Iowa Administrative Code › Agency 876 - Workers' Compensation Division › Chapter 9 - Public Records and Fair Information Practices › Rule 876-9.13 - Personally Identifiable Information

Current through Register Vol. 47, No. 3, July 24, 2024
(1) 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 9.1(17A,22,85-87). 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. Unless otherwise stated, the authority for this agency
			 to maintain the record is provided by Iowa Code chapters 17A, 22, and
			 85 to 87. The record systems maintained by the agency are:
a. Records submitted to and
			 gathered by the division of workers' compensation pursuant to Iowa
			 Code chapters 17A, 22, and 85 to 87 and this agency's rules regarding
			 claims for workers' compensation benefits. These records are stored
			 in an automated data processing system, hard copy, microfilm, or
			 microfiche. These records may contain medical records, briefs,
			 depositions, transcripts of evidence, pictures, diagrams, exhibits,
			 charts, employer records, insurance carrier records, vocational
			 rehabilitation records, attorney records, court records,
			 correspondence, claim form data, wage records, docket sheets,
			 memoranda, attorney or staff notes, research material, witness
			 information, documents, case management records, investigation
			 materials, and any other records obtained pursuant to Iowa Code
			 chapters 17A, 22, and 85 to 87 and this agency's rules. These records
			 may be stored in an automated data processing system, hard copy,
			 microfilm, or microfiche. These records may contain, in whole or in
			 part, records determined to be confidential as defined in subrule
			 9.12(4).
b. Records which
			 constitute the work product of an employee of the agency pursuant to
			 Iowa Code chapters 17A, 22, and 85 to 87 and this agency's rules.
			 These records may be stored in an automated data processing system,
			 hard copy, microfilm, or microfiche. Some of these records may
			 contain, in whole or in part, records determined to be confidential
			 as defined in subrule 9.12(4).
c. Personnel files. The agency
			 maintains files containing information about employees, families and
			 dependents, and applicants for positions with the agency. These 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).
d. Other groups of records. This
			 subrule describes groups of records maintained by the agency other
			 than record systems as defined in rule 9.1(17A,22,85-87). These
			 records are routinely available to the public. However, the agency's
			 files of these records may contain confidential information as
			 discussed in rule 9.12(17A,22,85-87). The records listed may contain
			 information about persons.
(1)
			 Rule-making records. Public documents generated during the
			 promulgation of agency rules, including notices and public comments,
			 are available for public inspection. This information is collected
			 pursuant to Iowa Code section 17A.4. This information may be stored
			 in an automated data processing system and may have the capability of
			 retrieval by a personal identifier.
(2) Agency records. Agendas,
			 minutes, and materials presented to the division of workers'
			 compensation are available from the custodian, except those records
			 concerning closed sessions which are exempt from disclosure under
			 Iowa Code section 21.5(4)  or which are otherwise confidential by law.
			 Agency records may contain information about persons who participate
			 in meetings. This information is collected pursuant to Iowa Code
			 sections 21.3 and 85A.2(4). These records may be stored in an
			 automated data processing system and may have the capability of
			 retrieval by a personal identifier.
(3) Publications. News releases,
			 annual reports, project reports, agency newsletters, etc., are
			 available at the administrative office of the agency. Brochures
			 describing various agency programs are available at the
			 administrative office of the agency. Agency news releases, project
			 reports, and newsletters may contain information about persons,
			 including agency staff or members of agency committees. Most
			 publications of general interest are available in the state law
			 library. These records may be stored in an automated data processing
			 system and may have the capability of retrieval by a personal
			 identifier.
(4)
			 Statistical reports. Reports of agency data are available from the
			 agency. Statistical reports may contain personally identifiable
			 information. These records may be stored in an automated data
			 processing system and may have the capability of retrieval by a
			 personal identifier.
(5)
			 Decisions and opinions. All records of contested case proceedings,
			 decisions, orders, rulings, settlements, and opinions are open to the
			 public. These records contain information about a person collected
			 under the authority of Iowa Code chapters 17A, 22, and 85 to 87 and
			 this agency's rules. These records may be stored in an automated data
			 processing system and may have the capability of retrieval by a
			 personal identifier.
(6)
			 Declaratory rulings and declaratory orders. Records may contain
			 information about persons making requests for declaratory rulings,
			 declaratory orders or comments from other persons concerning the
			 rulings or orders. This information is collected pursuant to Iowa
			 Code section 17A.9. These records may be stored in an automated data
			 processing system and may have the capability of retrieval by a
			 personal identifier.
(7)
			 Published materials. The agency uses many legal and technical
			 publications in its work. The public may inspect these publications
			 upon request. Some of these materials may be protected by copyright
			 law.
(8) Policy manuals.
			 The agency employees' manuals are available in the administrative
			 office of the agency. Subscriptions to all or part of the employees'
			 manuals are available at the cost of production and handling.
			 Requests for subscription information should be addressed to the
			 Division of Workers' Compensation, 150 Des Moines Street, Des Moines,
			 Iowa 50309. Policy manuals may contain confidential information under
			 Iowa Code section 17A.2(7)
"f"
or other applicable
			 provision of law.
(9) All
			 other records that are not exempted from disclosure by law.
e. Other records used by
			 the agency which may not otherwise be accounted for by these rules
			 include correspondence files, surveys, information and data files,
			 requests for review of open records, budget documents, agency
			 property, yearly reports, office policy for employees, time sheets,
			 and records used for processing purposes internally (such as data
			 processing and word processing requests, supply shipments, vouchers,
			 requisitions, charge accounts, order, etc.). Some of these records
			 may contain information about persons.