100-3          CONFIDENTIALITY

There are very specific laws and regulations that protect information about Division of Public Assistance clients.

Applicants for, and recipients of, public assistance must make known to division staff intimate facts about their personal lives in order for their eligibility to be determined.  Other personal and sensitive information (such as disclosure of domestic violence or substance abuse) necessary to secure supportive services or to provide effective referrals to community resources also may be shared with division staff.  Because applicants and recipients often are under extreme financial and personal stresses they may be particularly vulnerable to exploitation if their situation were known.  This may be true even when certain information is disclosed to other members of the household.

Therefore, all people served by the division are in particular need of the protection of privacy and confidentiality:

• Against the identification of the individual as belonging to a special group segregated on the basis of their need for public assistance;
   

• Against exploitation for commercial, personal, or political purposes; and

• Against making information available as a basis for prosecution and other proceedings except in connection with the enforcement of public assistance program laws.

Refer to Addendum 100-A and Addendum 100-B in this manual for the Alaska statutes on confidentiality and misuse of public assistance records, and regulations on safeguarding and disclosure of client information.

100-3 A.     DISCLOSURE OF INFORMATION

It is against the law to use or disclose information obtained from households unless it is to:

• Persons authorized by a client-signed Release of Information form;
   

• Persons directly connected with the administration of the programs;
   

• Persons directly connected with the enforcement of the provisions of the programs; or
   

• Persons directly connected with other federal or federally funded assistance programs such as Supplemental Security Income, Bureau of Indian Affairs General Assistance, or the School Lunch Program.

Staff normally does not release information or material from any case record to anyone or any agency without first obtaining a written consent from the client. This includes local and state police departments, the Federal Bureau of Investigation, and the US Citizenship and Immigration Services.  

There are exceptions to releasing information without the client’s consent.  Refer to Administrative Procedure Manual Sections 100-3D, 100-3E, 100-3F, and 100-3G for exceptions to releasing information without the client’s consent.

In addition, DPA Division of Public Assistance staff may release information to the Department’s Office of Children’s Services and to Adult Protective Services if they report suspected abuse or neglect of a child or adult.  See section 100-9 in this manual.

100-3 B.     CLIENT ACCESS TO INFORMATION

An applicant or recipient is entitled access to his or her own case file, including electronic information contained in EIS Eligibility Information System .  In addition, any person to whom the client authorizes access by means of a written, signed, and dated authorization is entitled access to that client's case file.  No reason for desiring access needs to be given.

IMPORTANT:

Information relating to domestic violence issues, specific victims, and identifying information that could compromise the family’s health and safety cannot be released to anyone without the victim’s permission.  This includes formal referrals and agency contacts with community resources and members of the household.

The client is entitled to a prompt, full, and courteous explanation of why each piece of information in the file was gathered, and explanations of the purpose of each form in the file.

If a client objects to an entry in their file of a particular piece of information, and if a supervisor determines that the objectionable entry was and is unrelated to the determination of eligibility, the entry will be totally and permanently deleted from the record.

Prior to allowing the client or the client's authorized representative access to the case file folder, a designated agency employee will take the following steps:

1. Review the case file folder and remove all confidential information protected from release.  This includes:
    

• Adoption materials,
   

• Information relating to substance abuse,
   

• Information relating to domestic violence,
   

• Names of individuals who have disclosed information about the client without his or her knowledge, and
   

• The nature and status of pending criminal prosecution or fraud referrals and investigations.
   

2. Obtain positive identification of the client or the client's representative.
    

3. Verify a written authorization by comparing signatures in the case file folder to that on the authorization.  (If questionable, contact the client to ensure he or she has authorized access to the client’s case file folder.)

An employee of the Division will be present during the entire time the client or client's representative has access to the case file folder.  At no time will the client or client's representative be left alone with the case file folder.   At no time shall the case file folder leave the DPA Division of Public Assistance office with the client or client’s representative.

The Division will provide copies of documents in the case file folder, except for those noted in step 1 above, at the client's request.  No charge will be made for a small number of copies, but costs will be charged for copies over 25 pages. The charge for making copies is $.10 a page.  The Division will not charge additional fees for the time it takes staff to make the copies. Ask the client or client’s representative to make the check payable to the State of Alaska. Upon receipt, route the check to:

Finance and Management Services

PO Box 110640

Juneau, AK 99811

Include with the check the following information: client’s name and case number, reason for the check, and number of copies made.  

100-3 C.     DIVISION OF PUBLIC ASSISTANCE RESPONSIBILITIES

In addition to following the above laws and regulations, each staff member of the Division has the following responsibilities regarding confidentiality:

• To take every reasonable precaution against leaving identifying information in any office work area to which the public has unsupervised access;
   

• To remove identifying information from the office only upon approval of an eligibility supervisor and only for purposes related to their official duties;
   

• To politely refuse to respond to any request for identifying information from any person not in their prudent judgment clearly and literally directly connected to the administration of the assistance program in question and, if necessary, to refer the request to a supervisor;
   

• To comply promptly and fully with an individual’s request to review their own case file, to verify the identity of the individual, and to document the date, time, and circumstances of this access in that case file;
   

• To comply promptly and fully with a client's written, signed, and dated authorization to allow another person or organization to obtain specified information and to file that authorization in the case file; and
   

• To immediately report to the DPA Division of Public Assistance office supervisor any suspected breaches of confidentiality or of office security (such as missing documents or reports, evidence of burglary, etc.).
   

100-3 D.     LEGISLATIVE REQUESTS FOR INFORMATION

There are three different types of legislative requests for information.

• Constituent inquiries;
   

• Requests for general program information; and
   

• Requests for Alaska Temporary Assistance financial information.

Each type of request for information is handled differently:

1. ”Constituent inquiries”, or legislative contacts made on behalf of clients are treated as client inquiries or complaints.   By requesting elected officials or their staff to assist with a complaint or issue, the client has authorized the release of information to that person.  DPA Division of Public Assistance ’s responsibility is to establish to the degree practical that the client is in fact the source of the complaint and that the public official is inquiring on their behalf.  No legislative contact report is necessary.
    

2. Requests and responses to general program information requests must be documented on a  DHSS Department of Health and Social Services ”Legislative Request/Contact Form”.  Each program inquiry and response to a legislator or legislative aide must be documented on this form and submitted to the Director’s office.
    

3. Alaska state law and regulations allow legislators access to financial information concerning an eligibility determination for a person applying for or receiving Alaska Temporary Assistance.  These requests are different than a constituent inquiry in that the legislator is seeking the information as part of his/her official duties rather than at the request of the client
   
   If you receive such a request, politely inform the caller that the request must be made in writing and refer them to the Director’s office.  The Director’s office will respond to the legislator’s request.

100-3 E.     SUBPOENAS AND COURT ORDERS

1. Subpoenas

A subpoena is a legal document requiring a specific person to appear and testify in court as a witness.  If an employee is served with a subpoena to appear in an official capacity to testify, with or without confidential records:

1. The employee must immediately contact their supervisor and provide the supervisor with a copy of the subpoena.

2. The supervisor will scan and email a copy of the subpoena to the Attorney General's office.  Until directed otherwise, send the subpoena to Assistant Attorney General Stacie Kraly at Stacie.Kraly@alaska.gov, or fax it to her at (907) 465-2539.

3. The supervisor will also send a copy of the subpoena to the DPA Director.

4. The employee and the supervisor will take no further action until they receive instructions from the Attorney General's office.

The issuance and serving of a subpoena does not signify that the issue is directly related to the administration of an  assistance program.  A subpoena must be reported even if it is accompanied with a valid client release of information.  See Alaska Administrative Code 7 AAC Alaska Administrative Code 37.050.

2. Court Orders

If a local, state, or federal court orders an employee to appear to testify in an official capacity, with or without confidential materials, the worker should take no action until they report to their supervisor and receive instructions.  See 7 AAC Alaska Administrative Code 37.060.

100-3 F.     LAW ENFORCEMENT OFFICIALS

Generally, law enforcement officials do not have access to DPA Division of Public Assistance client information in absence of a court order.  There may be times, such as officers responding to a disturbance in a DPA Division of Public Assistance office, when officers may ask for client names, addresses, and phone numbers as part of investigating the incident.  Rules of confidentiality do apply.  However, supervisors must exercise prudent judgment in these situations.  The interests of public safety may dictate providing the police with information regarding a client.  This might include the name and address of an individual involved in the disturbance.

In addition, the Alaska Temporary Assistance and Food Stamp programs have specific requirements for releasing information about fleeing felons.  If a law enforcement officer provides the name of an individual which they say is a felon fleeing to avoid prosecution, custody, or confinement after conviction, or is violating a condition of probation or parole, the current residence address of the individual must be released to the officer.  The Food Stamp Program also allows for the release of the social security number and the photo identification on file.  See Alaska Temporary Assistance manual section 710-3 and Food Stamp manual section 600-1E for guidance before releasing any information.

100-3 G.     OMBUDSMAN

Contacts from the Ombudsman are treated like Legislative Requests described in 100-3D above.  Once the caseworker establishes the client made the contact with the Ombudsman to assist with a complaint or issue, the client has authorized release of information to the Ombudsman.  State statutes specifically provide for the Ombudsman to have access to records of state agencies, including confidential information.

100-3 H.     REQUESTS FOR INFORMATION FROM OTHER AGENCIES

A written consent from the client is not required to release public assistance information to or from partner agencies, including contractors and grantees.  The following list identifies those agencies that exchange information with DPA Division of Public Assistance without a written release of information from the client:

1. Department of Labor and Workforce Development

An exception to the confidentiality rule is our ability to share client and case information relating to the Alaska Temporary Assistance, Medicaid, and Food Stamps programs with the Department of Labor and Workforce Development.  Federal laws and regulations that cover the Unemployment Insurance (UI), Temporary Assistance, Medicaid, and Food Stamp programs ”under one umbrella” allow and encourage all agencies administering these programs to share information.

2. Office of Children’s Services

The Office of Children’s Services (OCS Office of Children's Services ) has access to client information contained in the Division’s Eligibility Information System (EIS Eligibility Information System ) in order to administer Title IV-E Medicaid.

3. Attorney General’s Office

A written consent from the client is not required to release public assistance information to the Attorney General’s Office, which serves as our Division's legal counsel.  All requests from the Attorney General's (AG Attorney General ) Office, including the Department of Law's Welfare Fraud Section, for information on a client, material from a case file folder, or an entire case file folder and/or EIS Eligibility Information System will be granted.  Division staff will comply with all subpoenas for information and casefile material issued at the request of the Attorney General's Office.

The caseworker must consult with a supervisor anytime she or he receives a subpoena related to a public assistance client or case.

The Attorney General’s office is available to advise Division staff on all agency-related matters, including disclosures of information, releases of casefiles, subpoenas and court orders that do not originate from the AG’s Attorney General Office.  Contact the Policy and Program Development Team or Chief of Field Operations for assistance prior to contacting the AG’s Attorney General office.

4. Agencies with Signed Grant Agreements, Contracts, or Memorandums of Agreement with DPA Division of Public Assistance

Several agencies have signed grant agreements or memorandums of agreement with the Division to access client information through EIS Eligibility Information System or the Case Management System (CMS Case Management System ) in order to assist mutual clients in obtaining financial or medical support.  All requests from these agencies for information on a client, material from a case file, or an entire case file will be granted:

• Alaska Housing Finance Corporation

• Alaska Pribilof Island Association (Work Services)

• Alaska Native Tribal Health Consortium

• Association of Village Council Presidents (AVCP Association of Village Council Presidents )

• Bristol Bay Native Association (BBNA)

• Center for Community

• Central Council of Tlingit and Haida Indian Tribes of Alaska (T&H Central Council of Tlingit and Haida Indian Tribes of Alaska )

• Catholic Social Services (Refugee Resettlement Program)

• Cook Inlet Tribal Corporation (CITC)

• Job Corps

• Kodiak Area Native Association (Workforce Investment Act)

• Maximus (Alaska Works)

• Metlakatla Indian Community (Employment and Training)

• Nine Star (Work Services)

• North Slope Borough (Workforce Development)

• Tanana Chiefs Conference (TCC Tanana Chiefs Conference )