Iowa Administrative Code › Agency 781 - Treasurer of State › Chapter 2 - Public Records and Fair Information Practices › Rule 781-2.14 - 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 2.1(17A,22).
						Unless otherwise stated, the authority for this office to maintain the record
						is provided by Iowa Code chapter 12 and statutes governing the subject matter
						of the record. 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 another
						record system. The record systems maintained by the agency are:
(1)
Unclaimed property
-
missing owner records.
Records containing lists of names,
					addresses, city, and ZIP codes of persons who have abandoned cash, stock or
					safe deposit contents. The list contains the amount abandoned and the date such
					was reported to the treasurer. These records are available for viewing on
					microfiche in the treasurer's office and on printouts at state and county fairs
					statewide. This personally identifiable information is collected under the
					authority of Iowa Code chapter 556 and is maintained on paper, microfiche, and
					an automated data processing system.
(2)
Unclaimed property-holder
					reports.
These annual reports are filed by financial institutions,
					insurance companies, and corporations. The original report is filed by name and
					is available on paper only. These records are collected under the authority of
					Iowa Code chapter 556.
(3)
Pledging of public funds.
Records containing the name of
					federally insured bank, bank office, or credit union approved by the treasurer
					of state to accept the deposits of public funds in excess of federal insurance.
					Also included are the approved custodians which act as a safekeeping agent for
					the treasurer of state in holding collateral pledged by a depository to secure
					deposits of public funds. These records contain personally identifiable
					information collected under the authority of Iowa Code chapter 453. The
					information is maintained on paper.
(4)
Linked deposit programs.
Records containing linked deposits made by the treasurer of state under the
					horticulture and alternative crop program or the targeted small business
					program including information regarding the nature, terms, and amounts of the
					loans upon which the linked deposits were based and the names of the eligible
					borrowers to which the loans were made. The records include signed
					applications, agreements, correspondence, and program reports. These records
					contain personally identifiable information on the borrower and the lender,
					collected under the authority of Iowa Code section
					12.43.
					The information is maintained on paper and on a word processor
(5)
Records of disclosure of
					information from persons or financial institutions regarding their open-end
					credit, credit cards, and financial services.
These records contain
					personally identifiable information, collected under the authority of Iowa Code
					section
					12.27. The information
					on credit cards is kept on paper and in an automated data processing system.
					The financial services and open-end credit information is maintained on paper
					only. These records are filed by names of institutions or persons
					reporting.
(6)
Request for
					proposal (RFP).
Records of solicitations to vendors to submit
					proposals for providing professional services. These records may contain
					personally identifiable information, collected under the authority of Iowa Code
					sections
					12.30,
					97A.7, and
					602.9111. The
					information is maintained on paper and filed by vendor's name. Sealed bids
					received prior to selection will be confidential under the authority of Iowa
					Code section
					72.3.
					Also to be considered by the treasurer of state are requests from vendors who
					have submitted business information, desiring to have all or part of that
					information treated as confidential.
(7)
Report on state and local
					government bonding activities.
Records of information regarding
					outstanding obligations. These records contain personally identifiable
					information collected under the authority of Iowa Code section
					12.30.
					The information is filed by the name of political subdivisions,
					instrumentalities, agencies, and authorities of the state and is maintained on
					paper and in an automated data processing system.
(8)
South Africa-related investments
					and deposits.
Records include a list of companies that do business in
					or with the Republic of South Africa maintained for the purpose of which state
					funds and funds administered by the state shall not be invested or deposited in
					financial institutions or companies making loans or doing business with or in
					the Republic of South Africa. These records contain personally identifiable
					information, collected under the authority of Iowa Code sections
					12A.1 through
					12A.5. The
					information is maintained on paper and a word processing system, filed by
					company name. The list is developed with reference to information obtained from
					the United States Department of Commerce and Arthur D. Little, Inc., and other
					authoritative sources.
(9)
Personnel files.
These files contain information about
					employees, families and dependents, and applicants for positions with the
					agency. The files include payroll records, biological information, medical
					information relating to disability, performance reviews and evaluations,
					disciplinary information, information required for tax withholding, information
					concerning employee benefits, affirmative action reports; table of authorized
					positions, and other information concerning the employer-employee relationship.
					Some of this information is confidential under Iowa Code section
					22.7(11).
(10)
Second injury fund
					records.
Second injury fund records setting forth the balance, income,
					source of income, and payments out of the fund. Records include copies of
					notices of petition, industrial commissioner rulings, appeals filed, and appeal
					decisions all filed by claimant name. These records contain personally
					identifiable information, collected under the authority of Iowa Code sections
					85.63 through
					85.69. The
					information is maintained on paper and certain parts are included on a word
					processing system. Records which represent and constitute the work of an
					attorney, which are related to litigation or claim made by or against the fund
					are considered confidential under the authority of Iowa Code section
					22.7(4).
					All final orders are open to the public.
(11)
Iowa centennial memorial
					scholarship.
Records on persons applying for and receiving
					scholarships from the Iowa centennial memorial foundation. These records
					include applications, letters of recommendation, grade transcripts, statements
					of expenses and awards, and essays. The records contain personally identifiable
					information, collected under the authority of Iowa Code section 504.32. The
					information is maintained on paper only.
(12)
Clerk of court reports.
Records of filing fees and court costs reported and remitted monthly by the
					clerk of court to the treasurer of state. These records may contain personally
					identifiable information, collected under the authority of Iowa Code sections
					602.8105,
					602.8106,
					and
					602.8108.
					The information is maintained on paper only and is filed by county
					name.
(13)
Forgery
					files.
Records concerning repayment for a forged state warrant
					investigated by the department of inspections and appeals. These records may
					include photocopies of forged warrants, correspondence, and copies of
					transmittal receipts to show repayment. These records are filed by claimant's
					name. This information, collected under the authority of Iowa Code section
					12.3,
					is maintained on paper only.
(14)
Financial reports.
Financial reports of distributions to
					cities and counties of the dollar amounts distributed from road use tax, liquor
					tax, franchise tax, hotel-motel tax, local sales and services tax and flood
					control. These records may contain personally identifiable information and are
					filed by county or city name or by a code number Road use tax information is
					collected under the authority of Iowa Code chapter 312, liquor tax under Iowa
					Code section
					125.59,
					franchise tax under Iowa Code section 422.64, hotel-motel tax under Iowa Code
					section 422A.2, local sales and services under Iowa Code sections 422B.8
					through 422B.10, and flood control under federal Code
					33 USC
					701 c 3. These records are maintained on
					paper and in an automated data processing system.
(15)
Records of redeemed warrants
					filed by warrant number.
Locating information is maintained so
					photocopies of warrants may be made when deemed necessary. These records are
					collected under the authority of Iowa Code section
					12.3.
					These records are maintained on paper and an automated data processing system
					and filed by warrant number. Locating information is kept on microfiche.
					Microfilmed warrants which may contain personally identifiable information,
					such as to whom the warrant was issued, are kept at the state records
					center.
(16)
Records of
					invest-in-Iowa program.
Records of Iowa banks, savings and loans, and
					credit unions which have certificates of deposit from the treasurer of state.
					These records contain personally identifiable information, collected under the
					authority of Iowa Code section
					12.8.
					These records are maintained on paper and on a word processing system, filed by
					institution name.
(17)
Bank
					records.
Records of bank statements on the general operating accounts,
					filed by bank name and date. These records contain personally identifiable
					information, collected under the authority of Iowa Code section
					12.10.
					The records are maintained on paper only.
(18)
Loan agreements.
Records of agreements executed with brokers in order for borrowing of
					securities, filed by broker name. These records contain personally identifiable
					information, collected under the authority of Iowa Code section
					12.8.
					The records are maintained on paper only.
(19)
Receipts transmittal letters of
					moneys deposited by state agencies.
These records are filed by agency
					name and by date, collected under the authority of Iowa Code section
					12.10.
					These records are maintained on paper and on an automated data processing
					system.
(20)
Public bonds
					and obligations.
Records of identity of owners of public bonds or
					obligations maintained as provided in Iowa Code section
					76.10
					or by the issuer of the public bonds or obligations. These records contain
					personally identifiable information, collected under the authority of Iowa Code
					sections
					76.10
					and
					12.26
					through
					12.30.
					These records are confidential under Iowa Code section
					22.7(17).
					However, the issuer of the bonds or a state or federal agency may obtain
					information as necessary under Iowa Code section
					76.11.
(21)
Missing shareholders of
					liquidated corporation file.
This file is a listing of last known
					name, address, city, ZIP code, and dollar amount owed for persons who are
					entitled to proceeds from closed corporations. The file lists names collected
					for the past 20 years. After 20 years, ownership reverts to the state and the
					file is abolished. The file is maintained on a word processor and is available
					on paper for review by appointment made with the unclaimed property division in
					the Hoover Building. The file is collected under Iowa Code section 496.101.
					This information is not maintained in an automated data processing
					system.