(A) All personal information systems of
the opportunities for Ohioans with disabilities agency (OOD) shall be
maintained in accordance with Chapter 1347. of the Revised Code.
(B) For the purposes of this rule, the following
definitions apply:
(1) "Access" as
a noun means an opportunity to copy, view, or otherwise perceive whereas
"access" as a verb means to copy, view, 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 a computer system currently in place or
one for which the acquisition process has been initiated as of the effective
date of this rule.
(3) "Computer
system" means a "system" as defined by section 1347.01 of the
Revised Code, that stores, maintains, 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 and identified by rules promulgated by
the agency in accordance with division (B)(3) of section 1347.15 of the Revised
Code that reference the federal or state statutes or administrative rules that
make personal information maintained by the agency confidential.
(5) "Employee"
means each employee of OOD regardless of whether the employee is a public
official or public employee.
(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 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 common place, regular, habitual or ordinary.
(14) "Routine
information that is maintained for the purpose of internal office
administration, the use of which would not adversely affect a person" as
that phrase is used in division (F) of section 1347.01 of the Revised Code
means personal information relating to OOD's employees that is maintained
by OOD for administrative and human resource purposes.
(15) "System"
has the same meaning as defined by division (F) of section 1347.01 of the
Revised Code.
(16) "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.
(C) Procedures for accessing confidential personal
information. For personal information systems, whether manual or computer
systems, that contain confidential personal information, OOD shall do the
following:
(1) Establish criteria
for accessing confidential personal information. Personal information systems
of the agency are managed on a "need-to-know" basis whereby the
information owner determines the level of access required for an OOD employee
to fulfill the employee's job duties. The determination of access to
confidential personal information shall be approved by the employee's
supervisor and the information owner prior to providing the employee with
access to confidential personal information within a personal information
system. OOD shall establish procedures for determining a revision to an
employee's access to confidential personal information on a change to that
employee's job duties including, but not limited to, transfer or
termination. Whenever an employee's job duties no longer require access to
confidential personal information in a personal information system, the
employee's access to confidential personal information shall be
removed.
(2) Respond to an
individual's request for a list of confidential personal information. On
the signed written request of any individual for a list of confidential
personal information about the individual maintained by OOD, OOD shall do 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
(c) Inform the individual that OOD has no confidential personal
information about the individual that is responsive to the individual's
request if all information maintained by OOD relates to an investigation about
the individual.
(D) Notify an individual whose confidential personal
information maintained by OOD is accessed for an invalid reason.
(1) On discovery or
notification that confidential personal information of a person has been
accessed by an employee for an invalid reason, OOD shall notify the individual
whose information was invalidly accessed as soon as practical and to the extent
known at the time. However, OOD shall delay notification for a period of time
necessary to ensure that the notification would not delay or impede an
investigation of invalid access or jeopardize homeland or national security.
Additionally, OOD may delay the notification consistent with any measures
necessary to determine the scope of the invalid access, including which
individuals' confidential personal information invalidly was accessed, and
to restore the reasonable integrity of the manual or computer system that
contains the confidential personal information that was invalidly
accessed.
"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. Once OOD determines that notification would not delay or impede an
investigation, OOD shall disclose the access to confidential personal
information made for an invalid reason to the individual.
(2) Notification provided
by OOD shall inform the individual of the type of confidential personal
information accessed and, if known, the date(s) of the invalid
access.
(3) Notification may be
made by any method reasonably designed to accurately inform the individual of
the invalid access, including written, electronic, or telephone
notice.
(E) Appoint a data privacy point of contact. The OOD
executive director or designee shall designate an employee of OOD to serve as
the data privacy point of contact. The data privacy point of contact shall work
with the chief privacy officer within the state of Ohio's office of
information technology to assist OOD with both the implementation of privacy
protections for the confidential personal information that OOD maintains and
compliance with section 1347.15 of the Revised Code and the rules adopted
pursuant to the authority provided by that chapter.
(F) Complete a privacy impact assessment. The data privacy
point of contact for OOD shall timely complete the privacy impact assessment
form developed by the office of information technology.
(G) Pursuant to the requirements of division (B)(2) of
section 1347.15 of the Revised Code, this rule contains a list of valid
reasons, directly related to OOD's exercise of its powers or duties, for
which only authorized OOD employees may access confidential personal
information (CPI) regardless of whether the personal information system is a
manual system or computer system:
(1) Responding to a
public records request;
(2) Responding to a
request from an individual for the list of CPI OOD 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, other financial activities, or otherwise administering a program
with individual participants or beneficiaries;
(8) Auditing
purposes;
(9) Licensure, permit,
eligibility, and filing processes;
(10) Investigation or law
enforcement purposes;
(11) Administrative
hearings or evidentiary review by a hearing examiner;
(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, payroll, Federal
Medical Leave Act issues, disability issues, employee assistance program
issues);
(14) Complying with an
executive order or policy;
(15) Complying with an
OOD policy or procedure, or a state administrative policy or directive issued
by the department of administrative services (DAS), the office of budget and
management (OBM), or other similar state agency;
(16) Complying with a
collective bargaining agreement provision;
(17) Administering an OOD
program;
(18) Facilitating
operational efficiencies or responding to complaints, grievances or appeals
against OOD; or
(19) Maintaining data
systems or performing information technology responsibilities.
(H) Confidentiality. The following federal statues or
regulations or state statues and administrative rules make personal information
maintained by OOD confidential:
(1) Social security
numbers pursuant to 5 U.S.C. 552a, unless the individual was told that the
number would be disclosed;
(2) Bureau of criminal
investigation and information criminal records check results pursuant to
section 4776.04 of the Revised Code;
(3) Personal information
identified by the state vocational rehabilitation services program pursuant to
34 C.F.R. 361.38 in effect on the effective date of this rule;
(4) Any personal
information identified in rule 3304-2-63 of the Administrative
Code;
(5) Any personal
information that is considered confidential under section 149.43 and section
3304.21 of the Revised Code.
(6) Employee assistance
program records as stated in section 124.88 of the Revised Code.
(7) Medical records of
OOD employees or their family members: "Family Medical Leave Act of
1993," Pub. L. No. 103-3; 29 U.S.C. Sec. 260 as implemented in 29 C.F.R.
825.500; Section I of the "Americans with Disabilities Act of 1990,"
42 U.S.C. Sec. 12112(d).
(I) For personal information systems that are computer
systems and contain confidential personal information, OOD shall do the
following:
(1) Access restrictions.
Access to confidential personal information that is kept electronically shall
require a password or other authentication measure.
(2) Acquisition of a new
computer system. When OOD acquires a new computer system that stores, manages
or contains confidential personal information, OOD shall include a mechanism
for recording specific access by employees of OOD to confidential personal
information in the system.
(3) Upgrading existing
computer systems. When OOD modifies an existing computer system, OOD shall make
a determination whether the modification constitutes an upgrade. Any upgrades
to a computer system, or acquisition of a new computer system, shall include a
mechanism for recording specific access by OOD employees to confidential
personal information in the system.
(J) Logging requirements regarding confidential personal
information in existing computer systems.
(1) Employees who access
confidential personal information within computer systems shall maintain a log
that records that access unless a mechanism automatically records specific
access by OOD employees to that computer system.
(2) Access to personal
confidential information is not required to be entered into the log under the
following circumstances:
(a) The OOD employee is accessing confidential personal
information for official OOD purposes, including research, and the access is
not specifically directed toward a specifically named individual or a group of
specifically named individuals.
(b) The OOD employee 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.
(c) The OOD employee 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;
(d) The OOD employee accesses confidential personal information
about an individual based upon a request made under either of the following
circumstances:
(i) The individual
requests confidential personal information about himself/herself;
or
(ii) The individual makes
a request that OOD takes some action on that individual's behalf and
accessing the confidential personal information is required to consider or
process that request.
(K) Log management. The agency shall issue a policy that
specifies the following:
(1) The form or forms for
logging and in what format;
(2) Who shall maintain the
log;
(3) What information shall be captured in
the log;
(4) How the log shall be stored;
and
(5) How long information kept in the log
is to be retained.
(L) Nothing in this rule limits OOD from
requiring logging in any circumstance that it deems necessary.
