Current through Register Vol. 46, No. 19, March 20, 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
421-2.1 (22). For each record
system, this rule describes the legal authority for the collection or
maintenance of that information; the means of storage of that information and
indicates when applicable; if a data processing system matches, collates, or
permits the comparison of personally identifiable information in one record
system with personally identifiable information in another record system; and
when the record system is confidential, indicates the statutory authority. The
record systems maintained within the agency are:
(1)
Personnel records.
a. The agency maintains files containing
information about employees, families and dependents, and applicants for staff
positions within the agency. These files include, but are not limited to,
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 employees
and related issues. Some of this information is confidential under Iowa Code
section
22.7(11).
b. The legal authority for maintaining the
records for state-funded programs is Iowa Code section
8A.106 and chapter
216A. The legal authority for maintaining the records for federally funded
programs is the Omnibus Budget Reconciliation Act, P.L. 97-35; Freedom of
Information Act,
5 U.S.C.
552a; Juvenile Justice and Delinquency
Prevention Act, P.L. 93-415; Victims Compensation and Assistance Act, P.L.
98-473; and other federal statutes from which federal funds are
granted.
c. The information is
maintained on paper and some parts are on a data processing system that
matches, collates or permits the comparison of some personally identifiable
information within the state's automated data processing system.
d. Certain information contained within this
record system is confidential under the authority of Iowa Code section
22.7(11).
(2)
Advocacy records.
a. The agency maintains files containing
information pertaining to clients receiving advocacy or referral services to
help alleviate or solve a problem. Such information may include, but is not
limited to, names and addresses of clients, documents or other material
relating to advocacy issues, social or economic conditions or circumstances of
particular clients, department evaluations of information about clients,
medical or psychiatric data provided to the department concerning a client, and
legal data related to the client. These files may be indexed by advocacy files,
client files, interpreting files or any direct service involving individual
client assistance set forth in this rule or by statute.
b. The authority for maintaining these
records is Iowa Code chapter 216A; the Omnibus Budget Reconciliation Act, P.L.
97-35; Juvenile Justice and Delinquency Prevention Act, P.L. 93-415; Victims
Compensation and Assistance Act, P.L. 98-473; and other federal statutes from
which federal funds are granted.
c.
Information is maintained on paper, electronically, and in other available
mediums.
d. Information contained
within this record system is confidential under the authority of Iowa Code
sections
22.7(18)
and
216A.6.
(3)
Fiscal records.
a. The agency maintains files containing
fiscal information for state-funded programs and federally funded grants or
contracts that may contain personally identifiable information.
b. The authority for maintaining these
records is Iowa Code chapter 216A and federal statutes from which federal funds
are granted.
c. These records are
stored on paper and on the state's automated data processing system that
matches, collates or permits the comparison of some personally identifiable
information.
d. Certain information
contained within this record system is confidential under the authority of Iowa
Code section
22.7(11).
(4)
General correspondence, mailing
lists, and program or grant data.
a.
The agency maintains correspondence files, grant notices and applications,
conference or committee listings and reports, board and commission meeting
minutes, mailing lists, program and grant information including surveys or
specialized reports and activities that contain some personally identifiable
information that may include names, addresses or other descriptive
data.
b. The authority for
maintaining these records is Iowa Code chapter 216A; the Omnibus Budget
Reconciliation Act, as amended, P.L. 97-35; Juvenile Justice and Prevention
Act, P.L. 93-415; Victims Compensation and Assistance Act, P.L. 98-473; and
other federal statutes from which federal funds are granted.
c. The information is maintained on paper and
in computer systems.
d. These
records are generally open to the public unless otherwise authorized to be
confidential by law.
(5)
Criminal and juvenile justice information obtained from other
agencies.
a. The agency maintains
files containing criminal and juvenile justice information obtained from other
agencies to conduct research and evaluations, to provide data and analytical
information to federal, state and local governments, and to assist other
agencies in the use of criminal and juvenile justice data. These files may
contain personally identifiable information.
b. The agency maintains these records
pursuant to the authority of Iowa Code sections
216A.136
and
216A.138
and by interagency agreements.
c.
The information is maintained on paper, some of which is also in computer
files, or in computer files and not on paper, or on a data processing system.
Some of these files and systems are capable of matching, collating or
permitting the comparison of some personally identifiable
information.
d. Certain criminal
and juvenile justice information contained within these records and record
systems is confidential under state or federal law or rule.