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