			 been recorded by mechanical means, and a copy of the recording may be
			 available. The files may contain materials which are confidential as attorney
			 work product, settlement offers and mediators' notes. Some materials are
			 confidential under other applicable provisions of law. The files are maintained
			 by the agency and are indexed by the case number. Copies of documents or
			 hearing recordings filed in these cases may be obtained through the agency or
			 the agency's electronic document management system.
(6) Contract negotiation impasse files. These
			 files contain information which pertains to the public employer and certified
			 employee organization's negotiations. An employee organization or public
			 employer may file the documents contained in the file. The records may include
			 the request for impasse services, assignment of a mediator, interest
			 arbitration list, selection letters, and correspondence regarding mediation and
			 interest arbitration hearings. Mediators may maintain assigned impasse files
			 which contain confidential documents related to the mediation. Files contain
			 personal information of the representatives. The files are maintained by the
			 agency and are indexed by the bargaining unit number. Electronic files will be
			 kept for up to five years following the close of the arbitration. Copies of the
			 documents contained in the files may be obtained through the agency.
(7) Neutral files. The agency maintains
			 biographical data on qualified mediators and arbitrators. A mediator's file
			 contains an application, an acceptance letter, and the yearly mediator
			 contract. An arbitrator's file contains an application, an acceptance letter,
			 renewal applications, biographical sketches, letters of recommendation, a
			 rÃƒ©sumÃƒ©, and decisions. Neutral files may also contain
			 concerns expressed by employees or employer and employee organization
			 representatives, material related to agency-conducted investigations, and
			 information on hearings and decisions issued by the agency. Cases contain
			 personal information of the representatives and may contain personal
			 information of the petitioner or respondent if the petitioner or respondent is
			 an individual. Further personal information may be included in testimony,
			 exhibits, and other documents. Neutral files contain personal information of
			 the neutral and may contain personal information of employees and employer and
			 employee organization representatives if they provide written comments
			 regarding a neutral. The files may contain materials which are confidential as
			 attorney work product, settlement offers and mediators' notes. Some materials
			 are confidential under other applicable provisions of law. The files are
			 maintained by the agency and are commonly indexed by the neutral's last name.
			 Biographical sketches of neutrals are located on the agency's website. Copies
			 of documents contained in these files may be obtained through the
			 agency.
(8) Employee organization
			 files. Employee organizations are required to file certain documents with the
			 agency prior to certification and annually. An employee organization's
			 representative files the documents contained in the file. The records include
			 the certified employee organization's constitution and bylaws, amended
			 constitution and bylaws, registration reports, annual reports, correspondence,
			 bargaining unit description and subsequent amendments. The employee
			 organization files contain personal information of the representatives. Further
			 personal information may be included in testimony and exhibits. Employee
			 organization files are electronic and can be located in suPERB. The files are
			 maintained by the agency and are indexed by the certified employee organization
			 in paper files and by certified employee organization number if the files are
			 on the agency's electronic document management system. Copies of the documents
			 contained in these files may be obtained through the agency or the agency's
			 electronic document management system.
(9) State employee appeals of grievance
			 decisions and disciplinary action case files. These files contain appeals from
			 a response from the Iowa department of administrative services regarding an
			 employee's grievance or appeal of a disciplinary action. A person or
			 representative may file the documents contained in this type of case. These
			 files contain information which pertains to the appeal. The records may include
			 the appeal form and attachments, pleadings, briefs, notices, rulings,
			 decisions, orders, exhibits, transcripts, docket sheets, general
			 correspondence, attorneys' notes, settlement offers, memoranda, and research
			 materials. Cases contain personal information of the representative and the
			 employee. Further personal information may be included in testimony, exhibits,
			 and other documents. Cases filed prior to January 1, 2015, are contained on the
			 agency's network. Cases filed after January 1, 2015, are contained within the
			 agency's electronic document management system. If the case went to hearing,
			 the hearing may have been recorded by mechanical means, and a copy of the
			 recording may be available. The files are maintained by the agency and are
			 indexed by the case number. The files may contain materials which are
			 confidential as attorney work product and contain settlement offers and
			 mediators' documents. Some materials are confidential under other applicable
			 provisions of law. Copies of documents or hearing recordings filed in these
			 cases may be obtained through the agency or the agency's electronic document
			 management system.
(10) Public
			 safety unit determination case files. These files contain information which
			 pertains to whether a bargaining unit is a public safety unit. An employee
			 organization or public employer may file the documents contained in this type
			 of case. Such files contain documents concerning the agency's determination of
			 that question. The records may include pleadings, notices, orders, exhibits,
			 transcripts, docket sheets, general correspondence, attorneys' notes,
			 memoranda, research materials, and information compiled under the direction of
			 the agency. Cases contain personal information of the representatives and may
			 contain personal information of employees. Further personal information may be
			 included in testimony, exhibits, and other documents. Cases are contained
			 within the agency's electronic document management system or suPERB. If the
			 case went to hearing, the hearing may have been recorded by mechanical means,
			 and a copy of the recording may be available. The files are maintained by the
			 agency and are indexed by the case number. The files may contain materials
			 which are confidential as attorney work product, settlement offers and
			 mediators' notes. Some materials are confidential under other applicable
			 provisions of law. Copies of documents or hearing recordings filed in these
			 cases may be obtained through the agency or the agency's electronic document
			 management system.
(11) Other Iowa
			 Code chapter 20 case files. These files contain information which pertains to
			 objections which an employer or employee organization may make when impasse
			 procedures are not completed prior to the applicable deadline for completion of
			 impasse procedures, challenges which an employee organization or employer may
			 make when the voter eligibility is challenged, and challenges which an employee
			 organization may make postelection in retention and recertification elections.
			 An employee organization or public employer may file the documents contained in
			 this type of case. Further personal information may be included in testimony,
			 exhibits, and other documents. Such files contain documents concerning the
			 agency's determination of the question. The records may include pleadings,
			 notices, orders, exhibits, transcripts, docket sheets, general correspondence,
			 attorneys' notes, memoranda, research materials, and information compiled under
			 the direction of the agency. Cases contain personal information of the
			 representatives and may contain personal information of employees. Cases are
			 contained within the agency's electronic document management system or suPERB.
			 If the case went to hearing, the hearing may have been recorded by mechanical
			 means, and a copy of the recording may be available. The files are maintained
			 by the agency and are indexed by the case number. The files may contain
			 materials which are confidential as attorney work product, settlement offers
			 and mediators' notes. Some materials are confidential under other applicable
			 provisions of law. Copies of documents or hearing recordings filed in these
			 cases may be obtained through the agency.
(12) Grievance, fact-finding and interest
			 arbitration decisions. The agency maintains decisions issued by neutrals.
			 Grievance arbitration decisions prior to the year 2000 are maintained on the
			 agency's database, and copies of a decision may be obtained through the agency.
			 Grievance arbitration decisions after the year 2000 which the parties agreed
			 could be made public can be obtained through the agency's searchable database
			 system. All fact-finding and interest arbitration decisions can be obtained
			 through the agency's searchable database system.
(13) Collective bargaining agreements. The
			 agency maintains collective bargaining agreements negotiated between the public
			 employer and the certified employee organization. Collective bargaining
			 agreements negotiated prior to the year 2000 are maintained on the agency's
			 database, and copies of these collective bargaining agreements may be obtained
			 through the agency. Collective bargaining agreements negotiated after the year
			 2000 can be obtained through the agency's searchable database system.
(14) Personnel files. The agency maintains
			 files containing information about agency employees and applicants for
			 positions with the agency. The files contain payroll records, biographical
			 information, medical information relating to disability, performance reviews
			 and evaluations, disciplinary information, information required for tax
			 withholding, information concerning employee benefits, affirmative action
			 reports, and other information concerning the employer-employee relationship.
			 Some of this information may be confidential under Iowa Code sections
			 22.7(11)  and
			 22.7(18).
(15) Litigation files. These files or records
			 contain information regarding litigation or anticipated litigation which
			 involves the agency. The records include pleadings, briefs, docket sheets,
			 documents, general correspondence, attorneys' notes, memoranda, research
			 materials, and investigation materials. Litigation files may be paper files and
			 may be kept up to five years in paper format or replaced immediately in
			 electronic format if possible. The files are indexed by the name of the
			 opposing party or case number. The files contain materials which are
			 confidential as attorney work product. Some materials are confidential under
			 other applicable provisions of law. Persons who wish to obtain copies of
			 pleadings and other documents filed in litigation should obtain these from the
			 clerk of the appropriate court which maintains the official copy.