Iowa Admin. Code r. 191-2.10

Current through Register Vol. 47, No. 11, December 11, 2024

Rule 191-2.10 - Notice to suppliers of information

When the division requests a person to supply information about that person, the division must notify the person by reasonable means of the use that will be made of the information, which persons outside the division might routinely be provided this information, which parts of the requested information are required and which are optional, and the consequences of a failure to provide the information requested.

(1)Notice. The notice shall generally be given at the first contact with the division and need not be repeated. Where appropriate, the notice may be given to a person's legal or personal representative. Notice may be withheld in an emergency or when it would compromise the purpose of a department investigation.

(2)License and examination applicants. License and examination applicants are requested to supply a wide range of information depending on the qualifications for licensure or sitting for an examination, as provided by division statutes, rules and application forms. Failure to provide requested information may result in denial of the application. Some requested information, such as social security numbers, home addresses, examination scores, and criminal histories, is confidential under state or federal law, but most of the information contained in license or examination applications is treated as public information and is freely available for public examination.

(3)License renewal. Licensees are requested to supply a wide range of information in connection with license renewal, both on paper and electronically. Failure to provide requested information may result in denial of the application. Most information contained on renewal applications is treated as public information freely available for public examination, but some information may be confidential under state or federal law.

(4)Investigations. Persons and entities regulated by the division are required to respond to division requests for information as part of the investigation of a complaint or inquiry. Failure to timely respond may result in disciplinary action against the person or entity to which the request is made. Information provided in response to such a request is confidential pursuant to the Iowa Code, including but not limited to Iowa Code sections 502.607(2), 505.8(8)"a," 507E.5, and 523A.803, but may become public if introduced at a hearing that is open to the public, contained in a final order, or filed with a court of judicial review.

(5)Discovery request, subpoenas, and investigations. Notice need not be given in connection with discovery requests in litigation or administrative proceedings, subpoenas, investigations of possible violations of law or similar demands for information.

(6)Other requested information. In general, pursuant to state or federal law, the division requests information necessary for its regulation of insurance, securities, and regulated industries that is required to be provided to the division. This required information may be shared outside the division when required by state or federal law or division rules. Failure of a regulated entity or person to provide this information may result in the denial of the licensure or regulatory approval, as appropriate, for which the information was requested.

Iowa Admin. Code r. 191-2.10

Amended by IAB November 20, 2019/Volume XLII, Number 11, effective 12/25/2019

Amended by IAB February 26, 2020/Volume XLII, Number 18, effective 4/1/2020

Adopted by IAB March 20, 2024/Volume XLVI, Number 19, effective 4/24/2024