(A) As used in this rule:
(1) "Access" as
a noun means an instance of copying, viewing, conveying, or otherwise
perceiving, whereas "access" as a verb means to copy, view, convey,
transfer or otherwise perceive.
(2) "Acquisition of
a new computer system" means the purchase of a "computer
system," as defined in this rule, that is not currently in
place.
(3) "Computer
system" means a "system," as defined by section 1347.01 of the
Revised Code, that stores, maintains, processes or retrieves personal
information using electronic data processing equipment.
(4) "Confidential
personal information" (CPI) has the meaning as defined by division (A)(1)
of section 1347.15 of the Revised Code.
(5) "Employee of the
secretary of state" means each employee of the secretary of state
regardless of whether he/she holds an elected or appointed office or position
within the state agency
(6) "Incidental
contact" means contact with the information that is secondary or
tangential to the primary purpose of the activity that resulted in the contact.
(7) "Individual" means a natural person or the natural
person's authorized representative, legal counsel, legal custodian, or
legal guardian.
(8) "Information
owner" means the individual appointed in accordance with division (A) of
section 1347.05 of the Revised Code to be directly responsible for a
system.
(9) "Person"
means a natural person.
(10) "Personal
information" has the same meaning as defined in division (E) of section
1347.01 of the Revised Code.
(11) "Personal
information system" means a "system" that "maintains"
"personal information" as those terms are defined in section 1347.01
of the Revised Code. "System" includes manual and computer
systems.
(12)
"Research" means a methodical investigation into a subject.
(13) "Routine"
means commonplace, regular, habitual, or ordinary.
(14) "System" has the same
meaning as defined by division (F) of section 1347.01 of the Revised Code.
(15) "Upgrade" means a
substantial redesign of an existing computer system for the purpose of
providing a substantial amount of new application functionality, or application
modifications that would involve substantial administrative or fiscal resources
to implement, but would not include maintenance, minor updates and patches, or
modifications that entail a limited addition of functionality due to changes in
business or legal requirements.
(B)
(1)
For each personal information system, the
information owner shall determine the level of access required for an employee
of the secretary of state to fulfill their job duties, consistent with
paragraph (C) of this rule. Prior to providing an employee with access to
confidential personal information within a personal information system, both
the information owner and the employee's supervisor shall grant approval.
The information owner shall revise an employee's access to confidential
personal information upon a change to that employee's job duties if
appropriate. Whenever an employee's job duties no longer require access to
confidential personal information in a personal information system, the
information owner shall remove the employee's access to confidential
personal information.
(2)
Upon the signed written request of any
individual for a list of confidential personal information about the individual
maintained by the agency, the agency shall do all of the following:
(a) Verify the identity of the individual by a method that
provides safeguards commensurate with the risk associated with the confidential
personal information;
(b) Provide to the individual the list of confidential personal
information that does not relate to an investigation about the individual or is
otherwise not excluded from the scope of Chapter 1347. of the Revised Code;
and
(3)
(a) Upon discovery or notification that confidential personal
information has been accessed by an employee for an invalid reason, the
secretary of state shall determine whether it is necessary to delay
notification to either person whose information was invalidly accessed for any
of the following reasons:
(i) To ensure that the
notification would not delay or impede an investigation or jeopardize homeland
or national security. "Investigation" as used in this paragraph means
the investigation of the circumstances and involvement of an employee
surrounding the invalid access of the confidential personal
information.
(ii) To take any measures
necessary to determine the scope of the invalid access, including which
individuals' confidential information invalidly was accessed, and to
restore the reasonable integrity of the system.
(b) The secretary of state shall notify the person whose
information was invalidly accessed as soon as practical and to the extent known
at the time.
(c) The secretary of state shall inform the person of the
type of confidential personal information accessed and the date or dates of the
invalid access.
(d) Notification may be made by using any method reasonably
designed to accurately inform the person of the invalid access, including
written, electronic, or telephone notice.
(4)
The secretary of state director shall designate
an employee of the secretary of state to serve as the data privacy point of
contact. The data privacy point of contact shall work with the chief privacy
officer within the office of information technology to assist the secretary of
state with both the implementation of privacy protections for the confidential
personal information that the secretary of state maintains and compliance with
section 1347.15 of the Revised Code and the rules adopted thereunder.
(5) The data privacy
point of contact shall complete the privacy impact assessment form developed by
the office of information technology.
(C) Performing any of the following
functions constitutes a valid reason for authorized employees of the secretary
of state to access confidential personal information:
(1) Responding to a
public records request;
(2) Responding to a
request from an individual for the list of confidential personal information
the agency maintains on that individual;
(3) Administering a
constitutional provision or duty;
(4) Administering a
statutory provision or duty;
(5) Administering an
administrative rule provision or duty;
(6) Complying with any
state or federal program requirements;
(7) Processing or payment
of claims or otherwise administering a program with individual participants or
beneficiaries;
(8) Auditing purposes;
(9) Licensure [or permit,
eligibility, filing, etc.] processes;
(10) Investigation or
law enforcement purposes;
(11) Administrative
hearings;
(12) Litigation,
complying with an order of the court, or subpoena;
(13) Human resource
matters (e.g., hiring, promotion, demotion, discharge, salary/compensation
issues, leave requests/issues, time card approvals/issues);
(14) Complying with an
executive order or policy;
(15) Complying with an
agency policy or a state administrative policy issued by the department of
administrative services, the office of budget and management or other similar
state agency; or
(16) Complying with a
collective bargaining agreement provision.
(D)
The following federal statutes or regulations or
state statutes and administrative rules make personal information maintained by
the secretary of state confidential:
(1) The Privacy Act of
1974, Pub. L. No. 93-579, 88 Stat. 1896 (5 U.S.C. 552a).
(2) The Driver's
Privacy Protection Act, 18 U.S.C. 2721 et seq.
(3) Section 4776.04 of the Revised Code.
(4) The Ohio Public Records Act: Chapter
149 of the Revised Code.
(5) Section 1306.23 of
the Revised Code.
(E)
(1) Access restrictions.
Access to confidential personal information that is kept electronically shall
require a password or other authentication measure.
(2) When the secretary of
state acquires a new computer system that stores, manages or contains
confidential personal information, the secretary of state shall include a
mechanism for recording specific access by employees of the secretary of state
to confidential personal information in the system.
(3) When the secretary of
state modifies an existing computer system that stores, manages or contains
confidential personal information, the secretary of state shall make a
determination whether the modification constitutes an upgrade. Any upgrades to
a computer system shall include a mechanism for recording specific access by
employees of the secretary of state to confidential personal information in the
system.
(4)
(a) The secretary of state shall require employees of the
secretary of state who access confidential personal information within existing
computer systems to maintain a log that records that access except under the
following circumstances:
(i) The employee of the
secretary of state is accessing confidential personal information for official
secretary of state-related purposes, including research, and the access is not
specifically directed toward a specifically named individual or a group of
specifically named individuals.
(ii) The employee of the
secretary of state is accessing confidential personal information for routine
office procedures and the access is not specifically directed toward a
specifically named individual or a group of specifically named individuals.
(iii) The employee of
the secretary of state comes into incidental contact with confidential personal
information and the access of the information is not specifically directed
toward a specifically named individual or a group of specifically named
individuals.
(iv) The employee of the
secretary of state accesses confidential personal information about an
individual based upon a request made under either of the following
circumstances:
(a) The individual
requests confidential personal information about theirself.
(b) The individual makes
a request that the secretary of state takes some action on that
individual's behalf and accessing the confidential personal information is
required in order to consider or process that request.
(c) For purposes of this
paragraph, the secretary of state may choose the form or forms of logging,
whether in electronic or paper formats.
(F)
(1) The secretary of
state shall issue a policy that specifies the following:
(a) Who shall maintain the log;
(b) What information shall be captured in the log;
(c) How the log is to be stored; and
(d) How long information kept in the log is to be retained.
(2) Nothing in this rule
limits the agency from requiring logging in any circumstance that it deems
necessary.
