Iowa Administrative Code › Agency 141 - Ombudsman › Chapter 3 - Information Practices › Rule 141-3.12 - 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 the record systems and the means by which that
				information is stored. Unless otherwise stated, the authority to collect the
				information is provided by Iowa Code chapter 2C and the statutes governing the
				subject matter of the record. The agency maintains record systems that include
				case files, litigation files, personnel files, and applicant files.
(1)
Case files.
Case files
			 contain information related to complaints and information requests, stored in
			 either paper form or electronically in a case management system. These files
			 contain names and locations of persons who contacted the agency, methods of
			 contact, agency staff members who handled the case files, the dates the files
			 were opened and closed, the subjects of the contacts, and the agencies
			 involved. The files also include notes and memoranda of agency staff members
			 and may include research materials, correspondence, and documents provided by
			 complainants or agencies involved in the complaint. These files are
			 confidential pursuant to Iowa Code section
			 2C.8.
(2)
Litigation files.
The
			 litigation files contain information regarding litigation or anticipated
			 litigation, which includes judicial and administrative proceedings. These files
			 include pleadings, briefs, depositions, discovery materials, docket sheets,
			 general correspondence, attorney-client correspondence, documents, memoranda,
			 investigative information, research materials, witness information, attorney's
			 notes, information compiled under the direction of the attorney, and case
			 management records. These files may be stored in paper or electronic form.
			 These files contain materials which are confidential as attorney work product
			 and attorney-client communications or which are confidential under Iowa Code
			 section 2C.8 or other applicable law, or
			 because of a court order.
(3)
Personnel files.
The personnel files contain information about
			 the employees in the agency. These files include payroll records, information
			 required for tax withholding, biographical information, medical information
			 relating to disability, information concerning employee benefits, performance
			 evaluations and reviews, disciplinary information, and other information
			 concerning employer-employee relationships. These records may be stored in
			 paper or electronic form. Some information in these records is confidential
			 under Iowa Code section
			 22.7.
(4)
Applicant files.
The
			 applicant files contain information about applicants for positions with the
			 agency. These files include biographical information, correspondence, equal
			 employment opportunity and affirmative action data, and other preemployment
			 materials. These files may be stored in paper or electronic form. Some
			 information in these files is confidential under Iowa Code section
			 22.7 or other applicable
			 law.