(A) Procedures for accessing confidential
personal information.
For personal information systems, whether manual
or computer systems, that contain confidential personal information, the board
shall do the following:
(1) Criteria for
accessing confidential personal information. Personal information systems of
the board are managed on a "need-to-know" basis whereby the
information owner determines the level of access required for an employee of
the board 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. The board shall establish procedures for determining a
revision to an employee's access to confidential personal information upon
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) Individual's
request for a list of confidential personal information. Upon the signed
written request of any individual for a list of confidential personal
information about the individual maintained by the board, the board 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) If all information relates to an investigation about that
individual, inform the individual that the board has no confidential personal
information about the individual that is responsive to the individual's
request.
(3) Notice of invalid
access:
(a) Upon discovery of or notification that confidential personal
information of a person has been accessed by an employee for an invalid reason,
the board shall notify the person whose information was invalidly accessed as
soon as practical and to the extent known at the time. However, the board shall
delay notification for a period of time necessary to ensure that the
notification would not delay or impede an investigation or jeopardize homeland
or national security. Additionally, the board may delay the notification
consistent with any measures necessary to determine the scope of the invalid
access, including which individuals' confidential personal information was
invalidly accessed, and to restore the reasonable integrity of the
system.
"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 the board determines that notification would not delay or
impede an investigation, the board shall disclose the access to confidential
personal information made for an invalid reason to the person.
(b) Notification provided by the board shall inform the person of
the type of confidential personal information accessed and the date(s) of the
invalid access.
(c) Notification may be made by any method reasonably designed to
accurately inform the person of the invalid access, including written,
electronic, or telephone notice.
(4) Appointment of a data
privacy point of contact. The board's executive director shall designate
an employee of the board 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 board with both the
implementation of privacy protections for the confidential personal information
that the board maintains in compliance with section 1347.15 of the Revised Code
and the rules adopted pursuant to the authority provided by that
chapter.
(5) Completion of a
privacy impact assessment. The board executive director shall designate an
employee of the board to serve as the data privacy point of contact who shall,
in a timely manner, complete the privacy impact assessment form developed by
the office of information technology.
(B) Valid reasons for accessing
confidential personal information.
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 the board's exercise of its powers or duties,
for which only authorized employees of the board or board members may access
confidential personal information (CPI) regardless of whether the personal
information system is a manual system or a computer system.
(1) Performing the
following functions constitute valid reasons for authorized employees or
members of the board to access confidential personal information:
(a) Responding to a public records request;
(b) Responding to a request from an individual for the list of
CPI the board maintains on that individual;
(c) Administering a constitutional provision or
duty;
(d) Administering a statutory provision or duty;
(e) Administering an administrative provision or
duty;
(f) Complying with any state or federal program
requirements;
(g) Processing or payment of claims or otherwise administering a
program with individual participants or beneficiaries;
(h) Auditing purposes;
(i) Licensure processes;
(j) Investigation or law enforcement purposes;
(k) Administrative hearings;
(l) Litigation, complying with an order of the court, or
subpoena;
(m) Human resource matters, including hiring, promotion,
demotion, discharge, salary or compensation issues, processing leave requests
or issues, timecard approvals or issues, and payroll processing;
(n) Complying with an executive order or policy;
(o) Complying with a board 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
(p) Complying with a collective bargaining agreement
provision.
(2) To the extent that
the general processes described in paragraph (A) of this rule do not cover the
following circumstances, for the purpose of carrying out specific duties of the
board, authorized employees, contractors, and board members would also have
valid reasons for accessing CPI in these following circumstances:
(a) Conducting a review of individuals who may be potential
witnesses or other sources of information in a criminal or administrative
proceeding;
(b) Administering the dangerous drug database also known as the
"Ohio Automated Rx Reporting System" or
"OARRS";
(c) Inspection purposes;
(d) Administering board orders; or
(e) Research performed for official duties.
(C) Confidentiality statutes,
regulations, and rules.
The following federal statutes or regulations or
state statutes or administrative rules make personal information maintained by
the board confidential and identify the confidential personal information
within the scope of rules promulgated by this board in accordance with section
1347.15 of the Revised Code:
(1) Social security
numbers: 5 U.S.C. 552a (12/19/2014), unless the individual was told that the
number would be disclosed.
(2) "Bureau of
Criminal Identification and Investigation" criminal records check results:
section 4776.04 of the Revised Code.
(3) Student education
records: 20 U.S.C. 1232g (1/14/2013).
(4) Dangerous drug
database information: division (C) of section 4729.79 of the Revised
Code.
(5) Personal health
information: 45 C.F.R. 164.502 (1/25/2013) from the federal "Health
Insurance Portability and Accountability Act of 1996
(HIPAA)."
(6) Substance abuse
treatment records: section 5119.27 of the Revised Code and 42 U.S.C. 290dd-2
(3/27/2020).
(7) Records of dangerous
drugs and controlled substances: section 3719.13 of the Revised
Code.
(8) Security or
infrastructure records: division (B) of section 149.433 of the Revised
Code.
(9) Information or
records that are attorney-client privileged: division (A)(1) of section 2317.02
of the Revised Code.
(10) Mediation
communications or records: section 2710.03 of the Revised Code.
(11) Trial preparation
records: division (A)(1)(g) of section 149.43 of the Revised Code.
(12) Court filings: Rule
45(D)(1) of the rules of superintendence for the courts of Ohio.
(13) Section 4729.23 of
the Revised Code.
(D) Restricting and logging access to
confidential personal information in computerized personal information
systems.
For personal information systems that are
computer systems and contain confidential personal information, the board 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 the board acquires a new computer system that stores,
manages, or contains confidential personal information, the board shall include
a mechanism for recording specific access by employees of the board to
confidential personal information in the system.
(3) Upgrading existing
computer systems. When the board modifies an existing computer system that
stores, manages, or contains confidential personal information, the board 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 board to confidential personal information in the
system.
(4) Logging requirements
regarding confidential personal information in existing computer
systems.
(a) The board shall require employees of the board who access
confidential personal information within computer systems to maintain a log
that records that access.
(b) Access to confidential information is not required to be
entered into the log under the following circumstances:
(i) The employee or
contractor of the board is accessing confidential personal information for
official board 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
board 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
board 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.
(c) The employee of the board 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 the individual.
(ii) The individual makes
a request that the board take some action on that individual's behalf and
accessing the confidential personal information is required in order to
consider or process the request.
(d) For purposes of this paragraph, the board may choose the form
or forms of logging, whether in electronic or paper formats.
(5) Log management. The
board 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;
(d) How long information kept in this log is to be
retained.
(6) Nothing in this rule
limits the board from requiring logging in any circumstance that it deems
necessary.
