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