Guide to Confidential Cases and Information at SOAH

Guide to Confidential Cases and Information at SOAH

Confidential Cases & Information

Please Note: This Guide serves as a tool to assist staff and members of the public with determining the confidentiality of cases and case information; however, it is not an inclusive list, nor is it determinative of whether information may be excepted from disclosure under the Public Information Act. See 1 Tex. Admin. Code § 155.103(e).

You may download a copy of the Guide to Confidential Cases & Information at SOAH on our website.

Agency Code Agency Name Suffix(es) Confidential Case Type Confidentiality Statute Description of Confidential Information
  All agencies .MED Original Mediation Tex. Gov’t Code § 2009.054; T.R.E. 408; T.R.C.P. §§ 154.053, .073
  • All communications and records with the parties regarding mediation/settlement negotiations
  All agencies   Enforcement or licensure case based solely on specific types of criminal history information Tex. Gov’t Code § 411.084
  • Compiled criminal history record information about a licensee/applicant obtained from FBI National Crime Information Center (NCIC) or DPS Texas Crime Information Center (TCIC) or information derived from those reports
  All agencies   Enforcement or licensure case where the underlying allegation or violation is a crime that is subject to a non-disclosure order issued by the criminal court adjudicating the offense Tex. Gov’t Code § 411.076
  • All information relating to the criminal court case
099 Texas County & District Retirements System (TCDRS) No suffix Benefits cases prior to FY 19 Tex. Gov’t Code § 845.115
  • Information concerning a participant in the retirement system; exempt from the public information provisions of Chapter 552
100 Texas Municipal Retirement System (TMRS) No suffix Benefits Tex. Gov't Code § 855.115
  • Information about members, retirees, annuitants, or beneficiaries; exempt from the public information provisions of Chapter 552
302 Office of Attorney General (OAG) .CS Child Support Tex. Fam. Code § 231.108 and 42 U.S.C.A. § 654(26)
  • Personal Identifying Information (PII)
  • Social Security Numbers
  • Date of Birth
  • Minor’s Names
304 Comptroller of Public Accounts (CPA) All suffixes except .PVS Tax  Tex. Gov't Code § 2003.104
  • Taxpayer Name
  • Taxpayer ID Number
323 Teacher Retirement System of Texas (TRS) No suffix Benefits Tex. Gov't Code § 825.507
  • Records of or about a member, former member, retiree, annuitant, beneficiary or alternate payee; exempt from the public information provisions of Chapter 552
327 Employee Retirement System of Texas (ERS) No suffix Benefits  Tex. Gov't Code § 815.503(a)
  • Records of members, retirees, annuitants, or beneficiaries and alternate payees; exempt from the public information provisions of Chapter 552
329 Texas Real Estate Commission (TREC) / Texas Appraiser Licensing & Certification Board) (TALCB) .ALC Appraiser Licensing and Certification Tex. Occ. Code § 1103.460
  • Information in connection with a complaint, investigation, disciplinary proceedings or contested case for conduct that occurred after January 1, 2016; exempt from the public information provisions of Chapter 552
336 Texas County & District Retirements System (TCDRS) No suffix Benefits cases after FY 19 Tex. Gov’t Code § 845.115
  • Information concerning a participant in the retirement system is confidential; exempt from the public information provisions of Chapter 552
338 Texas Pension Review Board (PRB) No suffix Benefits See, e.g., Vernon’s Civil Statutes, Art. 6243e, Sec. 32
  • Information contained in records that are in the custody of a retirement system concerning an individual member, retiree, annuitant, or beneficiary
407 Texas Commission on Law Enforcement (TCOLE) .F5 Change F-5 Discharge Designation Tex. Occ. Code § 1701.454
  • F-5 and case information, unless the officer resigned or was terminated due to substantiated incidents of excessive force or violations of the law other than traffic offenses
407 Texas Commission on Law Enforcement (TCOLE) No suffix Suspension or revocation of peace officer’s license Tex. Gov’t Code §§ 552.117-.1175
  • Majority of information is public; however, the cases are not available to the public using the online case file system to guard against inadvertent disclosure of confidential peace officer information
  • Confidential information that may be included: Peace officer’s personal contact information and TCOLE PID numbers
450 Texas Dept. of Savings and Mortgage Lending (SML) .CHI Licensing case based solely on specific types of criminal history, credit history, or national registry information Tex. Fin. Code §§ 157.0132, 180.062; 28 C.F.R. § 50.12; Tex. Gov’t Code § 411.084
  • Compiled criminal history record information about a licensee/applicant obtained from FBI National Crime Information Center (NCIC) or DPS Texas Crime Information Center (TCIC) or information derived from those reports
  • Credit history information
  • Confidential information obtained from the Nationwide Mortgage Licensing System and Registry information

451

 Texas Department of Banking (DOB) .FIN Enforcement action related to the license, charter, registration, or permit of a financial institution Tex. Fin. Code §§ 31.002(a)(25),.301
  • Information and all related files and records obtained directly or indirectly by the DOB concerning: the financial condition or business affairs of a financial institution; any present, former, or prospective shareholders, officers, directors, or affiliates of the financial institution; and/or a third-party service provider of the financial institution or its affiliate
  • Does not include information in a published statement or in the public portion of a call report or profit and loss statement
454 Texas Department of Insurance (TDI) – Division of Workers’ Compensation .C1; .M4; M-4-NP.E1; .E2; .MIO; .M1; .M2; .M3; .M5; .M7; .M8; .M9; .P1; .S1; and .S2 Workers’ Compensation Cases  Tex. Labor Code §§ 402.083, .086, .092; 413.0513; Texas Gov't Code § 2003.021(c)
  • Injury/information derived from comp claim
  • Protected Health Information (PHI)
  • Patient names/Injured workers’ names
  • Medical conditions/injury information
  • Insurance policy numbers
454 Texas Department of Insurance (TDI) – Balance Billing cases .BAL Eligible “surprise bills” (see Tex. Ins. Code § 1467.051) referred to SOAH for mediation by external mediators regarding claims for services provided prior to Dec. 31, 2019 (program at SOAH repealed by SB 1264, 86th R.S.) Tex. Civ. Prac. & Rem. Code §§ 154.053 and 154.073; Tex. Ins. Code § 1467.055; Tex. Gov’t Code § 2009.054; Tex. Health & Safety Code § 181.006; T.R.E. 408; and SOAH Rules at 1 Tex. Admin. Code § 155.351(f)
  • Protected Health Information (PHI)
  • Patient names
  • Insurance coverage information
  • Settlement negotiations
469 Texas Credit Union Department (CUD) No Suffix Appointment of a conservator to manage a credit union's affairs Tex. Fin. Code § 126.108
  • The conservatorship order, copy of notice, correspondence, transcript, pleading, or other document relating to the order
529 Health and Human Services Commission (HHSC) .E; .ET; .FPS Child protective services FY19-present 42 U.S.C. § 5106a(b)(2)(B)(viii);Tex. Fam. Code § 261.201; Tex. Human Res. Code § 40.005; DFPS Rules at 40 Tex. Admin. Code §§ 700.201-.209 and § 702.257
  • Reporter’s name and all investigative report and case and hearing information
  • Minors’ names and other Personal Identifying Information (PII)
  • Name of Individual on Central Registry
  • Only certain individuals entitled to information per DFPS rules at 40 Tex. Admin. Code §§700.201-.209
  • Only DFPS is authorized to release information per Tex. Fam. Code § 261.201 
530 Dept. of Family & Protective Services (DFPS) .E; .ET; .FPS Child protective services cases prior to FY19 Same as Agency 529
  • Same as Agency 529
644 Texas Juvenile Justice System (TJJD) .CO and no suffix Suspension or revocation of juvenile justice officer’s certification; Title IV-E Permanency Hearing for youth Tex. Fam. Code §§ 58.004-.005, .007-.008
  • Minors’ names and other Personal Identifying Information (PII)
  • Juvenile Law Enforcement Records 
701 Texas Education Agency (TEA) IDEA Child special education services 20 U.S.C. § 1232g; 20 U.S.C. § 141734 C.F.R. Part 99;34 C.F.R. § 300.508(a)(1);34 C.F.R. § 300.506
  • FERPA information
  • Student name
  • Student medical conditions
  • Due process complaint
  • Mediation, if applicable

 

Public/Open Case Types Likely to Contain Some Confidential Information

Agency Code Agency Name Suffix(es) Case Type Confidentiality Statute Description of Confidential Information
405 Department of Public Safety (DPS)   Administrative License Suspension & Revocation (ALR) Tex. Gov’t Code § 552.130; ORD-684
  • Personal Identifying Information (PII)
  • Driver’s license number
  • Individual’s date of birth
  • VIN in police reports
  • Criminal History Information

451

 Texas Department of Banking (DOB) .NDS Money Service Businesses and Death Care Industries (Prepaid Funeral Contract Sellers and Perpetual Care Cemeteries) Tex. Fin. Code §§ 151.606,154.055
  • Financial and other personal information of a money service business obtained by the Banking Commissioner through application, examination, investigation, or otherwise, and any related files or records
  • Information relating to the financial condition of a prepaid funeral contract seller obtained directly or indirectly by the DOB, through examination or otherwise, other than published statements.
454 Texas Department of Insurance (TDI) – Texas Windstorm Insurance Appeals .E Insurance Claims Appeal Tex. Gov’t Code § 552.136
  • Insurance policy numbers, personal account numbers
469 Texas Credit Union Department (CUD)   Non-conservatorship credit union business affairs cases Tex. Fin. Code § 126.002
  • Information obtained directly or indirectly by the CUD in any manner, including by application or examination, concerning the financial condition or business affairs of a credit union, and the files and records of the CUD relating to that information, except a statement intended for publication
473 Public Utility Commission of Texas (PUC)   Utility rate case, CCN Tex. Gov’t Code §§ 552.107(2), .110 
  • Pre-filed testimony and exhibits to the extent they may contain trade secret or confidential financial information or information subject to a protective order
503 Texas Medical Board (TMB) .MD; .DO Medical licensing Tex. Health & Safety Code § 181.006;45 C.F.R. Parts 160, 164; Tex. Occ. Code § 164.007
  • Patient names
  • Protected health information
  • Complaint & investigative information
504 Texas Board of Dental Examiners (TSBDE)   Medical licensing Tex. Health & Safety Code § 181.006;45 C.F.R. Parts 160, 164;Tex. Occ. Code § 245.006
  • Patient names
  • Protected health information
  • Investigative information
507 Texas Board of Nursing (BON)   Medical licensing Tex. Health & Safety Code § 181.006;45 C.F.R. Parts 160, 164;Tex. Occ. Code § 301.466 
  • Patient names
  • Protected health information
  • Complaint & investigative information
508 Texas Board of Chiropractic Examiners (TBCE)   Medical licensing Tex. Health & Safety Code § 181.006; 45 C.F.R. Parts 160, 164;Tex. Occ. Code § 201.206
  • Patient names
  • Protected health information
  • Complaint & investigative information
510 Texas Behavioral Health Executive Council (BHEC) (see HB 1501, 86th R.S. 2019)   Medical licensing for psychologists and certain counselors and social workers on or after Sept. 1, 2020 Tex. Occ. Code § 507.205; Tex. Health & Safety Code § 181.006;
45 C.F.R. Parts 160, 164
  • Patient names
  • Protected health information
  • Complaint & investigative information
513 Funeral Services Commission (TFSC)   Funeral licensing Common Law Privacy;Tex. Occ. Code § 651.2053
  • Complaint & investigative information
515 Texas Board of Pharmacy (TSBP)   Medical licensing Tex. Health & Safety Code § 181.006;Tex. Occ. Code § 564.002; 45 C.F.R. Parts 160, 164;Tex. Occ. Code § 565.055
  • Patient names
  • Protected health information
  • Investigative information
520 Texas Board of Examiners of Psychologists (now part of the BHEC)   Medical licensing prior to Sept. 1, 2020 Tex. Health & Safety Code § 181.006;45 C.F.R. Parts 160, 164
  • Patient names
  • Protected health information
  • Investigative information
522 Executive Council of Physical Therapy & Occupational Therapy (ECPTOTE)   Medical licensing Tex. Health & Safety Code § 181.006;45 C.F.R. Parts 160, 164
  • Patient names
  • Protected health information
529 Health and Human Services Commission (HHSC) .ADS Aging and Disability Services Tex. Health & Safety Code § 181.006; ORD-684
  • A report, record, or working paper used or developed in an investigation into abuse, neglect, or exploitation allegations at nursing and assisted-living facilities, other health facilities, and pediatric extended care centers
  • Name, address, and phone number of any person making a report
  • Personal Identifying Information
  • Patient names
  • Protected health information
551 Texas Department of Agriculture (TDA) .FP CACFP Food Program Common Law Privacy; Tex. Human Res. Code §§ 12.003, 21.012
  • Adult and minor client names
  • Personal Identifying Information or Sensitive Personal Information about clients
582 Texas Commission on Environmental Quality (TCEQ)   Environmental permitting Tex. Gov’t Code §§ 552.107(2), .110
  • Pre-filed testimony and exhibits to the extent they may contain trade secret or confidential financial information or information subject to a protective order
701 Texas Education Agency (TEA) .EC Educator Certification 20 U.S.C. § 1232g and34 C.F.R. Part 99
  • Student Name & other FERPA Information

Revised: November 2022