Iowa Administrative Code › Agency 61 - Attorney General › Chapter 2 - Public Records and Fair Information Practices › Rule 61-2.14 - 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 2.2(17A,22).
				Unless otherwise stated, the authority for this office to maintain the record
				is provided by Iowa Code chapter 13, the statutes governing the subject matter
				of the record, and the enabling statutes of the agency client, where
				applicable. Because this office primarily acts as an attorney for the state,
				its officers and agencies, almost all record categories contain information
				which is confidential as attorney work product or attorney-client
				communications. Those privileges may render some or all of the following
				information confidential whether or not asserted in the description of the
				record. The record systems maintained by the agency are:
(1)
Escheats to the state.
Records concerning possible escheats to the state under Iowa Code sections
			 633.543
			 to
			 633.546.
			 These records consist primarily of court records and correspondence concerning
			 estates. This office advises the department of revenue, which maintains the
			 original records.
(2)
Litigation files.
These files or records contain information
			 regarding litigation or anticipated litigation, which includes judicial and
			 administrative proceedings. The records include pleadings, briefs, depositions,
			 discovery material, docket sheets, documents, general correspondence,
			 attorney-client correspondence, attorneys' notes, memoranda, research
			 materials, witness information, investigation materials, information compiled
			 under the direction of the attorney, and case management records. Most of these
			 records are paper files. However, some case management records and other
			 records are in computer form. The files are generally maintained by division
			 and are commonly indexed by the name of the opposing party. Some files are
			 indexed by subject matter, witness, agency, or other category. 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.
(3)
Criminal
			 data.
Information pertaining to criminal investigations and charges
			 and criminal history and intelligence data is confidential under Iowa Code
			 sections
			 692.3,
			 692.8,
			 692.18. This
			 office has records concerning criminal cases and investigations as a result of
			 prosecutions brought by the area prosecutor's division, appeals by the criminal
			 appeals division, advice to the department of public safety, and other law
			 enforcement functions of the attorney general. Peace officer investigative
			 reports containing criminal investigative data are confidential under Iowa Code
			 section
			 22.7(5),
			 prior to and following the filing of a charge, except as otherwise ordered by
			 the court. Investigative information obtained through grand jury proceedings or
			 pursuant to a prosecuting attorney's subpoena is confidential under Iowa Rules
			 of Criminal Procedure 3, 4, and 5(6). Confidential informant information is
			 protected under Iowa Code section
			 22.7(18).
			 Minutes of testimony or evidence attached to an indictment or trial information
			 are not open to inspection by any person other than the court, the prosecuting
			 attorney, or the defendant and defendant's counsel under Rule 4(6)(b).
			 Constitutional restraints, statutes, the Rules of Criminal Procedure, the Iowa
			 Code of Professional Responsibility, and the American Bar Association Standards
			 on pretrial publicity further restrict dissemination of investigative
			 information in criminal cases prior to or during the course of a criminal trial
			 proceeding.
Except as noted above, the charging document and pleadings
				filed in criminal cases are public records. Copies may be obtained from the
				clerk of the appropriate court where the official record of the proceeding is
				maintained.
(4)
Other investigative files.
This office from time to time
			 conducts investigations for a variety of purposes other than enforcement of
			 criminal statutes. Investigative materials are subject to any applicable
			 confidentiality requirements and may be confidential as attorney work
			 product.
(5)
Attorney
			 advice records.
Attorneys in many divisions represent state agencies
			 and officers as well as provide advice to state agencies and officers on a
			 variety of topics. In the course of this representation this office compiles
			 records from those agencies and creates records. These files may contain legal
			 research, attorneys' notes, attorney advice, investigative materials, etc.
			 Attorney advice files often overlap with litigation files. Much of this
			 information is confidential as attorney work product or attorney-client
			 communication. Some of it may also be confidential under other law governing
			 dissemination of the subject matter or governing access to the agency records
			 in question. Some of these files may be retrieved by the names of individuals
			 in division files; the files may have information concerning individuals who
			 are involved in the legal matter. Most of the records are in paper form; some
			 are stored in computerized form.
(6)
Antitrust
			 investigations.
The special litigation division has records of
			 investigations of alleged violations of Iowa Code chapter 533 or other
			 antitrust laws. Information obtained in an investigation under Iowa Code
			 section 533.9 is confidential as provided in that section. These files may also
			 contain attorney notes and memos protected as attorney work product. Pleadings
			 may be obtained from appropriate clerk of court.
(7)
Claim files.
The tort
			 claims division maintains files of general claims against the state, tort
			 claims, and highway claims. The transportation division maintains files of
			 claims against the department of transportation. These files are maintained
			 pursuant to Iowa Code chapters 25 and 669. The files are retrievable by number
			 or name of the claimant. These files contain information which is confidential
			 as attorney work product and attorney-client communications and may contain
			 information which is confidential under other applicable provisions of law.
			 Those matters within the files which are open for public inspection are copies
			 of records within the possession of the state appeal board. Requests to examine
			 and copy claim records would generally be referred to the executive secretary
			 of the state appeal board who maintains the official record.
(8)
Consumer protection division and
			 farm division complaints files.
These files contain consumer
			 complaints, investigations, responses from businesses, correspondence, and
			 other materials. The complaints themselves, including but not limited to
			 consumer credit code complaints under Iowa Code chapter 537, and inquiries
			 concerning complaints are open records. Some responses and information received
			 during a potential investigation, investigation, or litigation may be
			 confidential under Iowa Code sections
			 22.7(3),
			 22.7(6),
			 22.7(18),
			 and
			 622.11. Work
			 product of an attorney or an investigator at an attorney's direction is
			 considered to be confidential work product. The name or identity of a person
			 whose acts or conduct the administrator of the consumer credit code
			 investigates pursuant to Iowa Code section
			 537.6106,
			 and the facts disclosed in the investigation, are confidential under Iowa Code
			 section
			 537.6106(4).
			 Criminal history or intelligence data contained in a file is confidential under
			 Iowa Code sections
			 22.7(5),
			 692.13, and
			 692.18.
(9)
Consumer protection and farm
			 division database files.
Some of the information in complaint files is
			 also contained on a computer database for investigative purposes pursuant to
			 the consumer fraud Act, Iowa Code section
			 714.16. This
			 serves as a means of organizing information on particular problem areas into a
			 readily accessible format. The information can be retrieved by name of the
			 consumer or respondent or by subject matter of the complaint. The records are
			 subject to the same confidentiality provisions as are complaint
			 files.
(10)
Records.
State of Iowa files are a subpart of the complaint
			 file system and contain general information on an individual or business
			 including correspondence, investigative information, agency subpoenas, demands
			 for information and responses. Work product information contained in the state
			 of Iowa file is considered confidential. The records are subject to the same
			 confidentiality provisions as are complaint files.
(11)
Consumer protection and farm
			 division investigative records.
The consumer protection division and
			 farm division participate with the Federal Trade Commission, the United States
			 Postal Service and other state attorneys general offices in sharing
			 investigative information. The information is computerized and indexed by the
			 name of the business or individual who is under investigation. The agencies who
			 participate in these information exchange programs do so pursuant to agreements
			 whereby the information is kept confidential. The records are confidential
			 pursuant to Iowa Code sections
			 22.7(4)
			  and
			 22.9.
			 The attorney general's office has determined that the viability and utility of
			 these information-sharing systems depend, in part, on the willingness of the
			 Federal Trade Commission and United States Postal Service to participate.
			 Neither of those agencies of the federal government would participate in the
			 information-sharing program unless the confidentiality of the data was
			 maintained. In order, therefore, to prevent the denial of services and
			 information provided by these agencies, the information will be kept
			 confidential and any requirements to the contrary in Iowa Code chapter 22 must
			 be waived as provided in Iowa Code section
			 22.9.
(12)
Human services monetary
			 collections records.
The human services division maintains on behalf
			 of the Iowa department of human services monetary collection files which
			 contain correspondence, settlement, litigation, and collection records.
			 Collections files for medical subrogation/Title XIX contain information
			 relative to Title XIX medical assistance claims paid on behalf of a recipient,
			 including printouts, copies of claims, correspondence and pleadings regarding
			 personal injury lawsuits; this information is collected under Iowa Code section
			 249A.6 and
			 chapter 13 and is confidential under Iowa Code section
			 217.30.
			 Collections files for mental health institutes contain information relative to
			 treatment and counseling on an outpatient self-pay basis. The information is
			 confidential under Iowa Code sections
			 22.7(2),
			 217.30,
			 229.24,
			 and
			 229.25,
			 and chapter 228. Hospital schools collection records contain similar
			 information about individuals and are confidential under Iowa Code sections
			 22.7(2),
			 217.30,
			 and
			 218.22, and
			 chapter 228. Veterans home collections files contain information relating to
			 patient treatment, residency, financial qualifications, and contracts. The
			 information is confidential under Iowa Code sections
			 22.7(2),
			 217.30,
			 and
			 218.22. Some
			 records are also confidential as work product or attorney-client
			 communications. Personally identifiable information about mental health
			 institutes, hospital schools, and veterans home patients is collected under the
			 authority of Iowa Code sections
			 218.1 and
			 218.21, and
			 chapter 13. This information is stored in paper form.
(13)
Personnel files.
The
			 department and individual divisions maintain files containing information about
			 employees and applicants for positions with the agency. The files contain
			 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 may be confidential
			 under Iowa Code sections
			 22.7(11)
			  and
			 22.7(18).
			 The transportation division personnel records for former employees after one
			 year are transferred to the department of transportation human resources
			 bureau. Personnel records are stored in both paper and computerized
			 form.
(14)
Child support
			 recovery records.
Attorneys assigned to the child support recovery
			 unit of the department of human services maintain records necessary for the
			 performance of legal services for the child support recovery program, the
			 enforcement of laws for the recovery of child support from responsible
			 relatives, and the supervision of county attorneys in the recovery of child
			 support. These records are confidential under Iowa Code sections
			 217.30,
			 252B.9
			 and as attorney work product and attorney-client communications.
(15)
Sharing of information with
			 child support recovery unit.
Notwithstanding any statutory
			 confidentiality provision, the attorney general may share information with the
			 child support recovery unit through manual or automated means for the sole
			 purpose of identifying registrants or applicants subject to enforcement under
			 Iowa Code chapter 13C, 252J or 557B.