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Ohio Laws and Rules
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.”
Effective: 01/18/2008
R.C. 119.032 review dates: 10/31/2007 and 04/17/2012
Promulgated Under: 119.03
Statutory Authority: 3301.07, 1347.05
Rule Amplifies: 1347.05
Prior Effective Dates: 3/1/1983, 4/1/88
(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.
Effective: 01/18/2008
R.C. 119.032 review dates: 10/31/2007 and 04/17/2012
Promulgated Under: 119.03
Statutory Authority: 3301.07, 1347.05
Rule Amplifies: 1347.05
Prior Effective Dates: 3/1/1983
(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.
Effective: 01/18/2008
R.C. 119.032 review dates: 10/31/2007 and 04/17/2012
Promulgated Under: 119.03
Statutory Authority: 3301.07, 1347.05
Rule Amplifies: 1347.05
Prior Effective Dates: 3/1/1983
Rescinded eff 1-20-07
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.
Effective: 01/18/2008
R.C. 119.032 review dates: 10/31/2007 and 04/17/2012
Promulgated Under: 119.03
Statutory Authority: 3301.07, 1347.05
Rule Amplifies: 1347.05
Prior Effective Dates: 3/1/1983, 4/1/88
(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: 04/17/2007 and 04/17/2012
Promulgated Under: 119.03
Statutory Authority: 3301.07, 1347.05
Rule Amplifies: Chapter 1347
Prior Effective Dates: 3/1/83
(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: 04/17/2007 and 04/17/2012
Promulgated Under: 119.03
Statutory Authority: 3301.07, 1347.05
Rule Amplifies: Chapter 1347
Prior Effective Dates: 3/1/83
(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: 04/17/2007 and 04/17/2012
Promulgated Under: 119.03
Statutory Authority: 3301.07, 1347.05
Rule Amplifies: Chapter 1347
Prior Effective Dates: 3/1/83
(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.
Effective: 01/18/2008
R.C. 119.032 review dates: 10/31/2007 and 04/17/2012
Promulgated Under: 119.03
Statutory Authority: 3301.07, 1347.05
Rule Amplifies: 1347.05
Prior Effective Dates: 3/1/1983
(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: 06/29/2006 and 06/29/2011
Promulgated Under: 119.03
Statutory Authority: 1347.05, 3301.07
Rule Amplifies: 1347.05
Prior Effective Dates: 3/1/83
(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.
Effective: 01/18/2008
R.C. 119.032 review dates: 10/31/2007 and 04/17/2012
Promulgated Under: 119.03
Statutory Authority: 3301.07, 1347.05
Rule Amplifies: 1347.05
Prior Effective Dates: 3/1/1983
(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: 04/17/2007 and 04/17/2012
Promulgated Under: 119.03
Statutory Authority: 3301.07, 1347.05
Rule Amplifies: Chapter 1347
Prior Effective Dates: 3/1/83
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.
Effective: 01/18/2008
R.C. 119.032 review dates: 04/17/2012
Promulgated Under: 119.03
Statutory Authority: 3301.07, 1347.05
Rule Amplifies: 1347.05