Iowa Administrative Code › Agency 185 - Alcoholic Beverages Division › Chapter 18 - Public Records and Fair Information Practices › Rule 185-18.14 - 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
				185-18.1 (123,22). For each
				record system, this rule describes the legal authority for the collection of
				that information, the means of storage of that information and indicates
				whether 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. The record systems
				maintained by the agency are:
(1)
Licensing records.
Licensing records include, but are not
			 limited to, information identifying ownership, location, form of business
			 entity and statements concerning eligibility of applicants to hold retail
			 alcohol licenses and permits. These records are collected and maintained
			 pursuant to Iowa Code sections
			 123.23,
			 123.29,
			 123.30,
			 123.33,
			 123.42,
			 123.49,
			 123.124,
			 123.125,
			 123.127,
			 123.135,
			 123.173,
			 123.175,
			 123.176, and
			 123.180. Licensing records are
			 stored on microfiche, in an automated data processing system, and in extant
			 form. The information stored in the automated data system does not match,
			 collate or permit comparison with other data processing systems. The
			 information contained in licensing records is public information.
(2)
Contested case matters.
These records are collected and maintained pursuant to Iowa Code sections
			 17A.12,
			 17A.3(1)
"d,"
17A.3(2), 123.24, 123.39, 123.49, and 123.50. Contested
			 case matters are stored on microfiche, and in extant form. The information
			 stored does not match, collate or permit comparison with other data processing
			 systems. The information contained in contested case matters is public
			 information. Contested case matters include all pleadings, motions, briefs,
			 orders, transcripts, exhibits, and physical evidence utilized in the resolution
			 of the matter.
(3)
Waivers
			 of rule and declaratory rulings.
Waivers of rule and declaratory
			 rulings may contain information which identifies individuals. These records are
			 maintained pursuant to Iowa Code section
			 17A.9 and rule
			 185-1.3 (123,17A). Waivers of
			 rule and declaratory rulings are stored on microfiche and in extant form. The
			 method of storage does not match, collate or permit comparison with other data
			 processing systems. The information contained in waivers of rule and
			 declaratory rulings is public information.
(4)
Purchase orders, invoices,
			 account numbers and personal identification numbers.
Purchase orders
			 and invoices include, but are not limited to, records of purchases of alcoholic
			 liquor made by class "E" retail alcohol licensees from the agency and related
			 shipping and transmittal documents. Account numbers and personal identification
			 numbers identify individual class "E" retail alcohol licensees and provide the
			 agency with a method of filling orders, shipping and obtaining payment for
			 liquor from telephone orders by class "E" retail alcohol licensees. These
			 records are collected and maintained pursuant to Iowa Code sections
			 123.16,
			 123.24 and
			 123.30. Purchase orders are
			 stored in extant form and in automated data processing systems. The automated
			 data processing systems used to store these records do not match, collate, or
			 permit comparison with other data processing systems except to the extent that
			 such records may be used by warehouse personnel for inventory control, movement
			 of alcoholic liquor within the warehouse, and filling and shipping orders to
			 class "E" retail alcohol licensees. The information contained in these records
			 which identifies purchases made by individual class "E" retail alcohol
			 licensees is confidential pursuant to Iowa Code section
			 22.7.
(5)
Bailment shipments.
Records of bailment shipments include, but are not limited to, information
			 derived from suppliers concerning shipments of alcoholic liquor into the state
			 warehouse facility, information generated internally concerning alcoholic
			 liquor received from suppliers, information generated by the agency for
			 accounting purposes concerning liquor purchases from suppliers, and information
			 generated by the agency for purposes of inventory control. Records of bailment
			 shipments may contain personally identifiable information on class "E" retail
			 alcohol licensees, and to the extent that such record contains information on
			 purchases of liquor by individual class "E" retail alcohol licensees, the
			 record is confidential. These records are collected and maintained pursuant to
			 Iowa Code section 123.30. Records of bailment
			 shipments are stored in extant form and in automated data processing systems.
			 The method of storage does not match, collate, or permit comparison with other
			 data processing systems, except that comparisons may be made for purposes of
			 agency tracking or auditing liquor inventory.
(6)
Nonliquor related
			 vendors.
Nonliquor related vendors include, but are not limited to,
			 records of purchases of office supplies, warehouse supplies, trucks, trucking
			 equipment and repairs, used in the internal operation of the agency. These
			 records may contain personally identifiable information, and are collected and
			 maintained pursuant to Iowa Code section
			 123.20. The information
			 contained in these records is public information. These records are stored in
			 extant form, and do not match, collate or permit comparison with automated data
			 processing systems.
(7)
Leases.
Leases include records related to agency subleasing of
			 former state liquor stores, the names and addresses of sublessees and
			 landlords, and information concerning the buildings. This information is
			 collected and maintained pursuant to Iowa Code section
			 123.20, and is public
			 information. The records are stored in extant form and do not match, collate or
			 permit comparison with automated data processing systems.
(8)
Inspections and audits of
			 licensees' books and records.
Inspections and audits of licensees'
			 books and records contain personally identifiable information relating to the
			 operation of licensed establishments and beer and wine wholesalers' operations.
			 These records are collected and maintained pursuant to Iowa Code sections
			 123.33 and
			 123.138. These records are
			 stored in extant form, and the manner of storage does not permit comparison
			 with automated data processing systems. The information is public information,
			 except to the extent that the records concerning purchases of liquor made by
			 class "E" retail alcohol licensees from the agency are confidential. To the
			 extent that these records may be used in anticipation of formal administrative
			 proceedings, criminal or civil proceedings against a licensee or permittee,
			 this chapter does not apply to these records.
(9)
Litigation files.
These
			 files or records contain information regarding litigation or anticipated
			 litigation, which includes judicial and administrative proceedings. The records
			 include briefs, depositions, docket sheets, documents, correspondence,
			 attorneys' notes, memoranda, research materials, witness information,
			 investigation materials, information compiled under the direction of the
			 attorney, and case management records. The files contain materials which are
			 confidential as attorney work product and attorney-client communications. Some
			 materials are confidential under other applicable provisions of law or because
			 of a court order. Persons wishing copies of pleadings and other documents filed
			 in litigation should obtain these from the clerk of the appropriate court which
			 maintains the official copy.
(10)
Personnel files.
The agency maintains files containing
			 information about employees, families and dependents, and applicants for
			 positions with the agency. The files include 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 is confidential under Iowa Code section
			 22.7(11).