§ 105.1. Policy.
(a) Legal provisions. The legal provisions relating to policy for safeguarding information are as follows:
(1) The provisions of this chapter safeguard information relating to individual applicants and recipients of public assistance by restricting the use or disclosure of the information as required by sections 404, 425 and 505 of the Public Welfare Code (62 P. S. § § 404, 425 and 505).
(2) The term ‘‘PA’’ as used throughout this section includes the cash assistance program (TANF, GA, SBP), the ETP, the child welfare program, the child support enforcement program, the MA Program, the SSI Program and the Social Services Program.
(b) General objective. The general objective of this chapter is as follows:
(1) The objective of this chapter is to permit the maximum use of information collected from and about a client to determine eligibility for assistance, and still preserve, insofar as possible, that relationship of confidence between the Department and its clients, and the Department and the public at large, which is vital to efficient administration. To carry out this objective, the Department has established regulations defining the use and disclosure of information on applicants and recipients.
(2) The term ‘‘Department’’ as used in this section refers to offices and employees of the Department of Human Services that are concerned with the administration of the public assistance program.
(c) General policy in the collection and use of information. General policy in the collection and use of information is as follows:
(1) The Department will collect and use only that information that relates to its responsibilities in administering the public assistance program. The client shall give information for purposes directly related to eligibility for assistance or other services the Department gives, and use of the information by the Department is confined to those purposes. The Department often requires information from and regarding clients which is of a highly personal nature. The information is limited in its scope and its use to that which is essential to the proper discharge of the responsibilities of the Department. As a measure to provide protection of the individuals it serves, the Department will take precaution against their being exploited for commercial or political reasons.
(2) The Department will give pertinent statistical or social data in general studies, reports, surveys, information on expenditures, number and category of recipients, and other information, so long as none of it identifies any particular individual.
(3) The Department will provide information to law enforcement officials as provided in § 105.4 (relating to procedures) and information regarding an individual under the safeguards provided in this chapter, when this information relates to a service the individual is asking for himself, or one asked for on his behalf by someone he has requested to act for him, and when the service is related to the purpose and function of the public assistance program.
(d) Information to be safeguarded. The Department will safeguard the following information:
(1) The names of applicants and recipients.
(2) The address of any applicant or recipient and the amount of assistance any recipient is receiving except as provided in § 105.4.
(3) Information in applications, reports of investigations, financial and medical records, correspondence and other recorded or unrecorded information, related to the condition or circumstances of applicants and recipients. This applies to information in the offices of the Department, the Department of the Auditor General, the Treasury Department and other agencies concerned with the administration of public assistance. Information that does not identify a particular individual is not included in the class of material to be safeguarded.
(e) Information on MA. The policy for information on MA is as follows:
(1) Each recipient or applicant for MA has the right to have the information given to the Department about his circumstances kept confidential. The information may be used only for purposes related to the administration of assistance.
(2) In the administration of the MA Program, the agency is required to provide to the vendor of medical care and services certain information regarding an applicant or recipient. In these relationships, it is the responsibility of the agency to be reasonably assured that these persons will safeguard the information and use it only for the purpose for which it was made available.
(3) Public access to information on the application of any person for or receipt of MA is not provided. Section 105.4(a)(1) does not apply to MA records.
(f) Use of information outside the Department. An individual may not have direct access to the records of the Department unless that individual has an official connection with any part of the Department, or is an employee of the Auditor General’s Department, the Treasury Department or another Commonwealth or Federal agency officially charged with administrative supervision, review, evaluation or audit. Moreover, this access to records is confined to materials essential to carrying out the official functions of the Department or agency involved. Employees of agencies who are engaged in investigation of welfare fraud will in no way be prohibited access to case records. An individual may not have direct access to his own case record except as provided in § 105.5 (relating to access by an individual to his case file).
(g) Authority to disclose information. Authority to disclose information will vest in accordance with the following:
(1) Information in the possession of the Department is within the exclusive control and custody of the Secretary.
(2) Authority to disclose information as provided for in this chapter is delegated to the executive director of each county board of assistance, and to those persons in the State Office that the Secretary designates from time to time.
(3) The executive director may delegate this responsibility only to top supervisors of social service staff.
(4) The files and records of the Department must be properly protected at all times. Each CAO shall have written rules on the removal of material from the files, return of this material and supervision of the files.
Authority The provisions of this § 105.1 amended under sections 201(2) and 403(b) of the Public Welfare Code (62 P. S. § § 201(2) and 403(b)).
Source The provisions of this § 105.1 amended December 21, 1979, effective February 19, 1980, 9 Pa.B. 4178; amended October 2, 1992, effective upon publication and apply retroactively to October 1, 1989, 22 Pa.B. 4875; amended September 13, 2002, effective retroactively to March 3, 1997, 32 Pa.B. 4435. Immediately preceding text appears at serial pages (268239) to (268240) and (266085).
Notes of Decisions Disclosure of Information
The Department must comply with a subpoena duces tecum and supply records pertaining to the petitioner in a proceeding to determine paternity, but the petitioner is not precluded from asserting the privilege that such records not be disclosed, even though the Department fails to follow its own procedure for pleading that such disclosure is restricted. Spangler v. Spangler, 12 Pa. D. & C.3d 290 (1978).
Cross References This section cited in 55 Pa. Code § 201.4 (relating to procedures).
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