23FC:0054: Helen Neumann/Iowa Department of Corrections- Dismissal Order

Date:
07/20/2023

Subject:
Helen Neumann/Iowa Department of Corrections- Dismissal Order

Opinion:

The Iowa Public Information Board

COMES NOW, Erika Eckley, Executive Director for the Iowa Public Information Board (IPIB), and enters this Dismissal Order:

On May 3, 2023, Helen Neumann filed formal complaint 23FC:0054, alleging that the Iowa Department of Corrections (IDOC) violated Iowa Code chapter 22.

Background
From January 2018 to February 2020, Ms. Neumann worked as a volunteer at the Iowa Medical and Classification Center (IMCC). On March 14, 2023, Ms. Neumann submitted a public records request to IDOC seeking a full copy of her volunteer file. Additionally, Ms. Neumann requested “all correspondence and communication regarding me and inmate #6885680, Bradly Woods from March 2020 to March 2023 regardless of whether that is contained within my volunteer file.”

On March 24, 2023, IDOC released a number of documents from the file to Ms. Neumann. IDOC stated that the remaining documents from the file were being withheld pursuant to Iowa Code §§ 904.602(2)(k) and 904.602(10). Ms. Neumann appealed IDOC’s decision to withhold the remaining documents. IDOC reviewed and affirmed its decision to withhold the documents, and as a result, Ms. Neumann filed the present complaint with IPIB.

On June 5, 2023, IDOC provided a response to the complaint. IDOC’s response included the following background information, the accuracy of which Ms. Neumann disputes:

Helen Neumann was a volunteer at the Iowa Medical & Classification Center prison and engaged in behavior with an inmate that compromised the safe, secure, and orderly functioning of the prison. As such, Ms. Neumann was no longer allowed to serve as a volunteer with the Department of Corrections and her communication with the inmate was restricted.

The inmate was transferred to the Anamosa State Penitentiary (ASP) and Ms. Neumann continued communicating with the inmate by unauthorized means. An oversight occurred and Helen Neumann had a few visits with the inmate at the prison. When ASP discovered Helen Neumann was not to have contact with the inmate, her visitation was terminated and she could reapply in 6 months. Ms. Neumann filed an appeal of her visitation and it was denied.

While Ms. Neumann disputes the accuracy of this background information, she does not dispute that she was prohibited from volunteering because of her alleged behavior as a volunteer. Along with this background information, IDOC reiterated that the remaining documents in Ms. Neumann’s volunteer file were being withheld pursuant to §§ 904.602(2)(k) and 904.602(10).

Analysis
The sections IDOC relies on to withhold the remaining documents that are responsive to Ms. Neumann’s request appear in Chapter 904 of the Code, which governs the Department of Corrections.1 Section 904.602(10) makes all internal investigations of IDOC confidential, unless otherwise ordered by a court.2 Section 904.602(2)(k) makes confidential investigations by IDOC or other agencies that are contained in the file of an individual who is receiving or has received
services from IDOC.3

Ms. Neumann’s request consists of two parts: 1) a full copy of her volunteer file; and 2) all correspondence and communication regarding Ms. Neumann and inmate #6885680, Bradly Woods, from March 2020 to March 2023 regardless of whether that is contained within Ms. Neumann’s volunteer file.

IDOC did release some documents to Ms. Neumann. Her complaint stems from the incompleteness of the information released: her request was for her “full volunteer file” and “all correspondence,” but she received less than all of these documents.

IDOC has stated that the information it withheld is confidential either because it is is part of an internal investigation of IDOC, or because it is part of an investigation contained in the file of an individual who has received services from IDOC (presumably inmate #6885680, Bradley Woods).

In essence, IDOC’s position can be summarized as follows:
1.) That IDOC cannot release Ms. Neumann’s “full volunteer file” because the remaining documents within it are part of a internal investigation into Ms. Neumann’s volunteer work at IMCC, which makes those documents confidential under § 904.602(10); and
2.) That IDOC cannot release all correspondence and communication regarding Ms. Neumann and inmate #6885680, Bradly Woods, from March 2020 to March 2023, regardless of whether that is contained within Ms. Neumann’s volunteer file” because, to the extent the information is not contained within Ms. Neumann’s
volunteer file, it is investigatory information contained in Bradley Wood’s file (i.e., the file of an individual who has received correctional services), which makes that information confidential under § 904.602(2)(k).

IDOC’s statements regarding the nature and location of the withheld information, along with the background information provided regarding Ms. Neumann’s volunteer history, support the conclusion that IDOC appropriately withheld the information pursuant to §§ 904.602(2)(k) and 904.602(10).

Ms. Neumann argues that because IDOC stated that parts of the volunteer file consist of letters from third parties to IDOC regarding Ms. Neumann’s behavior as a volunteer, they should not be considered part of the internal investigation into her. Letters regarding Ms. Neumann’s alleged behavior as a volunteer, which alleged behavior precipitated the internal investigation into her, do not seem out of place in an investigatory file investigating those very allegations.

Conclusion
Ms. Neumann requested a full copy of her volunteer file and all correspondence and communication regarding Ms. Neumann and inmate #6885680, Bradly Woods, from March 2020 to March 2023 regardless of whether that is contained within her volunteer file. Ms. Neumann does not dispute the fact that she was ultimately prohibited from volunteering at the IMCC because of alleged actions she took as a volunteer. Nor does Ms. Neumann dispute that Bradley Woods is an inmate, and therefore is an individual receiving services from IDOC. These undisputed facts, along with IDOC’s statements regarding the location and nature of the withheld information, support the conclusion that IDOC appropriately withheld the remaining information and did not violate Chapter 22.

Iowa Code § 23.8 requires that a complaint be within the IPIB’s jurisdiction, appear legally sufficient, and have merit before the IPIB accepts a complaint.

Following a review of the allegations on their face, it is found that this complaint does not meet those requirements.

IT IS SO ORDERED: Formal complaint 23FC:0054 is dismissed as without merit pursuant to Iowa Code § 23.8(2) and Iowa Administrative Rule 497-2.1(2)(b).

Pursuant to Iowa Administrative Rule 497-2.1(3), IPIB may “delegate acceptance or dismissal of a complaint to the executive director, subject to review by the board.” IPIB will review this Order on July 20, 2023. Pursuant to IPIB rule 497-2.1(4), the parties will be notified in writing of its decision.

By IPIB Executive Director
_________________________
Erika Eckley, J.D.

1 Section 22.7 is not the exclusive source of confidentiality for public records. Calcaterra v. Iowa Bd. of Med., 965 N.W.2d 899, 906 (Iowa 2021).

2 Regulations, procedures, and policies that govern the internal administration of the department and the judicial district departments of correctional services under chapter 905, which if released may jeopardize the secure operation of a correctional institution operation or program are confidential unless otherwise ordered by a court. These records include procedures on inmate movement and control; staffing patterns and regulations; emergency plans; internal investigations; equipment use and security; building plans, operation, and security; security procedures for inmates, staff, and visitors; daily operation records; and contraband and medicine control. These records are exempt from the public inspection requirements in section 17A.3 and section 22.2. Iowa code §
904.602(10).

3 The following information regarding individuals receiving or who have received services from the department or from the judicial district departments of correctional services under chapter 905 is confidential and shall not be disseminated by the department to the public: . . . Investigations by the department or other agencies which are contained in the individual's file. Iowa Code § 904.602(2)(k).