Chapter 3301-2 Personal Information Systems

3301-2-01 Definitions.

As used in this chapter, except as otherwise provided:

(A) "Combination of systems" means a unification of systems that belong to more than one agency, or to an agency and other organization, into a single system in which the records that belong to each agency or organization may or may not be obtainable by the others.

(B) "Computer readable" means in a form capable of being sensed by optical, electronic, or some other mechanical means which is used in connection with electronic data processing equipment. "Computer readable" includes storage in magnetic core memories, punched cards, paper tape, magnetic media, and specifically marked forms capable of being decoded by optical scanners or similar devices. "Computer readable" does not include typed material, unless such typed material is on a form specifically used for optical scanners or similar devices.

(C) "Data subject" means the person who is the subject of the record.

(D) "Department" means the Ohio department of education.

(E) "Disclosure of personal information" is any action which reveals personal information in a personal information system to any individual or organization other than employees of the state agency who must use the personal information in the performance of their assigned duties, except subject's right to inspect personal information pursuant to rule 3301-3-08 of the Administrative Code.

(F) "Electronic data processing equipment" means a machine or group of interconnected machines, consisting of input, storage, computing, control and output devices where electronic circuitry is used to perform arithmetic and logical operations, using internally stored or externally controlled programmed instructions. "Electronic data processing equipment" does not include accounting and bookkeeping machines, office calculators, magnetic card typewriters, and other similar devices. "Electronic data processing equipment" includes terminals which are linked to computers.

(G) "Interconnection of systems" means a linking of systems that belong to more than one agency or to an agency and other organizations, which linking of systems results in a system that permits each agency or organization involved in the linking to have unrestricted access to the systems of the other agencies and organizations.

(H) "Maintains" means state or local agency ownership of, control over, responsibility for, or accountability for systems and includes, but is not limited to, state or local agency depositing of information with a data processing center for storage, processing, or dissemination. An agency "maintains" all systems of records that are required by law to be kept by the agency.

(I) "Person" means any individual, corporation, business trust, estate, trust, partnership, or association.

(J) "Personal information" means any information that describes anything about a person, indicates actions done by or to a person, or indicates that a person possesses certain personal characteristics, and that contains, and can be retrieved from a system by, a name, identifying number, symbol, or other identifier assigned to a person.

(K) "Superintendent" means the superintendent of public instruction.

(L) "System" means any collection or group of related records that are kept in an organized manner and that are maintained by a state or local agency, and from which personal information is retrieved by the name of the person or by some identifying number, symbol, or other identifier assigned to the person. "System" includes both records that are manually stored and records that are stored using electronic data processing equipment. "System" does not include collected archival records in the custody of or administered under the authority of the Ohio historical society, published directories, reference materials or newsletters, or routine information that is maintained for the purpose of internal office administration, the use of which would not adversely affect a person.

(M) "Use of personal information" is any action which causes personal information in a personal information system to be referenced, processed or disseminated. "Disclosure of personal information" is a "use of personal information."

R.C. 119.032 review dates: 06/13/2011 and 06/13/2016
Promulgated Under: 119.03
Statutory Authority: 3301.07 , 1347.05
Rule Amplifies: 1347.05
Prior Effective Dates: 3/1/1983, 4/1/88, 1/18/2008

3301-2-02 Personal information systems.

(A) Chapter 3301-2 of the Administrative Code shall apply to all personal information systems maintained by the department unless exempted in paragraph (C) of this rule. A "personal information system" is any group of organized records that contains personal information which can be retrieved by a name, identifying number, symbol, or other identifier assigned to a person.

(B) The department maintains a personal information system which it deposits or stores in a record center or stores in or has processed by a data center. The department does not maintain a personal information system belonging to another state agency, which is stored in or processed by the state data center.

(C) Personal information systems that are comprised of investigatory material compiled for law enforcement are exempt from the provisions of Chapter 1347. of the Revised Code and Chapters 123:3-1 and 3301-2 of the Administrative Code.

R.C. 119.032 review dates: 06/13/2011 and 06/13/2016
Promulgated Under: 119.03
Statutory Authority: 3301.07 , 1347.05
Rule Amplifies: 1347.05
Prior Effective Dates: 3/1/83, 1/18/2008

3301-2-03 Personal systems security coordinator.

(A) The superintendent shall appoint a security coordinator who shall be responsible for compliance with Chapter 1347. of the Revised Code and Chapters 123:3-1 and 3301-2 of the Administrative Code.

(B) The coordinator shall provide interpretation and guidance relative to specific compliance questions.

(C) The coordinator shall receive all correspondence or inquiries relative to personal information systems security unless otherwise indicated in Chapter 3301-2 of the Administrative Code.

(D) The coordinator shall be responsible for monitoring policies and procedures established by Chapter 3301-2 of the Administrative Code and modifying such policies and procedures when appropriate.

R.C. 119.032 review dates: 06/13/2011 and 06/13/2016
Promulgated Under: 119.03
Statutory Authority: 3301.07 , 1347.05
Rule Amplifies: 1347.05
Prior Effective Dates: 3/1/1983, 1/18/2008

3301-2-04 Notice of personal information systems. [Rescinded].

Rescinded eff 1-20-07

3301-2-05 Collection, maintenance, and use of only personal information which is necessary and relevant.

The department shall collect, maintain and use only personal information which is necessary and relevant to the functions it is required or authorized to perform by statute, ordinance, code or rule and eliminate such information when it is no longer necessary to those functions.

(A) Annually, the responsible individual shall review a random sampling of records to determine if personal information in the system is necessary for and relevant to the performance of lawful functions. Personal information which does not meet these requirements shall no longer be collected.

(B) When an existing personal information system is substantially enlarged or a new personal information system is established, the personal systems security coordinator shall examine:

(1) The function for which the personal information system is being enlarged or created to ensure that it is required or authorized by statute, ordinance, code or rule; and

(2) The personal information to be collected and maintained to ensure that it is necessary and relevant to the function to be performed.

The personal systems security coordinator shall approve or disapprove the enlargement or establishment of a personal information system.

(C) Retention periods shall be established to ensure the deletion of personal information which is no longer necessary for or relevant to the performance of lawful functions. The establishment of retention periods shall conform to sections 121.211 and 149.34 of the Revised Code.

R.C. 119.032 review dates: 06/13/2011 and 06/13/2016
Promulgated Under: 119.03
Statutory Authority: 3301.07 , 1347.05
Rule Amplifies: 1347.05
Prior Effective Dates: 3/1/1983, 4/1/88, 1/18/2008

3301-2-06 Maintenance of personal information which is accurate, relevant, timely and complete.

(A) Employees who use a personal information system shall monitor the contents of the records and report to the personal systems security coordinator the existence of personal information which appears inaccurate, irrelevant, untimely or incomplete.

(B) The personal systems security coordinator shall keep a record of the reported incidence of error in each personal information system. If it appears the reported errors are characteristic of the system as a whole, the coordinator shall establish procedures to correct existing records and record-keeping methods.

(C) In order to maintain personal information which is accurate, relevant, timely and complete, employees of the department shall, in the performance of their normal duties:

(1) Verify the accuracy of personal information which does not appear reasonable or is doubtful, vague or inconsistent;

(2) Correct inaccurate personal information;

(3) Limit the collection and maintenance of subjective personal information to only that information which is required to accomplish the purpose of the system and, when feasible, verify such information with the data subject;

(4) Not include in, or allow to remain in, a personal information system personal information known to be inaccurate, untimely, unnecessary or irrelevant;

(5) Update personal information systems which provide an historical account or for which an outcome is anticipated; and

(6) Make no determination based on personal information in a personal information system if the data is known or suspected to be incomplete.

R.C. 119.032 review dates: 06/13/2011 and 06/13/2016
Promulgated Under: 119.03
Statutory Authority: 3301.07 , 1347.05
Rule Amplifies: 1347.05
Prior Effective Dates: 3/1/83

3301-2-07 Notice to persons asked to supply personal information.

(A) Any person asked to supply personal information for a personal information system shall be advised whether he or she is legally required, or may refuse, to supply the information. A statement to this effect shall be provided with any written or verbal request for information and included on all forms.

(B) Any person asked to supply personal information that will be placed in an interconnected or combined system shall be provided with information relevant to the system, including the identity of the other agencies or organizations that have access to the personal information in the system.

(C) If personal information is requested from the same source on a continuous basis, the person may be advised, as required in paragraphs (A) and (B) of this rule, one time, in writing, rather than prior to each request.

R.C. 119.032 review dates: 06/13/2011 and 06/13/2016
Promulgated Under: 119.03
Statutory Authority: 3301.07 , 1347.05
Rule Amplifies: 1347.05
Prior Effective Dates: 3/1/83

3301-2-08 Data subject's right to inspect personal information.

(A) Upon the request and proper identification of any person who is the subject of personal information in a personal information system, the department shall:

(1) Inform the person of any personal information in the system of which he or she is the subject;

(2) Except as provided in paragraph (C) or (D) of this rule, permit the person, his or her legal guardian, or an attorney with a signed written authorization made by the person, or his or her legal guardian, to inspect all personal information in the system of which he or she is the subject; and

(3) Inform the person about the types of uses made of the personal information, including the identity of any users usually granted access to the system.

(B) Any person who wishes to exercise a right provided by this rule may be accompanied by another individual of his or her choice.

(C) Upon request, medical, psychiatric or psychological information shall be disclosed to the person who is the subject of the information or to his or her legal guardian, unless a physician, psychiatrist or psychologist determines for the agency that the disclosure of the information is likely to have an adverse effect on the person, in which case the information shall be released to a physician, psychiatrist or psychologist who is designated by the person or by his or her legal guardian.

(D) A person who is the subject of personal information in a personal information system, his or her legal guardian, or an attorney authorized by the person, does not have the right to inspect or have copied, or require the department to permit the inspection of or to copy, a confidential law enforcement investigatory record or trial preparation record as those terms are defined in divisions (A)(2) and (A)(4) of section 149.43 of the Revised Code.

(E) Upon the request of an individual who is authorized to inspect personal information, the department shall provide, at cost, copies of personal information the data subject is authorized to inspect, which is maintained in a personal information system by the department.

R.C. 119.032 review dates: 06/13/2011 and 06/13/2016
Promulgated Under: 119.03
Statutory Authority: 3301.07 , 1347.05
Rule Amplifies: 1347.05
Prior Effective Dates: 3/1/83

3301-2-09 Investigation of data subject's dispute of the accuracy, relevance, timeliness or completeness of personal information.

(A) If a person who is the subject of personal information in a personal information system maintained by the department disputes the accuracy, relevance, timeliness or completeness of the personal information, he or she may request the department to investigate the current status of the information.

(B) Requests to investigate personal information shall be made to the personal systems security coordinator or the individual who is responsible for the system.

(C) Within ninety days after receiving the request from the disputant, the department shall make a reasonable investigation to determine whether the disputed information is accurate, relevant, timely and complete and shall notify the disputant of the results of the investigation and of the action that the department plans to take with respect to the disputed information. The department shall delete any information that it cannot verify or that it finds to be inaccurate.

(D) If, after the department's determination, the disputant is not satisfied, the department shall do either of the following:

(1) Permit the disputant to include within the system a brief statement of his or her position on the disputed information; or

(2) Permit the disputant to include within the system a notation that the disputant protests that the information is inaccurate, irrelevant, outdated or incomplete. The agency shall maintain a copy of the disputant's statement of the dispute.

The department may limit the statement or notation allowed under this paragraph to not more than one hundred words if the department assists the disputant in writing a clear summary of the dispute.

(E) The department shall include the statement or notation in any subsequent transfer, report or dissemination of the disputed information and may include with the statement or notation of the disputant a statement by the department that it has reasonable grounds to believe that the dispute is frivolous or irrelevant and of the reasons for its belief.

(F) The presence of contradictory information in the disputant's file does not alone constitute reasonable grounds to believe that the dispute is frivolous or irrelevant.

(G) Following any deletion of information that is found to be inaccurate or the accuracy of which can no longer be verified, or if a statement of dispute was filed by the disputant, the department shall, at the written request of the disputant, furnish notification that the information has been deleted, or furnish a copy of the disputant's statement of the dispute, to any person specifically designated by the disputant. The department shall specifically disclose to the disputant that he or she has the right to make such a request.

R.C. 119.032 review dates: 06/13/2011 and 06/13/2016
Promulgated Under: 119.03
Statutory Authority: 3301.07 , 1347.05
Rule Amplifies: 1347.05
Prior Effective Dates: 3/1/83, 1/18/2008

3301-2-10 Participation in interconnected or combined systems.

(A) The department shall not place personal information in an interconnected or combined system, or use personal information that is placed in an interconnected or combined system by another state or local agency or another organization, unless the interconnected or combined system will contribute to the efficiency of the involved agencies in implementing programs that are authorized by law.

(B) The department shall not use personal information placed in an interconnected or combined system by another state or local agency or another organization, unless the personal information is necessary and relevant to the performance of a lawful function of the department.

(C) The participation in an interconnected or combined system or the use of personal information in an interconnected or combined system shall be approved by the personal systems security coordinator.

R.C. 119.032 review dates: 06/13/2011 and 06/13/2016
Promulgated Under: 119.03
Statutory Authority: 3301.07 , 1347.05
Rule Amplifies: 1347.05
Prior Effective Dates: 3/1/83

3301-2-11 Security precautions.

(A) The department shall take reasonable precautions to protect personal information in the system from unauthorized modification, destruction, use or disclosure. In determining what is reasonable, consideration shall be given to the following:

(1) The nature and vulnerability of the personal information;

(2) The physical facilities where the personal information is maintained or used; and

(3) The need for the feasibility of keeping personal information in a secure place, considering paragraphs (A)(1) and (A)(2) of this rule, the cost of providing a secure place, and the need for access to the place where information is kept by personnel of the agency and the general public.

(B) The department shall adopt, implement and enforce a security plan for the protection of personal information. This plan shall include the following:

(1) A statement of the security precautions for each personal information system determined appropriate from the analysis conducted in accordance with paragraph (A) of this rule. When electronic data processing equipment is used, the requirements of rule 123:3-1-01 of the Administrative Code shall be included in the statement of security precautions.

(2) A method to inform agency employees of appropriate and inappropriate uses, disclosure and access to the personal information, as well as penalties and sanctions, civil or criminal, for the unlawful use or disclosure of personal information and the failure to take reasonable precautions to protect the security of personal information.

(3) A method for reporting violations of the security plan to responsible officials or employees of the agency.

(4) A method for monitoring the effectiveness of the security plan.

A copy of the security plan shall be kept in the office of the personal systems security coordinator.

(C) The department may require a background investigation of any individual who has access to confidential personal information or to computer equipment used to process such information.

(D) The requirements of Chapter 1347. of the Revised Code shall apply to personal information stored, processed or disseminated under contract with the department by any contractor. Any such contract shall contain covenants that the contract will:

(1) Use the information only as specified in the contract,

(2) Not disclose information except with the express permission of the agency, and

(3) Protect the security of the information.

This paragraph shall apply only to contracts entered into after the effective date of Chapter 3301-2 of the Administrative Code.

R.C. 119.032 review dates: 06/13/2011 and 06/13/2016
Promulgated Under: 119.03
Statutory Authority: 3301.07 , 1347.05
Rule Amplifies: 1347.05
Prior Effective Dates: 3/1/83, 1/18/2008

3301-2-12 Privacy instruction for department employees.

(A) Written policies and procedures which inform employees of the applicable provisions of Chapter 1347. of the Revised Code and of all rules adopted in accordance with said chapter shall be adopted.

(B) The security coordinator shall inform each employee of the department who has responsibility for the operation or maintenance of the personal information system of the policies and procedures adopted in paragraph (A) of this rule and of the specific application of these policies and procedures to the personal information system.

R.C. 119.032 review dates: 06/13/2011 and 06/13/2016
Promulgated Under: 119.03
Statutory Authority: 3301.07 , 1347.05
Rule Amplifies: 1347.05
Prior Effective Dates: 3/1/83

3301-2-13 Contact if unauthorized access of personal information occurs.

As used in this rule:

(A) "Breach of the security of the system" means unauthorized access to and acquisition of computerized data that compromises the security or confidentiality of personal information owned or licensed by a state agency or an agency of a political subdivision and that causes, reasonably is believed to have caused, or reasonably is believed will cause a material risk of identity theft or other fraud to the person or property of a resident of this state.

For purposes of this rule, "good faith acquisition of personal information by an employee or agent of the state agency or agency of the political subdivision for the purposes of the agency" is not a breach of the security of the system, provided that the personal information is not used for an unlawful purpose or subject to further unauthorized disclosure. Acquisition of personal information pursuant to a search warrant, subpoena, or other court order, or pursuant to a subpoena, order, or duty of a regulatory state agency, is not a breach of the security of the system.

(B) "Consumer reporting agency that compiles and maintains files on consumers on a nationwide basis" means a consumer reporting agency that regularly engages in the practice of assembling or evaluating, and maintaining, for the purpose of furnishing consumer reports to third parties bearing on a consumer's creditworthiness, credit standing, or credit capacity, each of the following regarding consumers residing nationwide:

(1) Public record information; and

(2) Credit account information from persons who furnish that information regularly and in the ordinary course of business.

(C) "Encryption" means the use of an algorithmic process to transform data into a form in which there is a low probability of assigning meaning without use of a confidential process or key.

(D) "Individual" means a natural person.

(E) "Personal information" means, notwithstanding rule 3301-2-01 of the Administrative Code, an individual's name, consisting of the individual's first name or first initial and last name, in combination with and linked to any one or more of the following data elements, when the data elements are not encrypted, redacted, or altered by any method or technology in such a manner that the data elements are unreadable:

(1) Social security number;

(2) Driver's license number or state identification card number;

(3) Account number or credit or debit card number, in combination with and linked to any required security code, access code, or password that would permit access to an individual's financial account.

(F) "Personal information" does not include publicly available information that is lawfully made available to the general public from federal, state, or local government records or any of the following media that are widely distributed:

(1) Any news, editorial, or advertising statement published in any bona fide newspaper, journal, or magazine, or broadcast over radio or television;

(2) Any gathering or furnishing of information or news by any bona fide reporter, correspondent, or news bureau to news media described in paragraph (F)(1) of this rule;

(3) Any publication designed for and distributed to members of any bona fide association or charitable or fraternal nonprofit corporation; and

(4) Any type of media similar in nature to any item, entity, or activity identified in paragraph (F) of this rule.

(G) "Record" means any information that is stored in an electronic medium and is retrievable in perceivable form, but does not include any publicly available directory containing information an individual voluntarily has consented to have publicly disseminated or listed, such as name, address, or telephone number.

(H) "Redacted" means altered or truncated so that no more than the last four digits of a social security number, driver's license number, state identification card number, account number, or credit or debit card number is accessible as part of the data.

(I) "System" means, notwithstanding rule 3301-2-01 of the Administrative Code, any collection or group of related records that are kept in an organized manner, that are maintained by a state agency or an agency of a political subdivision, and from which personal information is retrieved by the name of the individual or by some identifying number, symbol, or other identifier assigned to the individual, but does not include any collected archival records in the custody of or administered under the authority of the Ohio historical society, any published directory, any reference material or newsletter, or any routine information that is maintained for the purpose of internal office administration of the agency, if the use of the directory, material, newsletter, or information would not adversely affect an individual and if there has been no unauthorized external breach of the directory, material, newsletter, or information.

(J) The department shall disclose any breach of the security of the system, following its discovery or notification of the breach of the security of the system, to any resident of this state whose personal information was, or reasonably is believed to have been, accessed and acquired by an unauthorized person if the access and acquisition by the unauthorized person causes or reasonably is believed will cause a material risk of identity theft or other fraud to the resident. The disclosure described in this paragraph may be made pursuant to any provision of a contract entered into by the department with any person or another state agency or agency of a political subdivision prior to the date the breach of the security of the system occurred if that contract does not conflict with any provision of this rule. For purposes of this rule, a "resident of this state" is an individual whose principal mailing address as reflected in the records of the state agency or agency of a political subdivision is in this state. The department shall make the disclosure described in this paragraph in the most expedient time possible but not later than forty-five days following its discovery or notification of the breach in the security of the system, subject to the legitimate needs of law enforcement activities described in paragraph (L) of this rule and consistent with any measures necessary to determine the scope of the breach, including which residents' personal information was accessed and acquired, and to restore the reasonable integrity of the data system.

(K) Any time the department, on behalf of or at the direction of another state agency or agency of a political subdivision, is the custodian of or stores computerized data that includes personal information shall notify that other state agency or agency of a political subdivision of any breach of the security of the system in an expeditious manner, if the personal information was, or reasonably is believed to have been, accessed and acquired by an unauthorized person and if the access and acquisition by the unauthorized person causes or reasonably is believed will cause a material risk of identity theft or other fraud to a resident of this state.

(L) The department may delay the disclosure or notification required by paragraph (J), (K), or (N) of this rule if a law enforcement agency determines that the disclosure or notification will impede a criminal investigation or jeopardize homeland or national security, in which case, the state agency or agency of a political subdivision shall make the disclosure or notification after the law enforcement agency determines that disclosure or notification will not compromise the investigation or jeopardize homeland or national security.

(M) For purposes of this rule, the department may disclose or make a notification by any of the following methods:

(1) Written notice;

(2) Electronic notice, if the department's primary method of communication with the resident to whom the disclosure must be made is by electronic means;

(3) Telephone notice;

(4) Substitute notice in accordance with this division, if the department demonstrates that it does not have sufficient contact information to provide notice in a manner described in paragraph (M)(1), (2), or (3) of this rule, or that the cost of providing disclosure or notice to residents to whom disclosure or notification is required would exceed two hundred fifty thousand dollars, or that the affected class of subject residents to whom disclosure or notification is required exceeds five hundred thousand persons. Substitute notice under this paragraph shall consist of all of the following:

(a) Electronic mail notice if the department has an electronic mail address for the resident to whom the disclosure must be made;

(b) Conspicuous posting of the disclosure or notice on the department's web site;

(c) Notification to major media outlets, to the extent that the cumulative total of the readership, viewing audience, or listening audience of all of the outlets so notified equals or exceeds seventy-five per cent of the population of this state.

(N) If the department discovers circumstances that require disclosure pursuant to this rule to more than one thousand residents of this state involved in a single occurrence of a breach of the security of the system, the department shall notify, without unreasonable delay, all consumer reporting agencies that compile and maintain files on consumers on a nationwide basis of the timing, distribution, and content of the disclosure given by the department to the residents of this state. In no case shall the department, when required to make a notification required by this paragraph, delay any disclosure or notification required by paragraph (J) or (K) of this rule in order to make the notification required by this paragraph.

R.C. 119.032 review dates: 06/13/2011 and 06/13/2016
Promulgated Under: 119.03
Statutory Authority: 3301.07 , 1347.05
Rule Amplifies: 1347.05
Prior Effective Dates: 1/18/2008

3301-2-14 Confidential personal information definitions.

For the purposes of rules 3301-2-15 to 3301-2-18 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 department's 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 department 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 department confidential.

(E) "Department" means the Ohio department of education.

(F) "Employee" means each employee of the Ohio department of education regardless of whether he/she holds an elected or appointed office or position within the department.

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

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

(I) "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.

(J) "Person" means a natural person.

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

(L) "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.

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

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

(O) "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 department for internal administrative and human resource purposes.

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

(Q) "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: 09/25/2010
R.C. 119.032 review dates: 09/25/2015
Promulgated Under: 119.03
Statutory Authority: 3301.07 , 1347.15
Rule Amplifies: 1347.15

3301-2-15 Procedures for accessing confidential personal information.

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

(A) Criteria for accessing confidential personal information. Personal information systems of the department are managed on a "need-to-know" basis whereby the information owner determines the level of access required for an employee of the department 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 department 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 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 department, the department 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 department 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 department shall notify the person whose information was invalidly accessed as soon as practical and to the extent known at the time. However, the department 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 department may delay the notification consistent with any measures necessary to determine the scope of the invalid access, including which individual's 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 department determines that notification would not delay or impede an investigation, the department shall disclose the access to confidential personal information made for an invalid reason to the person.

(2) Notification provided by the department shall inform the person of the type of confidential personal information accessed and the date(s) of the invalid access; and

(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 superintendent of public instruction shall designate an employee of the department 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 department with both the implementation of privacy protections for the confidential personal information that the department maintains and compliance with section 1347.15 of the Revised Code and the rules adopted pursuant to the authority provided by that chapter; and

(E) Completion of a privacy impact assessment. The superintendent of public instruction 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: 09/25/2010
R.C. 119.032 review dates: 09/25/2015
Promulgated Under: 119.03
Statutory Authority: 3301.07 , 1347.15
Rule Amplifies: 1347.15

3301-2-16 Valid reasons for accessing confidential person information.

(A) Performing the following functions constitute valid reasons for authorized employees of the Ohio department of education to access confidential personal information:

(1) Responding to a public records request;

(2) Responding to a request from an individual for the list of confidential personal information the department 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 a departmental 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 Ohio department of education, authorized employees would also have valid reasons for accessing confidential personal information in these following circumstances:

(1) Employees in the project management office may review CPI of students, educators, parents, related service providers and vendors in order to manage data; process data requests; perform data matches; troubleshoot data and system related issues; process and review procurement requests; and prepare reports.

(2) Employees in the information technology office may review CPI of students, educators, parents, related service providers, and vendors in order to manage data; process data requests; perform data matches; troubleshoot data and system related issues; and prepare reports.

(3) Employees in the office of professional conduct may review CPI of individuals who are subject to investigation for alleged misconduct that may result in educator licensure discipline and may review CPI of individuals who are not the subject of an investigation, but who otherwise may be witnesses with information related to an investigation.

(4) Employees in the office of professional conduct and members of the state board of education may review CPI in professional conduct matters that become the subject of administrative hearings.

(5) Employees in the office of certification and licensure may review CPI of persons who hold or are applying for an educator license issued by the department for the purpose of carrying out the educator licensing program.

(6) Employees in the office of pupil transportation may review CPI of individuals who are working as or applying to be school bus or school van drivers for school districts and other entities who transport children to education programs to determine their eligibility to be a driver and to assist districts in submitting transportation report requirements.

(7) Employees in the office of federal programs may review CPI of students in the course of monitoring school districts for compliance with federal programs; may review CPI of supplemental education services (SES) providers for verification purposes for any organization applying to become a provider for local education agencies offering SES services.

(8) Employees in the office of assessment may review CPI of students attending public school districts, community schools, or other education agencies subject to rescores, verifications, alert papers, and test security investigations; may review CPI of individuals who are subject to investigation for alleged test security violations that may result in educator licensure discipline; may review CPI of individuals who are not the subject of the investigation for alleged test security violations, but who otherwise may be witnesses with information related to the investigation for the purpose of carrying out the statewide assessment program; may review CPI of students for quality assurance before, during, and after test administration; may review CPI data in files/reports created in response to data requests.

(9) Employees in the office of GED may review CPI of individuals who have tested and hold a GED, failed the GED test, or have applied to take the GED test in order to carry out the functions of that office.

(10) Employees in the office of safety, health and nutrition may review CPI of students, providers, sponsors, and vendors for the purpose of administering the child nutrition programs (national school lunch and breakfast, child and adult care, and summer food service); the government donated food program; the twenty-first century community learning center grant; the team nutrition training grant; and the center for disease control wellness grant.

(11) Administration and center operations staff in the center for students, families, and communities may review CPI of students and vendors to support preliminary research inquiries and development of budget recommendations and to administer the family and civic engagement grants.

(12) Employees in the office of curriculum and instruction may review CPI of students for the purposes of reviewing/processing applications for grants, contests, awards and/or recognitions; rescoring of test responses; data analyses in response to data requests or to administer or determine funding; to monitor the reading first, limited English proficient and immigrant education/support programs; and may review CPI of teachers or other employees for the purposes of reviewing/processing applications for grants, programs, awards and/or recognitions, or for contracts, memoranda of agreement/understanding, pilot program participation, invoices, list-serves, survey responses, or for data analyses in response to data requests.

(13) Employees in the office of career-technical education may review CPI of individuals who are enrolled in adult workforce education on behalf of the adult workforce education (AWE) program at the board of regents; may review CPI of individuals who are enrolled in adult basic literacy education on behalf of the adult basic literacy education (ABLE) program at the board of regents; and may review CPI of individuals enrolled in, teaching, or otherwise involved with career-technical education for the purposes of administration of career-technical education programming, analysis, troubleshooting, providing technical support, communications, organization of student organizations, conferences and events, financial obligations, grant administration, surveys and other data collection efforts, data requests, reports, and validation.

(14) Employees in the office of community schools may review CPI of students and staff for the purposes of administering and overseeing the community school program.

(15) Employees in the center for policy and accountability may review CPI of students for the administration of the local report card process; may review CPI of students to assist in verifying the accuracy of student data submitted through EMIS; may review CPI of students in preparing state test data files used by vendors for value-added and AYP growth calculations; may review CPI of students for analysis of college entrance exam data; and may share CPI of students with individuals/organizations external to the department, if said individuals/organizations have agreed upon and signed a memorandum of understanding (MOU) with the department's office of legal counsel. Those individuals/organizations who have an MOU on file with the office of legal counsel may then review CPI of students to conduct research on student achievement that would otherwise be conducted by the office of policy and accountability itself.

(16) Employees in the governor's office for closing the achievement gap (CTAG) may review CPI of students to identify at-risk students eligible for participation in the CTAG program; and may review CPI of students participating in CTAG programs to monitor student progress and evaluate efficacy of CTAG programs.

(17) Employees in the office of legal counsel may review CPI of students, teachers, and other educational staff at the state and local levels for the verification and processing of information related to the department's legal policies and proceedings.

(18) Employees in the office of the superintendent may review CPI of students, teachers, department staff, and other educational agency employees for the purposes of overseeing the administration of the Ohio department of education and Ohio public instruction.

(19) Employees in the office of internal audits may review CPI of students, teachers, department staff, and other educational agency employees to review, assess, and verify the department's business operations.

(20) Employees in the office of educator quality may review CPI of persons who were part of the entry-year program or national board teachers program or who will be part of the resident educator program in order to administer these programs.

(21) Employees in the center for teaching profession's office of administration may review CPI of persons who were part of the entry-year program, teacher incentive fund program, web based recruiting system, or national board teachers program or who will be part of the resident educator program in order to administer these programs.

(22) Employees in the office of early learning and school readiness may review CPI of students who have completed preschool assessments to verify scores over time and to review student progress in relation to state programs and funding standards; may review CPI of schools and programs related to their licensure and certification to ensure that valid credentials have been obtained and are current; and may review CPI of school and program staff in the process of site reviews related to licensure to validate records and staff certification and training.

(23) Employees in the office of educational reform may review CPI of students for the purpose of program evaluation in compliance with the grant funding requirements of the alternative education challenge grant and the learn and serve Ohio grant.

(24) Employees in the center for reform and strategic initiatives may review CPI of students and educational staff for the administration of survey research and analysis.

(25) Employees in the center for school options and finance may review CPI of students who apply for or participate in the Cleveland scholarship and tutoring program, the educational choice scholarship program, the post secondary enrollment options program, the open enrollment program, and tuition programs for the purposes of carrying out those programs; may review CPI of students for the purposes of administering the auxiliary services program, the catastrophic aid program, the excess costs program, and the administrative cost reimbursement program; may review CPI of students and educators for the purposes of creating, monitoring, and verifying the fiscal status reports, Ohio education computer network (OECN) subsidy calculations, Ohio high school athletic association (OHSAA) enrollment calculations, the education monetary assistance distribution (EMAD) system, the school options enrollment system (SOES) system, simulation data for state and agency budget processes, school ADM, staffing analysis reports, fiscal distress commissions, and public, nonpublic, higher education, educational service center (ESC), and other payment processes and calculations or any payment dependent on student or educator data; and may review CPI of educators for the purposes of creating, monitoring, and verifying fiscal status reports, simulation data for state and agency budget processes, school ADM, staffing analysis reports, fiscal distress commissions, and public, nonpublic, higher education, ESC, and other payment processes and calculations or any payment dependent on student or educator data.

(26) Employees in the office for exceptional children may access CPI of students, vendors, educators, service providers and education staff to determine compliance with federal and state law, regulations and policy related to identification and education of students with disabilities, and identification and education of students identified as gifted; may review CPI of students, educators, and service providers as part of required monitoring of all entities that receive federal and local funding for special education programs; may review CPI of students attending schools districts, community schools, or other education agencies that are subject to department monitoring for compliance with Chapter 3323. of the Revised Code and the individuals with disabilities education improvement act (IDEA); may review CPI of students, educators, and service providers as needed to determine appropriate distribution and use of funding as required by Chapter 3323. of the Revised Code and the individuals with disabilities education improvement act; may review CPI of students, educators, and service providers as needed to administer the autism scholarship program; may access CPI of vendors to provide or approve payments for services; may review CPI of students subject to due process complaints or the complaint process; may review CPI of individual applicants for the Robert C. Byrd honors scholarship; and may review CPI of individual applicants for the U.S. senate youth program scholarship.

Offices not included in paragraph (B) of this rule that need to review CPI for valid reasons as described in this rule shall make a request in writing to the data privacy point of contact describing the type of CPI that needs to be accessed and the justification for such access. Access to CPI shall be approved by the data privacy point of contact pursuant to section 1347.15 of the Revised Code and administrative rules adopted pursuant to that section.

Effective: 09/25/2010
R.C. 119.032 review dates: 09/25/2015
Promulgated Under: 119.03
Statutory Authority: 3301.07 , 1347.15
Rule Amplifies: 1347.15

3301-2-17 Confidentiality statutes, rules, and regulations.

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

(A) Social security numbers: 5 U.S.C. 552a .

(B) Student education records: "Family Educational Rights and Privacy Act" of 1974, 20 U.S.C. 1232g .

(C) Information obtained by the office of professional conduct during an investigation or via the disciplinary process: section 3319.311 of the Revised Code; rule 3301-73-04 of the Administrative Code.

(D) Questions and responses regarding a record of a criminal offense committed or alleged to have been committed by an applicant, for issuance or renewal of any license that has been sealed or expunged: section 3319.292 of the Revised Code.

(E) Bureau of criminal investigation and information criminal records check results:section 109.57 of the Revised Code.

(F) Student information: section 3301.0714 of the Revised Code; section 3319.321 of the Revised Code.

(G) Student test scores and information: division (I) of section 3301.0711 of the Revised Code.

(H) Student data verification code in combination with student name or other personally identifiable information: division (D) of section 3310.11 of the Revised Code; division (D) of section 3310.42 of the Revised Code; division (F) of section 3313.978 of the Revised Code; and division (G) of section 3317.20 of the Revised Code.

(I) Personal information kept by the department that is not a public record: section 149.43 of the Revised Code.

Effective: 09/25/2010
R.C. 119.032 review dates: 09/25/2015
Promulgated Under: 119.03
Statutory Authority: 3301.07 , 1347.15
Rule Amplifies: 1347.15

3301-2-18 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 department 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 department acquires a new computer system that stores, manages, or contains confidential personal information, the department shall include a mechanism for recording specific access by employees of the department to confidential personal information in the system;

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

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

(1) The department shall require employees of the department 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 department is accessing confidential personal information for official departmental 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 department 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 department 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 department 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 department may choose the form or forms of logging, whether in electronic or paper formats.

(E) Log management. The department shall issue a policy that specifies the following:

(1) Who at the department 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 department from requiring logging in any circumstance that it deems necessary.

Effective: 09/25/2010
R.C. 119.032 review dates: 09/25/2015
Promulgated Under: 119.03
Statutory Authority: 3301.07 , 1347.15
Rule Amplifies: 1347.15