Chapter 182-1 Ethics

182-1-01 Conflict of interest participation in grant, loan or contract review - Foundation board members.

(A) Foundation board members who also serve as a board member, employee or officer of an organization are prohibited from discussing, deliberating, or voting on the award of, grants, loans or contracts to that organization that they serve as a board member, officer or employee.

(B) Foundation board members who also serve as a board member, employee or officer of an organization cannot use their position to secure a grant, loan or contract for the organization that they serve as a board member, employee or officer with terms that are in disproportion, selective, or differential to the grants and contracts received by other qualified applicants.

(C) Foundation board members who also serve as a board member, employee or officer of an organization are prohibited from participating in the foundation's evaluation of any research or program that was conducted by the organization that they serve as a board member, employee or officer.

(D) Foundation board members who also serve as a board member, employee or officer of an organization are prohibited from voting upon, discussing, or otherwise using the authority or influence of their public position, either formally or informally, to secure authorization of a grant, loan or contract for that organization from the foundation. This includes a bar upon the foundation board member's participation in any issue relating to the grant, loan or contract after it is entered into, such as a dispute regarding, or modification to, the terms of the grant, loan or contract.

(E) Foundation board members are required to abstain from participation in any decision-making process involving grant, loan or contract applications or proposals from an organization that employs a member of the immediate family of a foundation board member; or with a which member of the immediate family of a foundation board member is otherwise directly affiliated

(F) Foundation board members may not authorize, or in any way use their position to secure approval of a foundation contract, loan or grant in which their family members, or their business associates, have an interest.

(G) For purposes of this rule, "family members" include but are not limited to: grandparents; parents; spouse; children, whether dependent or not; grandchildren; brothers and sisters; or any person related by blood or marriage and residing in the same household.

(H) For purposes of this rule, a board member's "business associates" include but are not limited to: a person(s); corporation; association; or any other business entity that shares a definite and direct pecuniary or fiduciary interest with the Board member.

Eff 8-15-03
Rule promulgated under: RC 119.03
Rule authorized by: RC 183.15
Rule amplifies: RC 183.15
R.C. 119.032 review dates: 06/10/2009 and 06/10/2014

182-1-02 Standards of ethical conduct - Foundation board members.

(A) No Foundation board member may solicit or accept anything of value in his or her capacity as a member of the Foundation board, including, but not limited to the following: gifts, food or beverages, social event tickets or expenses, travel expenses, or consulting fees, from any person interested in matters before, doing business with, or seeking to do business with, the foundation. For these purposes, the term "value" means a worth greater than minimal or de minimis.

(B) Foundation board members shall act without self-interest on all proposals submitted to the foundation, recognizing that loyalties to a particular geographic area, institution, or specific interest group, must be subjugated to the broader purpose of acting in the best interest of the foundation.

Eff 8-15-03
Rule promulgated under: RC 119.03
Rule authorized by: RC 183.15
Rule amplifies: RC 183.15
R.C. 119.032 review dates: 06/10/2009 and 06/10/2014

182-1-03 Financial disclosure.

The executive director and all foundation board members must each file a financial disclosure statement with the Ohio ethics commission on an annual basis. The annual statement must be filed on or before the fifteenth of April. If a foundation board member is appointed subsequent to the filing deadline, the foundation board member must file a statement within ninety days after appointment. foundation board members must file a statement by the fifteenth of April in the year following the termination of their service on the board.

Eff 8-15-03
Rule promulgated under: RC 119.03
Rule authorized by: RC 183.15
Rule amplifies: RC 183.15
R.C. 119.032 review dates: 06/10/2009 and 06/10/2014

182-1-04 Standards of ethical conduct - Foundation staff members.

(A) Foundation staff members are required to:

(1) Notify the executive director if there is a question regarding conflict of interest. The executive director will review and make appropriate recommendation on a case-by-case basis.

(2) Remove themselves from the boards of organizations that currently or may prospectively receive foundation funding. Foundation staff may hold a membership to various organizations, however, staff members are prohibited from participation in the decision-making process for any organization proposal for funding in which membership is held.

(3) Abstain from participation in any decision-making process involving an applicant for foundation funds, which applicant employs a member of the immediate family of a foundation staff member; or with which a member of the immediate family of a foundation staff member is otherwise directly affiliated.

(4) Conduct themselves, at all times, in a manner that avoids the appearance of impropriety, favoritism, or bias.

(B) Restraints upon an employee's conduct include, but are not limited to, the following:

(1) No employee may solicit or accept anything of value, including, but not limited to the following: gifts, food or beverages, social event tickets or expenses, travel expenses, or consulting fees, from any person interested in matters, doing business with, or seeking to do business with, the foundation. For these purposes, the term "value" means a worth greater than minimal or de minimis.

(2) No employee may use his or her position to obtain improper personal benefits, or improper benefits for his her family or business associates.

(3) No employee may accept compensation, other than from the foundation, for the performance of his or her foundation duties or responsibilities.

(4) No employee may be a party to or beneficiary of a contract with, authorized by, or approved by, the foundation.

(5) No employee may authorize, or in any way use his or her position to secure approval of a foundation contract or grant in which the employee's family members or business associates have an interest.

(6) No employee may use, or authorize the use of, his or her name, the name of the "Southern Ohio Agricultural and Community Development Foundation" or any foundation logo in a manner that suggests impropriety, favoritism, or bias by the employee or the foundation.

(7) No employee may solicit or accept honoraria for the performance of his or her foundation duties or responsibilities.

(8) For purposes of this rule, "family members" include but are not limited to: grandparents; parents; spouse; children, whether dependent or not; grandchildren; brothers and sisters; or any person related by blood or marriage and residing in the same household.

(9) For purposes of this rule, an employee's "business associates" include but are not limited to: a person(s); corporation; association; or any other business entity that shares a definite and direct pecuniary or fiduciary interest with the employee.

Eff 8-15-03
Rule promulgated under: RC 119.03
Rule authorized by: RC 183.15
Rule amplifies: RC 183.15
R.C. 119.032 review dates: 06/10/2009 and 06/10/2014

182-1-05 Definitions for accessing confidential personal information.

For the purposes of rules 182-1-06 to 182-1-08 of the Administrative Code 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 agency 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 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.

(E) "Employee of the state agency" means each employee of a state agency regardless of whether he/she holds an elected or appointed office or position within the state agency. "Employee of the state agency" is limited to the specific employing state agency.

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

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

(H) "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.

(I) "Person" means a natural person.

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

(K) "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.

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

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

(N) "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 agency for internal administrative and human resource purposes.

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

(P) "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: 09/11/2011
R.C. 119.032 review dates: 09/11/2016
Promulgated Under: 119.03
Statutory Authority: 183.12 , 1347.15
Rule Amplifies: 1347.15

182-1-06 Procedures for accessing confidential personal information.

For personal information systems, whether manual or computer systems, that contain confidential personal information, the Southern Ohio agricultural and community development foundation shall do the following:

(A) 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 employee of the agency 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 agency 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 agency, the agency 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 agency 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 agency shall notify the person whose information was invalidly accessed as soon as practical and to the extent known at the time. However, the agency 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 agency 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 agency determines that notification would not delay or impede an investigation, the agency shall disclose the access to confidential personal information made for an invalid reason to the person.

(2) Notification provided by the agency 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 agency director shall designate an employee of the agency 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 agency with both the implementation of privacy protections for the confidential personal information that the agency 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 agency director shall designate an employee of the agency 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: 09/11/2011
R.C. 119.032 review dates: 09/11/2016
Promulgated Under: 119.03
Statutory Authority: 183.12 , 1347.15
Rule Amplifies: 1347.15

182-1-07 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 Southern Ohio agricultural and community development foundation's exercise of its powers or duties, for which only employees of the agency 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 agency 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 agency 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, eligibility or filing 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 Southern Ohio agricultural and community development foundation, authorized employees would also have valid reasons for accessing CPI in these following circumstances:

(1) Employees of the Southern Ohio agricultural and community development foundation may review CPI of individuals who apply for economic development or agricultural grants from the agency, for the purposes of awarding and monitoring those grants.

(2) Employees of the Southern Ohio agricultural and community development foundation may review CPI of "eligible parties," whose family members apply for educational assistance grants from the agency, for the purposes of awarding and monitoring those grants.

Effective: 09/11/2011
R.C. 119.032 review dates: 09/11/2016
Promulgated Under: 119.03
Statutory Authority: 183.12 , 1347.15
Rule Amplifies: 1347.15

182-1-08 Confidentiality statutes.

The following federal statutes or regulations or state statutes and administrative rules make personal information maintained by the Southern Ohio agricultural and community development foundation 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:

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

Effective: 09/11/2011
R.C. 119.032 review dates: 09/11/2016
Promulgated Under: 119.03
Statutory Authority: 183.12 , 1347.15
Rule Amplifies: 1347.15

182-1-09 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 agency 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 agency acquires a new computer system that stores, manages or contains confidential personal information, the agency shall include a mechanism for recording specific access by employees of the agency to confidential personal information in the system.

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

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

(1) The agency shall require employees of the agency 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 agency 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 agency 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 agency 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 agency 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 agency 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 agency may choose the form or forms of logging, whether in electronic or paper formats.

(E) Log management. The agency 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 Southern Ohio agricultural and community development foundation from requiring logging in any circumstance that it deems necessary.

Effective: 09/11/2011
R.C. 119.032 review dates: 09/11/2016
Promulgated Under: 119.03
Statutory Authority: 183.12 , 1347.15
Rule Amplifies: 1347.15