441—9.12(22,252G) Personally identifiable information. The confidentiality provisions affecting records described in this rule are addressed in rule 441—9.11(22).
	9.12(1) Nature and extent. The personally identifiable information collected by the department in its administration of human services programs varies by the type of record. The nature and extent of personally identifiable information is described below:
	a. 	Recipients of assistance. Several different types of department records contain personally identifiable information about recipients of assistance programs such as food assistance, Medicaid, the family investment program, child care assistance, state supplementary assistance, refugee cash and medical assistance, and commodity supplemental foods.
	(1)	Client case file. Local office case files contain identifying information, demographic information, household composition, and income and resource information about applicants for and recipients of assistance, as well as any other persons whose circumstances must be considered in determining eligibility. Records may contain information about employment, disability, or social circumstances. Records identify the kind and amount of benefits received and what proof was obtained to verify the recipient’s eligibility. Case files contain correspondence, appeal requests and decisions, and documentation of department actions.
	(2)	Local office administrative records. Client names and program data are kept in card files, appointment logs, worker case lists, and issuance records.
	(3)	Data processing systems. Client identifying information, eligibility data, and payment data are kept in the following systems. Some of these records are also kept on microfiche.

System	Function	
Automated Benefit Calculation System	Determines eligibility for FIP, food assistance, Medicaid	
Automated Child Abuse and Neglect System	Inactive child abuse/neglect system	
Appeals Logging and Tracking System	Tracks client appeals	
BCCT Program	Establishes Medicaid eligibility for breast and cervical cancer clients	
Change Reporting System	Tracks client-reported changes and produces forms needed for client-reported changes	
Diversion System	Tracks clients using diversion benefits	
Electronic Payment Processing and Inventory
Control System	Electronically issues food assistance	
Eligibility Tracking System	Tracks clients’ FIP eligibility and hardship status	
Family and Children’s Services System	Tracks foster care, adoption, family-centered and family preservation services	
Food Stamps Case Reading Application	Food assistance accuracy tool used to record case reading information	
Health Insurance Premium Payment System	Health insurance premium payment	
Iowa Collection and Reporting System	Tracks child support recovery processes	
Iowa Central Employee Registry	Child support new hire reporting system	
Iowa Eligibility Verification System	Federal social security number verification and benefits	
 	 	
Individualized Services Information System	Used to establish facility eligibility, process data to and from ABC and Medicaid fiscal agent, establish waiver services, providers, and eligibility	
Issuance History	Displays benefit issuances for FIP and food assistance	
KACT System	Authorizes foster care service units	
MEPD Premium Payment Program	Accounting system for billing and payment for Medicaid for employed people with disabilities program	
Managed Health Care Program	Assigns managed health care providers to clients	
Medicaid Management Information Systems	Process clients’ Medicaid claims and assign Medicaid coverage to clients	
Overpayment Recoupment System	Used to recover money from FIP, food assistance, Medicaid, child care assistance, PROMISE JOBS, and hawki clients	
Public Information Exchange	Data exchange between states	
PJCASE	Iowa workforce development interface with PROMISE JOBS	
Purchase of Social Services System	Purchased services (mostly child care and in-home health clients)	
Presumptive Eligibility Program	Establishes Medicaid eligibility for presumptive eligibility clients	
Quality Control System	Selects sample for quality control review of eligibility determination	
RTS Claims Processing System	Processes rehabilitative treatment claims for federal match	
State Data Exchange Display	State data exchange information for supplemental security income recipients	
Social Security Buy-In System	Medicare premium buy-in	
Social Services Reporting System	Services reporting system for direct and purchased services	
Statewide Tracking of Assessment Reports	Tracks child abuse reports	
	(4)	Quality control records. Files are developed containing data required to verify the correctness of department eligibility and benefit decisions for selected clients.
	(5)	Appeals. Records containing client eligibility and payment information are created by the department of inspections and appeals when a client (or, for Medicaid, a provider) requests a hearing on a department action.
	(6)	Fraud. When a client is suspected of fraud, the department of inspections and appeals generates an investigative record containing information pertinent to the circumstances of the case.
	(7)	Recoupment. When benefits have been overpaid, a record is established by the department of inspections and appeals concerning the circumstances of the overpayment and the client’s repayment.
	b. 	Recipients of social services. Several kinds of department records contain personally identifiable information about applicants for and recipients of direct or purchased social services.
	(1)	Client case records. Local offices create client case files containing identifying information and demographic information; income data; information substantiating the need for services, which may include medical, psychological or psychiatric reports; social history; the department evaluation of the client’s situation; documentation of department actions; and provider reports. Records may contain court orders and reports.
	(2)	Local office administrative records. Client names and services data appear in records such as card files, case lists, and appointment logs.
	(3)	Data processing systems. Client identifying information, demographic data, and services eligibility data are stored in the service reporting system. The purchase of services system contains invoice and service payment data. The child and adult protection system contains information from abuse reports and investigations. Some of these records are also kept on microfiche.
	(4)	Appeals. Records containing client identifying information and eligibility information are created by the department of inspections and appeals when a client requests a hearing on a department action.
	(5)	Adoption records. The department keeps a master card file on all adoptions in Iowa as required in Iowa Code section 235.3, subsection 7. This record is also kept on microfilm.
The Iowa Adoption Exchange contains records on special needs children available for adoption and on families that have indicated an interest in adopting special needs children.
The department also keeps records on adoptions in which it has provided services. These files include the home study, information about the child, and legal documents. These records are also kept on microfiche.
	(6)	Abuse registry. Child and dependent adult abuse records contain names and information of the alleged victim and the victim’s family, data on the reported abuse, details of injury, investigative data, name of alleged perpetrator, names of reporters, collateral contacts and findings.
	(7)	Interstate compact records. The department maintains records on placement of children across state lines. These records contain identifying information about the children and the conditions of their placement, as well as progress reports. Some of the records are kept on microfiche.
	(8)	Guardianship records. The department maintains records on all children under its guardianship. The records concern the children’s characteristics and placements. Some of these records are kept on microfiche.
	c. 	Institutions. Institution resident records may contain identifying and demographic information, medical and social histories, treatment records, treatment plans, educational information, admission procedures, financial accounts, county billings, residential unit notes, vocational information, economic data and information about personal effects. Some of this information is kept on microfiche.
Automated data processing systems associated with institutional client records include admission and discharge systems for the juvenile institutions and for the mental health and mental retardation institutions, institutional billing systems, client banking systems, and client data systems.
	d. 	Child support recovery unit (CSRU) records. These records contain information such as client identifiers, demographic information, divorce decrees, child support orders, absent parent identifiers, employment history and physical characteristics of absent parents, payment history records, and termination of parental rights.
	e. 	Collection services center. The collection services center maintains records of support orders issued or filed in Iowa that have been converted to the collection services center system. These records identify the person paying and the person receiving support, specify the support obligations, and contain a record of payments made. Most records are on an automated data processing system. Paper records may also be kept, including conversion documents, orders, and correspondence.
	f. 	Contractor records for individual providers. Records of individual purchase of service and Medicaid providers contain information such as names of owners and employees, names of clients served, eligibility data, amounts of payment for clients, and kinds of services received by clients.
	g. 	Regulatory files on individual providers. Files on persons who apply to be licensed, certified, registered, or approved by the department contain identifying information, a description of the person’s operation or premises, and a department evaluation of the information collected. Files may contain data on criminal records and abuse registry records on the person and any employees. Files may contain information naming clients served (for example, in complaints or incident reports). Some of these records are also kept on microfilm.
	h. 	Personnel files. The department maintains files containing information about employees, families and dependents, and applicants for paid or volunteer positions within the department. The files contain payroll records, biographical information, medical information pertaining to disability, performance reviews and evaluations, disciplinary information, information required for tax withholding and information concerning employee benefits, affirmative action reports, and other information concerning the employer-employee relationship.
	9.12(2) Data processing matching.
	a. 	Internal. All data processing systems operated by the department which have comparable personally identifiable data elements permit the matching of personally identifiable information. (See subrule 9.12(1) for a description of these systems.) Matches which are routinely done include the following:
	(1)	Data from the service reporting system is matched with data from the purchase of service payment system for service eligibility and with the activity reporting system for cost allocation. Matches are also done with the state identification portion of the automated benefit calculation system.
	(2)	The automated benefit calculation system matches with the Medicaid eligibility system, the facility payment system, the child support collections system, the employment and training systems, the electronic payment processing and inventory control system, the eligibility tracking system, the Medicare buy-in system, the individualized services information system-waiver payment system, and the income eligibility and verification system.
	(3)	The Medicaid eligibility system matches information with the Medicaid management information system and the collection and recovery system.
	b. 	External.
	(1)	The state data exchange matches information on department clients with records on recipients of supplemental security income.
	(2)	The Medicare buy-in system matches information with the Social Security Administration.
	(3)	The income and eligibility verification system matches information on department clients with income records from department of workforce development records on unemployment compensation and wages, tax records from the Internal Revenue Service, wage records and social security benefit records from the Social Security Administration, and public assistance records from other states.
	(4)	Data from the collections and reporting system is matched with state and federal tax records, and with client records on the automated benefit calculation system.
	(5)	Data on department clients is matched with the administering agency for the Workforce Investment Act and with private agencies working to help employers collect benefits under the work opportunity tax credit program.
	(6)	Reports on disqualified food stamp recipients from other states are received from the United States Department of Agriculture to ensure that recipients are not evading penalties by reapplying in Iowa.
	(7)	A list of recipients of benefits under the family investment program is released annually to the Internal Revenue Service for matching with records of dependents claimed.
	(8)	A list of applicants for and recipients of the family investment program (FIP), the Medicaid program, and the food assistance program is matched with records on Iowa motor vehicle registration files to assist in the identification of countable resources.
	(9)	The Medicaid management information system matches data on medical assistance recipients against data on insureds that is submitted by insurance carriers under rule 441—76.13(249A) in order to identify third-party payers for medical assistance recipients.
	c. 	Centralized employee registry (CER) database. The CER receives data concerning employees and contractors who perform labor in Iowa. Information reported by Iowa employers about employees includes the employee’s name, address, social security number, date of birth, beginning date of employment, whether health insurance is available, and when it may be available. Information reported by Iowa income payers about contractors is limited to the contractor’s name, address, social security number, and date of birth, if known.
State agencies accessing the CER shall participate in proportionate cost sharing for accessing and obtaining information from the registry. Cost sharing shall include all costs of performing the match including costs for preparing the tapes and central processing unit time. Costs shall be specified in a 28E agreement with each agency. CER matches include the following data matches with:
	(1)	The child support collections and reporting system for the establishment and enforcement of child and medical support obligations.
	(2)	Other department of human services systems for the purpose of gathering additional information and verification for use in the determination of eligibility or calculation of benefits.
	(3)	The department of employment services for the determination of eligibility or calculation of unemployment benefits, and to monitor employer compliance with job insurance tax liability requirements.
	(4)	The department of workforce development to verify employment of participants in the PROMISE JOBS program.
	(5)	The department of revenue for the recoupment of debts to the state.
	(6)	The department of inspections and appeals for the recoupment of debts owed to the department of human services.
[ARC 5305C, IAB 12/2/20, effective 2/1/21; ARC 7711C, IAB 3/6/24, effective 4/10/24]