Chapter 173-13 Accessing Confidential Personal Information

173-13-01 Introduction and definitions.

(A) Introduction: Chapter 173-13 of the Administrative Code regulates ODA employee access to the confidential personal information that ODA maintains.

(B) Definitions for Chapter 173-13 of the Administrative Code:

"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.

"Acquisition of a new computer system" means the purchase of a "computer system," as defined in this rule, that is not a computer system that is currently in place nor one for which the acquisition process was initiated on or before August 30, 2010.

"Computer system" means a "system," as defined in section 1347.01 of the Revised Code, that stores, maintains, or retrieves personal information using electronic data processing equipment.

"Confidential personal information" ("CPI") has the meaning as in division (A)(1) of section 1347.15 of the Revised Code and identified in rule 173-13-04 of the Administrative Code.

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

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

"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.

"ODA" means "the Ohio department of aging."

"ODA employee" means any employee of ODA regardless of whether he/she holds an elected or appointed office or position within ODA. "ODA employee" is limited to ODA.

"Person" means a natural person.

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

"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.

"Research" means a methodical investigation into a subject.

"Routine" means commonplace, regular, habitual, or ordinary.

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

"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.

Replaces: 173-13-01

Effective: 7/1/2015
Five Year Review (FYR) Dates: 07/01/2020
Promulgated Under: 119.03
Statutory Authority: 173.01, 173.02, 1347.15
Rule Amplifies: 1347.15
Prior Effective Dates: 08/30/2010, 12/29/2011

173-13-02 Procedures for accessing confidential personal information.

For personal information systems, whether manual or computer systems, that contain confidential personal information, ODA shall do the following:

(A) Criteria for accessing confidential personal information: Personal information systems of ODA are managed on a "need-to-know" basis whereby the information owner determines the level of access required for an employee of ODA to fulfill his or 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. ODA 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 ODA's receipt of a signed, written request of any individual for a list of confidential personal information about the individual maintained , ODA 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 ODA 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, ODA shall notify the person whose information was invalidly accessed as soon as practical and to the extent known at the time. However, ODA 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, ODA 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. As used in this paragraph, "investigation" means the investigation of the circumstances and involvement of an employee surrounding the invalid access of the confidential personal information. Once ODA determines that notification would not delay or impede an investigation, ODA shall disclose the access to confidential personal information made for an invalid reason to the person.

(2) Notification provided by ODA 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: ODA's director shall designate an ODA employee 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 in the department of administrative services to assist ODA with both the implementation of privacy protections for the confidential personal information that ODA maintains and compliance with section 1347.15 of the Revised Code and this chapter.

(E) Completion of a privacy impact assessment: The data privacy point of contact shall timely complete the privacy impact assessment form developed by the office of information technology.

Effective: 7/1/2015
Five Year Review (FYR) Dates: 04/13/2015 and 07/01/2020
Promulgated Under: 119.03
Statutory Authority: 173.01, 173.02, 1347.15
Rule Amplifies: 1347.15
Prior Effective Dates: 08/30/2010

173-13-03 Valid reasons for accessing confidential personal information.

An authorized ODA employee may access confidential personal information for any one or more of the following reasons:

(A) Responding to a public records request;

(B) Responding to a request from an individual for the list of CPI that ODA maintains on that individual;

(C) Administering a constitutional provision or duty;

(D) Administering a statutory provision or duty;

(E) Administering an administrative rule 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 (or monitoring, reviewing, etc.) purposes;

(I) Licensure (or certification, permit, eligibility, enrollment, filing, etc.) 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 (e.g., hiring, promotion, demotion, discharge, salary/compensation issues, leave requests/issues, time card approvals/issues);

(N) Complying with an executive order or policy;

(O) 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,

(P) Complying with a collective-bargaining agreement provision.

Effective: 7/1/2015
Five Year Review (FYR) Dates: 04/13/2015 and 07/01/2020
Promulgated Under: 119.03
Statutory Authority: 173.01, 173.02, 1347.15
Rule Amplifies: 1347.15
Prior Effective Dates: 08/30/2010

173-13-04 Confidentiality statutes and regulations.

The following state statutes and administrative rules and federal statutes and regualtions make personal information maintained by ODA confidential:

Section 149.43 of the Revised Code for the general statute on public records.

Section 173.061 of the Revised Code for records that identify recipients of golden buckeye cards.

Section 173.22 of the Revised Code; and 42 U.S.C. 3027(a)(12)(C), 42 U.S.C. 3058g(a)(5)(D), 42 U.S.C. 3058d(a)(6)(C), 42 U.S.C. 3058g(d), and 42 U.S.C. 3058i(e)(2), each as reviewed on March 30, 2015; 42 C.F.R. 1321.11 (October 1, 2014 edition), for the collection, compilation, analysis, and dissemination of information by the office of the state long-term care ombudsman program.

Sections 173.27, 173.38, and 173.381 of the Revised Code for criminal records.

Division (B) of section 173.393 of the Revised Code for records obtained while monitoring certified providers.

Division (H) of section 1347.15 of the Revised Code for records in personal information systems, generally.

Chapter 3798 of the Revised Code and 42 U.S.C. 1320d et. seq.; 45 C.F.R. 160, 162, and 164 (October 1, 2014 edition) for individually-identifiable health information (HIPAA).

42 U.S.C. 1396a(a)(7), as reviewed on March 30, 2015; 42 C.F.R. 431.300 to 431.307 (October 1, 2014 edition); and rule 5160:1-1- 51.1 of the Administrative Code for information on Medicaid applicants and recipients.

42 C.F.R. 460.112(f) (October 1, 2014 edition) for individually identifiable health information of participants who are enrolled in PACE.

45 C.F.R. 1321.51 (October 1, 2014 edition) for identifying information on older persons collected in the conduct of the state's responsibilities under the Older Americans Act, generally.

Replaces: 173-13-04

Effective: 7/1/2015
Five Year Review (FYR) Dates: 07/01/2020
Promulgated Under: 119.03
Statutory Authority: 173.01, 173.02, 1347.15
Rule Amplifies: 1347.15
Prior Effective Dates: 08/30/2010, 12/19/2013

173-13-05 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, ODA 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 ODA acquires a new computer system that stores, manages, or contains confidential personal information, ODA shall include a mechanism for recording specific access by ODA employees to confidential personal information in the system.

(C) Upgrading existing computer systems: When ODA modifies an existing computer system that stores, manages, or contains confidential personal information, ODA 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 ODA employees to confidential personal information in the system.

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

(1) ODA shall require ODA employees 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 ODA employee is accessing confidential personal information for official ODA purposes, including research, and the access is not specifically directed toward a specifically named individual or a group of specifically named individuals.

(b) The ODA 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 ODA 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 ODA 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 or herself.

(ii) The individual makes a request that ODA take 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 paragraph (D) of this rule, ODA may choose the form or forms of logging, whether in electronic or paper formats.

(E) Log management: Nothing in this rule limits ODA from requiring logging in any circumstance that it deems necessary. ODA 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.

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Effective: 7/1/2015
Five Year Review (FYR) Dates: 04/13/2015 and 07/01/2020
Promulgated Under: 119.03
Statutory Authority: 173.01, 173.02, 1347.15
Rule Amplifies: 1347.15
Prior Effective Dates: 08/30/2010