218 R.I. Code R. 218-RICR-10-00-1.4

Current through December 3, 2024

Section 218-RICR-10-00-1.4 - Confidentiality Requirements

A. The use and disclosure of information concerning applicants and recipients will be limited to purposes directly connected with the following:

1. The administration of the program. Such purpose includes; establishing eligibility, determining the amount of assistance, and providing services for applicants and recipients.

2. Any investigation, prosecution, or criminal or civil proceeding conducted in connection with the administration of the program.

3. The administration of any other federal or state assisted program which provides assistance, in cash or in kind, or services, directly to individuals on the basis of need. The disclosure to any committee or legislative body (Federal, State or Local) of any information that identifies, by name and address, any applicant or recipient is prohibited.

4. All information, such as Federal Tax Information, shall remain confidential.

1.4.1Types of Information to be Safeguarded

A. The types of information to be safeguarded include the following as well as any information which, at the discretion of the state agency Director, is deemed necessary for proper administration of the program:

1. Name and address of applicant or recipient;

2. Information related to the social and economic conditions or circumstances of an individual;

3. Agency evaluation of information about an individual;

4. Medical data, including diagnosis and history of disease or disability concerning an individual;

5. Any other material defined in law as confidential matter;

6. Internal memos of the agency.

B. General information, not identified with any particular individual, such as total expenditures made, numbers of recipients, and other statistical information and social data contained in general studies, reports or surveys would not fall within the class of material to be safeguarded. In the use of case material for research or training, it is necessary to effectively disguise the identity of the applicant or recipient, his/her family and/or his/her situation.

1.4.2Maintaining Confidentiality

A. It is the applicant's or recipient's right and expectation that all information requested about him/her and his/her situation shall be respected and safeguarded by the state agency and all its personnel. The applicant or recipient is made aware of his/her right to confidentiality in the application process and in other contacts with the state agency.

B. The applicants' or recipient's right to privacy shall be protected during the interview. There shall be no conversation on the information to be safeguarded within or without state or local offices except as is necessary for purposes of administrating the program. All paper records and electronic files shall be properly stored and shall only be available to the staff responsible for the administration and supervision of the program.

1.4.3Release of Information

A. The release or use of information concerning an applicant or recipient applying for or receiving assistance or services is restricted to other agencies whose representatives are subject to standards of confidentiality which are comparable to those of the state agency administering the assistance and service programs.

B. DHS shall obtain permission from an applicant or recipient or their family, whenever possible, before responding to a request for information from an outside source, unless the information is to be used to verify program eligibility.

C. In the event of the issuance of a subpoena for the case record or for any DHS representative to testify concerning an applicant or recipient, the request shall be transmitted to DHS legal department. The Court will be advised by a DHS attorney of these rules and regulations against disclosure of information. The same policy applies to requests for information from a governmental authority, the courts, a law enforcement official, or the media.

D. DHS exchanges information with other entities to verify the income and eligibility of applicants and recipients. Information made available by DHS is only to the extent necessary to assist in the valid administrative needs of the program receiving the information.

1.4.4Disclosure of Tax Data

A. Section 26 U.S.C. § 7213(a) of the Internal Revenue Code prohibits disclosure of any return or return information. Violations of this statue shall be a felony punishable by a fine in any amount not exceeding $5,000, or imprisonment of not more than five (5) years, or both, together with the costs of prosecution.

B. Section 26 U.S.C. § 7431 of the Internal Revenue Code provides that any person who knowingly, or due to negligence, discloses any return or return information with respect to a taxpayer, is subject to civil action for damages in a District Court of the United States.

C. Section 26 U.S.C. § 6103(I) of the Internal Revenue Code does not allow for disclosure of tax data by the State except when such disclosure is for the purposes of, and to the extent necessary in, determining eligibility for, or the correct amount of benefits under an appropriate public assistance program. The taxpayer does not have the authority to authorize the Department of Human Services to disclose tax data in his/her file.

1.4.5Access to Public Information

A. DHS recognizes both the public's right to access public records and the individual's right to dignity and privacy. It is the DHS policy to facilitate public access to all public records that may be disclosed in accordance with R.I. Gen. Laws Chapter 38-2. It is the policy of the DHS to ensure all public records under its jurisdiction are available for public inspection and reproduction consistent with all applicable state and/or federal laws, unless otherwise prohibited by a court of competent jurisdiction.

B. The Executive Office of Health and Human Services (EOHHS) has established regulations to set forth the specific rules to access public records maintained by the Department of Human Services. (Please refer to EOHHS "Access to Public Records" regulations 210-RICR- 10-05-4 ).

1.4.6Penalties and Sanctions

R.I. Gen. Laws § 40-6-12 states that any person violating any of the provisions of these rules and regulations shall be deemed guilty of a misdemeanor, and shall be fined not more than two hundred dollars ($200) or shall be imprisoned for not more than six (6) months, or both. Other provisions of law cited herein may contain additional penalties and sanctions for violations of confidentiality and/or privacy.

218 R.I. Code R. 218-RICR-10-00-1.4