Chapter 3304-1 General Rules

3304-1-01 Purpose of the opportunities for Ohioans with disabilities agency.

The opportunities for Ohioans with disabilities agency ("OOD") is the sole state agency designated to administer the plan under the Rehabilitation Act of 1973, 87 Stat. 355, 29 U.S.C. 701 . Any reference in divisionss 3304 and 3304:1of the Administrative Code to the Ohio rehabilitation services commission (RSC) shall now be a reference to opportunities for Ohioans with disabilities agency (OOD). OOD is composed, in part, of two bureaus and one division:

(A) The bureau of vocational rehabilitation ("BVR") provides vocational rehabilitation services to persons with disabilities other than visual.

(B) The bureau of services for the visually impaired ("BSVI") provides vocational rehabilitation services to persons who are legally blind, and to persons who are visually impaired.

(C) The division of disability determination ("DDD") makes determinations on all claims for social security disability insurance benefits and supplemental security income payments.

Effective: 12/12/2013
R.C. 119.032 review dates: 09/23/2013 and 12/12/2018
Promulgated Under: 119.03
Statutory Authority: 3304.15 , 3304.16
Rule Amplifies: 3304.15 , 3304.16
Prior Effective Dates: 10/29/1981, 10/03/1983, 01/07/2003, 07/25/2013

3304-1-02 RSC administrative rules.

(A) Each RSC administrative rule, and every part of each such rule, constitutes an independent rule, or part of a rule, and the holding of any such rule, or part of a rule, to be unconstitutional, void, or ineffective for any cause does not affect the validity or constitutionality of any other rule or part of a rule.

(B) Any reference in agency 3304 of the Administrative Code to "executive director" shall be interpreted as reference to "administrator."

(C) The commission authorizes the RSC administrator or designee to recommend the approval for the filing of each rule adopted, amended, or rescinded.

(D) All federal statutes and all rules, regulations, and other guidelines promulgated or adopted by the social security administration relative to the social security disability insurance program or supplemental security income program are available from the office of the BDD director.

Effective: 10/11/2010
R.C. 119.032 review dates: 07/27/2010 and 10/01/2015
Promulgated Under: 119.03
Statutory Authority: 3304.16(A)
Rule Amplifies: 3304.15 , 3304.16(A) , 3304.16(J)
Prior Effective Dates: 3/6/1978, 2/17/1983, 1/7/2003, 4/11/2008

3304-1-03 Open meetings.

(A) Any person may learn the time and place of all regularly scheduled commission meetings and the time, place, and purpose of all special meetings by:

(1) Writing to the office of the RSC executive director.

(2) Calling RSC's general information telephone number during normal business hours.

(3) Checking the RSC website: http://rsc.ohio.gov/ and scrolling down the screen to view the commission meeting schedule.

(B) Any news organization may obtain notice of all special commission meetings by requesting in writing that such notices be provided. Such notice will only be given, however, to one representative of any particular publication or radio or television station. A request for such notification shall be addressed to the office of the RSC executive director.

(1) The request shall provide the name of the individual media representative to be contacted, the U.S. postal mailing address, an electronic mailing address and a maximum of two telephone numbers. RSC shall maintain a list of all representatives of the news media who have requested notice of special meetings pursuant to this rule.

(2) When there is a special meeting that is not an emergency, RSC shall notify all media representatives on the list by telephone or electronic mail no later than twenty-four hours prior to the special meeting. Telephone notice shall be complete if a message has been left for the representative, or if, after reasonable effort, RSC has been unable to provide such telephone notice. Electronic notice shall be complete once sent without receiving a notice that the message was undeliverable.

(3) When there is a special emergency meeting, RSC shall notify all media representatives on the list of such meeting by providing the notice described in paragraph (B)(2) of this rule. In such event, however, the notice need not be given twenty-four hours prior to the meeting, but shall be given as soon as possible.

(4) In giving the notices required by paragraphs (B) to (B)(3) of this rule, RSC may rely on assistance provided by any member of the commission and any such notice is complete if given by such member in the manner provided in paragraphs (B) to (B)(3) of this rule.

(C) RSC shall maintain a list of all persons who have requested, in writing, notice of all commission meetings at which specific subject matters designated by such persons are scheduled to be discussed. No later than ten days prior to each meeting, RSC shall send by first-class postal mail or by electronic mail a meeting agenda to such persons.

Effective: 07/11/2013
R.C. 119.032 review dates: 04/08/2013 and 07/11/2018
Promulgated Under: 119.03
Statutory Authority: 3304.15 , 3304.16(A)
Rule Amplifies: 121.22(F)
Prior Effective Dates: 11/28/1975, 12/21/1976, 10/3/1983, 11/10/1997, 1/7/2003, 4/11/2008

3304-1-04 Duties of the RSC executive director.

The commission authorizes the RSC executive director to perform the following duties:

(A) Appoint without engaging in any unlawful discriminatory practices based upon age

(forty years or older), color, disability, national origin, race, religion, sex (including sexual harassment), or veteran status, such other professional, administrative, and clerical staff members as are necessary to carry out the functions of the commission, and the commission hereby gives its approval for all such appointments.

(B) Remove or take any other disciplinary action without engaging in any unlawful discriminatory practices based upon age (forty years or older), color, disability, national origin, race, religion, sex (including sexual harassment), or veteran status that the executive director deems necessary with any RSC employee, except for the assistant executive director or any bureau director, and hereby gives its approval for all such actions.

(C) Sign or authorize designees to sign all grants and contract service agreements awarded by RSC to individuals, and to public and other non-profit agencies and organizations.

(D) Insure that every contract service agreement and grant that is awarded by RSC shall be audited on the basis of the terms and conditions of the contract service plan or grant, and that an audit exception shall be taken or awarded based upon the audit results.

R.C. 119.032 review dates: 04/03/2013 and 04/03/2018
Promulgated Under: 119.03
Statutory Authority: 3304.15 , 3304.16(A)
Rule Amplifies: 3304.14 , 3304.15 , 3304.16(J) , 4112.01(A)(2) , 4112.02(A)
Prior Effective Dates: 3/6/1978, 2/17/1983, 11/10/1997, 1/7/2003, 9/22/2008

3304-1-08 Method of notice for public hearings.

(A) RSC shall conduct a public hearing for all administrative rules filed in compliance with Chapter 119. of the Revised Code.

(B) At least thirty days before the public hearing, RSC shall prepare a notice of public hearing, which includes all of the following:

(1) A statement that it is RSC's intention to propose, amend, or rescind rules.

(2) The date, time, and place of the hearing.

(3) A general statement of the subject matter to which the proposed rule(s), amendment(s), or rescission(s) relate.

(4) The reason for proposing, amending, or rescinding the rule(s).

(5) A statement that the rule(s) shall be available for review, free of charge, at the office of the RSC executive director.

(6) A statement that the notice of the public hearing and/or the full text(s) of the rule(s) is available from the office of the RSC executive director to any person who requests it and pays a fee not to exceed the cost of copying and mailing.

(7) A statement that the public hearing shall be conducted in accordance with Chapter 119. of the Revised Code.

(C) At least thirty days before all public hearings, except for those relating to Chapter 3304:1-21 of the Administrative Code, RSC shall mail, by first-class postal mail or electronic mail, the notice of public hearing to:

(1) The RSC consumer advisory council liaisons; and

(2) The executive secretary of the Ohio governor's council on people with disabilities.

(D) At least thirty days before all public hearings for an administrative rule, which relates to the group's area of interest, RSC shall mail, by first-class postal mail or electronic mail, the notice of public hearing to:

(1) The president and executive director of the Ohio association of rehabilitation facilities;

(2) The board of the Ohio vendors representative committee; and

(3) The president of Ohio goodwill association.

(E) The members of the committees and councils listed in paragraphs (C) and (D) of this rule shall be requested to inform RSC of the mail method (postal or electronic) by which they prefer to receive the notice of public hearing.

(F) The members of the committees and councils listed in paragraphs (C) and (D) of this rule shall be requested to notify the groups they represent about the public hearing.

(G) The notice of public hearing shall be posted on the RSC website at http://rsc.ohio.gov/.

(H) At least thirty days before the public hearing, RSC shall submit the notice of public hearing to the legislative service commission for publication in the register of Ohio.

Effective: 07/11/2013
R.C. 119.032 review dates: 04/08/2013 and 07/11/2018
Promulgated Under: 119.03
Statutory Authority: 3304.15 , 3304.16(A)
Rule Amplifies: 119.03(A)(4)
Prior Effective Dates: 10/29/1981, 11/10/1997, 1/7/2003, 12/10/2007, 4/11/2008

3304-1-09 Compensation for commissioners.

Commissioners will be paid a salary as defined in division (J) of section 124.15 of the Revised Code.

Effective: 02/11/2010
Promulgated Under: 111.15
Statutory Authority: 3304.16(A)
Rule Amplifies: 3304.12(c)
Prior Effective Dates: 1/20/81, 10/7/02

3304-1-10 Audits.

(A) RSC shall audit organizations or individuals receiving its funds as it deems necessary to assure proper control of those funds.

(1) After the RSC executive director's determination of audit findings, RSC shall release the following to the audited party:

(a) The audit report,; and

(b) The appeal procedures,; and if applicable,

(c) A request for a billing if RSC owes money to the audited party, or a bill if the audited party owes money to RSC.

(2) If the audited party does not file an objection or a request for clarification by the deadline listed in paragraph (B)(1) of this rule, if it owes RSC money, and if the amount owed is not submitted within forty-five days of receipt of RSC's billing, the account shall be submitted to the attorney general for collection.

(3) The audit shall be closed when one of the following occurs:

(a) Neither the audited party nor RSC owes money to the other and the deadline for submitting an objection or request for clarification (listed in paragraph (B)(1) of this rule) has passed; or

(b) RSC approves the audited party's billing for payment; or

(c) The audited party submits its payment to RSC; or

(d) An audit is turned over to the attorney general's office for non-payment.

(4) After the audit is closed, the audit report shall be released to the auditor of state, and to the RSC division of finance. Other parties may receive copies upon request and upon payment of duplication and mailing costs.

(B) If the audited party objects to the audit report in paragraph (A)(1)(a) of this rule or requires an explanation of it, the objection to the report or request for an explanation shall be made in this manner:

(1) The written objection or request for clarification shall be sent to the RSC executive director by certified mail (return receipt requested) within ten calendar days of receipt of the RSC audit report.

(2) The audited party shall then have thirty days after sending the letter of objection to RSC, or thirty days after receipt of RSC's clarification, to submit written substantiation that the findings are not correct; this written substantiation shall be submitted to RSC.

(3) After determination by the RSC executive director, RSC shall notify the audited party, by mail, about the determination; and, when applicable, shall also mail a request for a billing if RSC owes money to the audited party or a bill if the audited party owes money to RSC.

(4) The audit shall be closed as described in paragraphs (A)(3) to (A)(3)(b) of this rule, and then the audit report shall be released as described in paragraph (A)(4) of this rule.

(5) If the amount owed to RSC is not paid within forty-five days of receipt of RSC's billing, the account shall be submitted to the attorney general for collection.

R.C. 119.032 review dates: 04/03/2013 and 04/03/2018
Promulgated Under: 119.03
Statutory Authority: 3304.15 , 3304.16(A)
Rule Amplifies: 3304.15 , 3304.16(K)(3)(5)
Prior Effective Dates: 3/6/1978, 10/29/1981, 11/10/1997, 1/7/2003, 4/11/2008

3304-1-11 Accessibility to meetings, conferences, and seminars; and RSC offices.

(A) All meetings, conferences, and seminars sponsored by RSC shall be held in buildings that are in compliance with accessibility standards established by the Americans with Disabilities Act of 1990 andOhio law, rules and code.

(B) All announcements for meetings, conferences, and seminars shall include a notice indicating that services shall be made available to sensory-impaired persons attending the meeting, if requested within specified timeframes in the notice.

Effective: 02/11/2010
Promulgated Under: 111.15
Statutory Authority: 3304.16(A)
Rule Amplifies: 3304.15 , 3304.16(E) and (K)(5)
Prior Effective Dates: 8/24/81, 9/9/02

3304-1-12 Community rehabilitation program standards.

Community rehabilitation programs include those service providers that are preliminarily accredited, accredited or certified in accordance with paragraphs (A) and (B) of this rule.

(A) A community rehabilitation program before admitting and/or serving the first OOD consumer in any of its VR programs shall be preliminarily accredited, accredited or certified by the commission on accreditation of rehabilitation facilities (CARF), as appropriate, in one or more of the following categories of VR service that it provides to consumers: vocational evaluation, work adjustment, personal adjustment, job placement, job coaching, and community-based assessment service programs; or, for orientation and mobility and rehabilitation teaching services only, by the academy for certification of vision rehabilitation and education professionals (ACVREP).

(1) If the community rehabilitation program provides all of its VR services directly to consumers, the community rehabilitation program shall determine in which of the service categories it will secure certification, accreditation, or preliminary accreditation, appropriate.

(2) If the community rehabilitation program subcontracts any of its VR services through other providers, it must obtain certification, accreditation, or preliminary accreditation, as appropriate, in all VR services in which it subcontracts.

(3) The community rehabilitation program must obtain certification or accreditation according to paragraph (A) of this rule and shall renew certification or accreditation according to the established resurvey process.

(4) Community rehabilitation programs with ACVREP certification must provide proof of liability insurance to OOD.

(B) Additional credentialing bodies for VR services include the national accreditation council (NAC) for agencies serving people with blindness or visual impairment, national blindness professional certification board (NBPCB) certification for center-based adjustment to blindness training and the joint commission (TJC) for accreditation in behavioral health care.

(1) If the community rehabilitation program subcontracts any of its VR services through other providers, it must obtain certification, preliminary accreditation, or accreditation in all VR services in which it subcontracts unless the credentialing body identified in paragraph (B) of this rule routinely surveys all services, including subcontracted services, in the course of the certification or accreditation process.

(2) The community rehabilitation program must obtain certification, preliminary accreditation, accreditation or, if already accredited, maintain accreditation according to the resurvey process established by the appropriate credentialing body listed in paragraph (B) of this rule.

(C) The community rehabilitation program shall submit to OOD documentation from the appropriate body verifying preliminary accreditation, accreditation or certification. OOD shall not purchase services from any community rehabilitation program that does not obtain accreditation following preliminary accreditation and/or maintain appropriate accreditation or certification status.

(D) OOD shall conduct a review of each new community rehabilitation program prior to utilizing its services in that area.

(E) Prior to utilization and when requested by OOD, the community rehabilitation program shall submit the following information to OOD:

(1) Accreditation/certification.

(2) Types of services.

(3) Program staffing.

(4) Referral procedures.

(5) Program accessibility.

(6) Business/liability insurance.

(7) Business references.

(8) Other documentation, as deemed necessary by OOD.

(F) The community rehabilitation program shall give OOD a thirty-day notice of any change in program structures.

(G) OOD may waive any paragraph or paragraphs of this rule if necessary to appropriately serve OOD consumers. The area manager or his/her designee shall request with justification a waiver from the executive director of OOD.

(H) The community rehabilitation program shall honor the rights and responsibilities of OOD consumers as defined in OOD's provider manual.

Effective: 04/13/2014
R.C. 119.032 review dates: 01/14/2014 and 04/13/2019
Promulgated Under: 119.03
Statutory Authority: 3304.15(D) , 3304.15(C)(1)
Rule Amplifies: 3304.15(D)
Prior Effective Dates: 7/17/92, 6/10/98, 5/1/03, 10/1/08, 6/5/09, 12/30/12

3304-1-13 Deadline for submitting a bill to RSC for payment.

When RSC purchases a good or service from any vendor or service provider, the vendor or service provider shall submit the bill to RSC within ninety days of RSC's acceptance of the good or service or within ninety days of the date RSC becomes aware of a bill being due. If the vendor or service provider can not submit the bill within ninety days, the vendor or service provider may request an extension indicating the reason for needing an extension and the amount of time needed. The request for an extension must be made in writing to the RSC executive director or his designee at least thirty days before the bill is due. If the bill is not submitted to RSC within ninety days of acceptance of the good or service or if a written extension is not requested, RSC may not pay the bill. When RSC asks a vendor to bill a third party before billing RSC, that vendor shall submit the bill within ninety days of receiving payment from the third party.

Effective: 09/27/2013
R.C. 119.032 review dates: 07/05/2013 and 09/27/2018
Promulgated Under: 119.03
Statutory Authority: 3304.15 , 3304.16(A)
Rule Amplifies: 3304.16(A)
Prior Effective Dates: 2/9/1995, 1/7/2003

3304-1-14 Purchases from minority business enterprises, and from encouraging diversity, growth and equity vendors.

(A) RSC shall purchase goods and services from certified minority business enterprise (MBE)("MBE") providers in accordance with state of Ohio purchasing guidelines.

(B) RSC will purchase goods and services from a certified historically under-utilized business (HUB)encouraging diversity, growth and equity ("EDGE") vendors in accordance with state of Ohio purchasing guidelines.

R.C. 119.032 review dates: 04/03/2013 and 04/03/2018
Promulgated Under: 119.03
Statutory Authority: 3304.16(A)
Rule Amplifies: 3304.15
Prior Effective Dates: 9/1/1999, 1/7/2003, 4/11/2008

3304-1-15 Employee access to confidential information.

The rehabilitation services commission ("RSC") promulgates this rule in accordance with Chapter 1347. of the Revised Code.

(A) For the purposes of this rule, the following definitions apply:

(1) "Access" as a noun means an opportunity to copy, view, or otherwise perceive whereas "access" as a verb means to copy, view, or otherwise perceive.

(2) "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 or one for which the acquisition process has been initiated as of the effective date of this rule.

(3) "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.

(4) "Confidential personal information" (CPI) has the meaning as defined by division (A)(1) of section 1347.15 of the Revised Code and identified by rules promulgated by the agency in accordance with division (B)(3) of section 1347.15 of the Revised Code that reference the federal or state statutes or administrative rules that make personal information maintained by the agency confidential.

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

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

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

(8) "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.

(9) "Person" means natural person.

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

(11) "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.

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

(13) "Routine" means common place, regular, habitual or ordinary.

(14) "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 the agency's employees that is maintained by the agency for administrative and human resources purposes.

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

(16) "Upgrade" means a substantial redesign of an existing 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.

(B) Procedures for accessing confidential personal information. For personal information systems, whether manual or computer systems, that contain, confidential personal information, RSC shall do the following:

(1) Criteria for accessing confidential personal information. Personal information systems of the agency are managed on a "need-to-know" basis whereby the information owner determines the level of access required for an employee of the agency to fulfill his/her job duties. The determination of access to confidential personal information shall be approved by the employee's supervisor and the information owner prior to providing the employee with access to confidential personal information within a personal information system. RSC 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.

(2) Individual's request for a list of confidential personal information. Upon the signed written request of any individual for a list of confidential personal information about the individual maintained by the agency, the agency shall do all of the following:

(a) Verify the identity of the individual by a method that provides safeguards commensurate with the risk associated with the confidential personal information;

(b) 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

(c) If all information relates to an investigation about that individual, inform the individual that the agency has no confidential personal information about the individual that is responsive to the individual's request.

(C) Notice of invalid access.

(1) Upon discovery or notification that confidential personal information of a person has been accessed by an employee for an invalid reason, RSC shall notify the person whose information was invalidly accessed as soon as practical and to the extent known at the time. However, the agency shall delay notification for a period of time necessary to ensure that the notification would not delay or impede an investigation or jeopardize homeland or national security. Additionally, RSC may delay the notification consistent with any measures necessary to determine the scope of the invalid access, including which individuals' confidential personal information invalidly was accessed, and to restore the reasonable integrity of the system.

"Investigation" as used in this paragraph means the investigation of the circumstances and involvement of an employee surrounding the invalid access of the confidential personal information. Once the agency determines that notification would not delay or impede an investigation, the agency shall disclose the access to confidential personal information made for an invalid reason to the person.

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

(3) Notification may be made by any method reasonably designed to accurately inform the person of the invalid access, including written, electronic, or telephone notice.

(D) Appointment of a data privacy point of contact. The agency administrator or designee shall designate an employee of the agency to serve as the data privacy point of contact. The data privacy point of contact shall work with the chief privacy officer within the office of information technology to assist the agency with both the implementation of privacy protections for the confidential personal information that the agency maintains and compliance with section 1347.15 of the Revised Code and the rules adopted pursuant to the authority provided by that chapter.

(E) Completion of a privacy impact assessment. The agency administrator 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.

(F) Pursuant to the requirements of division (B)(2) of section 1347.15 of the Revised Code, this rule contains a list of valid reasons, directly related to RSC's exercise of its powers or duties, for which only employees of the agency may access confidential personal information (CPI) regardless of whether the personal information system is a manual system or computer system:

Performing the following functions constitute valid reasons for authorized employees of the agency to access confidential personal information:

(1) Responding to a public records request;

(2) Responding to a request from an individual for the list of CPI the agency maintains on that individual;

(3) Administering a constitutional provision or duty;

(4) Administering a statutory provision or duty;

(5) Administering an administrative rule provision or duty;

(6) Complying with any state or federal program requirements;

(7) Processing or payment of claims or otherwise administering a program with individual participants or beneficiaries;

(8) Auditing purposes;

(9) Licensure, permit, eligibility, and filing processes;

(10) Investigation or law enforcement purposes;

(11) Administrative hearings;

(12) Litigation, complying with an order of the court, or subpoena;

(13) Human resource matters (e.g., hiring, promotion, demotion, discharge, salary/compensation issues, leave requests/issues, time card approvals/issues);

(14) Complying with an executive order or policy;

(15) Complying with an agency policy or a state administrative policy issued by the department of administrative services (DAS), the office of budget and management (OBM), or other similar state agency; or

(16) Complying with a collective bargaining agreement provision.

(G) Confidentiality. The following federal statues or regulations or state statues and administrative rules make personal information maintained by RSC confidential:

(1) Social security numbers pursuant to 5 U.S.C. 552a , unless the individual was told that the number would be disclosed;

(2) Bureau of criminal investigation and information criminal records check results pursuant to section 4776.04 of the Revised Code;

(3) Personal information identified by the state vocational rehabilitation services program in 34 C.F.R. 361. 34 C.F.R. 38 ;

(4) Any personal information identified in rule 3304-2-63 of the Administrative Code;

(5) Any personal information that is considered confidential under section 149.43 of the Revised Code.

(H) For personal information systems that are computer systems and contain confidential personal information, the agency shall do the following:

(1) Access restrictions. Access to confidential personal information that is kept electronically shall require a password or other authentication measure.

(2) Acquisition of a new computer system. When the agency acquires a new computer system that stores, manages or contains confidential personal information, the agency shall include a mechanism for recording specific access by employees of the agency to confidential personal information in the system.

(3) Upgrading existing computer systems. When the agency modifies an existing computer system that stores, manages or contains confidential personal information, the agency shall make a determination whether the modification constitutes an upgrade. Any upgrades to a computer system shall include a mechanism for recording specific access by employees of the agency to confidential personal information in the system.

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

(1) The agency shall require employees of the agency who access confidential personal information within computer systems to maintain a log that records that access.

(2) Access to personal confidential information is not required to be entered into the log under the following circumstances:

(a) The employee of the agency is accessing confidential personal information for official agency purposes, including research, and the access is not specifically directed toward a specifically named individual or a group of specifically named individuals.

(b) The employee of the agency is accessing confidential personal information for routine office procedures and the access is not specifically directed toward a specifically named individual or a group of specifically named individuals.

(c) The employee of the agency comes into incidental contact with confidential personal information and the access of the information is not specifically directed toward a specifically named individual or a group of specifically named individuals;

(d) The employee of the agency accesses confidential personal information about an individual based upon a request made under either of the following circumstances:

(i) The individual requests confidential personal information about himself/herself.

(ii) The individual makes a request that RSC takes some action on that individual's behalf and accessing the confidential personal information is required in order to consider or process that request.

(3) For purposes of this paragraph, the agency may choose the form or forms of logging, whether in electronic or paper formats.

(J) Log management. The agency shall issue a policy that specifies the following:

(1) Who shall maintain the log;

(2) What information shall be captured in the log;

(3) How the log shall be stored; and

(4) How long information kept in the log is to be retained.

Nothing in this rule limits the agency from requiring logging in any circumstance that it deems necessary.

Effective: 10/11/2010
R.C. 119.032 review dates: 10/01/2015
Promulgated Under: 119.03
Statutory Authority: 3304.16(A) , 3304.21
Rule Amplifies: 1347.15 , 1347.99 , 5703.211