Chapter 107-2 Accessing Confidential Personal Information

107-2-01 Definitions for accessing confidential personal information.

For the purposes of administrative rules promulgated in accordance with section 1347.15 of the Revised Code, the following definitions apply:

(A) "Access" as a noun means an instance of copying, viewing, or otherwise perceiving whereas "access" as a verb means to copy, view, or otherwise perceive.

(B) "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 nor one for which the acquisition process has been initiated as of the effective date of the governor's office rule addressing requirements in section 1347.15 of the Revised Code.

(C) "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.

(D) "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 governor's office 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 governor's office confidential.

(E) "Incidental contact" means contact with the information that is secondary or tangential to the primary purpose of the activity that resulted in the contact.

(F) "Individual" means a natural person or the natural person's authorized representative, legal counsel, legal custodian, or legal guardian.

(G) "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.

(H) "Person" means a natural person.

(I) "Personal information" has the same meaning as defined in division (E) of section 1347.01 of the Revised Code.

(J) "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.

(K) "Research" means a methodical investigation into a subject.

(L) "Routine" means commonplace, regular, habitual, or ordinary.

(M) "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 employees and maintained by the governor's office for internal administrative and human resource purposes.

(N) "System" has the same meaning as defined by division (F) of section 1347.01 of the Revised Code.

(O) "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.

Effective: 01/06/2014
R.C. 119.032 review dates: 01/06/2018
Promulgated Under: 119.03
Statutory Authority: ORC 1347.15(B)
Rule Amplifies: ORC 1347.15

107-2-02 Procedures for accessing confidential personal information.

For personal information systems, whether manual or computer systems, that contain confidential personal information, the governor's office shall do the following:

(A) Criteria for accessing confidential personal information. Personal information systems of the governor's office are managed on a "need-to-know" basis whereby the information owner determines the level of access required for an employee of the governor's office to fulfill his/her 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 governor's office 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.

(B) 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 governor's office, the governor's office shall do all of the following:

(1) Verify the identity of the individual by a method that provides safeguards commensurate with the risk associated with the confidential personal information;

(2) 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) If all information relates to an investigation about that individual, inform the individual that the governor's office has no confidential personal information about the individual that is responsive to the individual's request.

(C) Notice of invalid access.

(1) Upon discovery or notification that confidential personal information of a person has been accessed by an employee for an invalid reason, the governor's office shall notify the person whose information was invalidly accessed as soon as practical and to the extent known at the time. However, the governor's office 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 governor's office 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 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 governor's office determines that notification would not delay or impede an investigation, the governor's office shall disclose the access to confidential personal information made for an invalid reason to the person.

(2) Notification provided by the governor's office shall inform the person of the type of confidential personal information accessed and the date(s) of the invalid access.

(3) Notification may be made by any method reasonably designed to accurately inform the person of the invalid access, including written, electronic, or telephone notice.

(D) Appointment of a data privacy point of contact. The governor's office chief of staff or deputy chief of staff for operations shall designate an employee of the governor's office 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 governor's office with both the implementation of privacy protections for the confidential personal information that the governor's office maintains and compliance with section 1347.15 of the Revised Code and the rules adopted pursuant to the authority provided by that chapter.

(E) Completion of a privacy impact assessment. The governor's office chief of staff or deputy chief of staff for operations shall designate an employee of the governor's office to serve as the data privacy point of contact who shall timely complete the privacy impact assessment form developed by the office of information technology.

Effective: 11/14/2013
R.C. 119.032 review dates: 11/14/2018
Promulgated Under: 119.03
Statutory Authority: ORC 1347.15(B)
Rule Amplifies: ORC 1347.15

107-2-03 Valid reasons for accessing confidential person 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 governor's office exercise of its powers or duties, for which only employees of the governor's office may access confidential personal information (CPI) regardless of whether the personal information system is a manual system or computer system:

(A) Performing the following functions constitute valid reasons for authorized employees of the governor's office to access confidential personal information:

(1) Responding to a public records request;

(2) Responding to a request from an individual for the list of CPI the governor's office 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.

(B) 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 governor's office, authorized employees would also have valid reasons for accessing CPI in these following circumstances:

(1) Employees in the governor's office may access and review CPI of individuals when responding to a request from that individual for assistance with a state issue or claim.

(2) Employees in the governor's office may access and review CPI of individuals when processing extraditions, requisitions, renditions and/or executive agreements.

(3) Employees in the governor's office may access and review CPI of individuals when administering or exercising the Ohio Constitution Article III, section 10 authority to act as commander-in-chief of the military and naval forces of the state.

(4) Employees in the governor's office may access and review CPI of individuals when administering or exercising the Ohio Constitution Article III, section 11 power to grant reprieves, commutations and pardons.

(5) Employees in the governor's office may access and review CPI of individuals who are subject to investigation for alleged state employee misconduct. Such employees may also review CPI of individuals who are not the subject of the investigation, but who otherwise may be witnesses with information related to the investigation.

Effective: 11/14/2013
R.C. 119.032 review dates: 11/14/2018
Promulgated Under: 119.03
Statutory Authority: 1347.15(B)
Rule Amplifies: 1347.15

107-2-04 Confidentiality statutes and rules.

(A) The following federal statutes or regulations or state statutes and administrative rules make personal information maintained by the agency confidential and identify the confidential personal information within the scope of rules promulgated by this agency in accordance with section 1347.15 of the Revised Code:

(1) Social security numbers: 5 U.S.C. 552a ., unless the individual was told that the number would be disclosed.

(2) Criminal records check results: section 4776.04 of the Revised Code and rule 4501:2-10-06 of the Administrative Code.

(3) Medical information: The Americans with Disabilities Act, 42 U.S.C. 12112(d) .

(4) Medical information: The Family Medical and Leave Act: Pub. L. 103-3, 29 U.S.C. Sec. 2601 as implemented in 29 CFR 825.500 .

(B) The following statutes make confidential certain personal information maintained by the governor's office in the course of administering or exercising the powers under Ohio Constitution Article III, section 11 to grant reprieves, commutations and pardons, as well under the Chapter 2963. of the Revised Code to issue and/or receive and process extraditions, requisitions, renditions and/or executive agreements; however, because such activity relates to the enforcement of the criminal laws, correction, probation, pardon, and / or parole authority, divisions (A)(1)(a) and (A)(1)(d) of section 1347.04 of the Revised Code expressly exempt such personal information from application of Chapter 1347. of the Revised Code, including section 1347.15 of the Revised Code:

(1) Probation reports and records: division (B) of section 2151.14 of the Revised Code;

(2) Confidential information to protect children: section 2151.423 of the Revised Code;

(3) Juvenile disposition order: division (D)(3) of the section 2152.19 of the Revised Code;

(4) Victim impact statement: division (D) of the section 2930.13 of the Revised Code;

(5) Victim impact statement: division (C) of the section 2947.051 of the Revised Code;

(6) Privileged communications: section 2317.02 of the Revised Code;

(7) Home address of employee of law enforcement agency or court: division (A) of section 2921.24 of the Revised Code;

(8) Victim's identification information: section 2930.07 of the Revised Code;

(9) Victim impact statement: section 2930.13 of the Revised Code;

(10) Victim's statement: division (A) of section 2930.14 of the Revised Code;

(11) Recording of proceedings before magistrate for search warrant: division (E) of section 2933.231 of the Revised Code;

(12) Suppressed evidenced from intercepted wire, oral or electronic communication: section 2933.63 of the Revised Code;

(13) Information and records in possession of bureau of criminal identification and investigation: section 2950.08 of the Revised Code;

(14) Victim of sexually-oriented offense information: division (A)(4) of section 2950.10 of the Revised Code;

(15) Sealed conviction of record: section 2953.32 of the Revised Code;

(16) Confidential investigatory work product: section 2953.321 of the Revised Code;

(17) Officer's specific investigatory work product: section 2953.54 of the Revised Code;

(18) Records or information related to drug or alcohol treatment program: division (A) of section 3793.13 of the Revised Code;

(19) Information obtained from 9-1-1 databases: division (F) of section 4931.49 of the Revised Code;

(20) Certificate, application , record or report related to psychiatric treatment of inmate: division (K) of section 5120.17 of the Revised Code; and

(21) Information provided to the office of victim service victim of crime: division (G) of section 5120.60 of the Revised Code.

Effective: 11/14/2013
R.C. 119.032 review dates: 11/14/2018
Promulgated Under: 119.03
Statutory Authority: 1347.15(B)
Rule Amplifies: 1347.15

107-2-05 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 governor's office shall do the following:

(A) Access restrictions. Access to confidential personal information that is kept electronically shall require a password or other authentication measure.

(B) Acquisition of a new computer system. When the governor's office acquires a new computer system that stores, manages or contains confidential personal information, the governor's office shall include a mechanism for recording specific access by employees of the governor's office to confidential personal information in the system.

(C) Upgrading existing computer systems. When the governor's office modifies an existing computer system that stores, manages or contains confidential personal information, the governor's office 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 governor's office to confidential personal information in the system.

(D) Logging requirements regarding confidential personal information in existing computer systems.

(1) The governor's office shall require employees of the governor's office who access confidential personal information within computer systems to maintain a log that records that access.

(2) Access to confidential information is not required to be entered into the log under the following circumstances:

(a) The employee of the governor's office is accessing confidential personal information for official agency purposes, including research, and the access is not specifically directed toward a specifically named individual or a group of specifically named individuals.

(b) The employee of the governor's office 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 employee of the governor's office 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 employee of the governor's office 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.

(ii) The individual makes a request that the governor's office takes some action on that individual's behalf and accessing the confidential personal information is required in order to consider or process that request.

(3) For purposes of this paragraph, the governor's office may choose the form or forms of logging, whether in electronic or paper formats.

(E) Log management. the governor's office shall issue a policy that specifies the following:

(1) Who shall maintain the log;

(2) What information shall be captured in the log;

(3) How the log is to be stored; and

(4) How long information kept in the log is to be retained.

Nothing in this rule limits the governor's office from requiring logging in any circumstance that it deems necessary.

Effective: 11/14/2013
R.C. 119.032 review dates: 11/14/2018
Promulgated Under: 119.03
Statutory Authority: ORC 1347.15(B)
Rule Amplifies: ORC 1347.15