Chapter 3353-1 General Provisions
(A) Chapter 3353-1 of the Administrative Code shall apply to all personal information systems maintained by the agency unless exempted in paragraph (C) or (D) 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.
(1) "Personal information" means any information that describes anything about a person, or 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.
(2) "System" means any collection or group of related records that are kept in an organized manner and that are maintained by the 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.
(B) The agency maintains a personal information system which it deposits or stores in a record center or stores in or has processed by a data center.
(C) The following types of personal information systems are exempted from the provisions of Chapter 1347. of the Revised Code and Chapter 3353-1 of the Administrative Code:
(1) Collected archival records in the custody of or administered under the authority of the Ohio historical society;
(2) Published directories;
(3) Reference materials;
(4) Newsletters; or
(5) Routine information that is maintained for the purpose of internal office administration, the use of which would not adversely affect a person.
(D) Personal information systems that are comprised of investigatory material compiled for law enforcement purposes by the agency are exempted from the provisions of Chapter 1347. of the Revised Code and Chapter 3353-1 of the Administrative Code except for section 1347.03 of the Revised Code and rule 3353-1-03 of the Administrative Code.
(A) The director shall appoint a privacy officer to be responsible for agency compliance with Chapter 1347. of the Revised Code and Chapter 3353-1 of the Administrative Code.
(B) The privacy officer, or his designee, shall oversee the staff instruction required by rule 3353-1-04 of the Administrative Code. He shall also provide interpretation and guidance relative to specific compliance questions.
(C) The privacy officer shall be designated to receive all correspondance or inquiries relative to privacy matters unless otherwise indicated in Chapter 3353-1 of the Administrative Code.
(D) The privacy officer shall be responsible for monitoring policies and procedures established by Chapter 3353-1 of the Administrative Code and modifying such policies and procedures when appropriate.
(A) Notices of personal information systems shall be filed with the Ohio privacy office prior to the first day of December of each year.
(B) If a new personal information system is established or an existing personal information system is enlarged, notice shall be filed with the Ohio privacy office within thirty days.
(1) Supplemental notice shall be filed when an existing, previously reported system is enlarged.
(2) Notice of a new system shall be filed when a new, previously unreported system is established.
(C) A supplemental or amended notice may be filed at any time after the original notice has been filed.
(D) All notices of personal information systems shall be submitted on form ADM-6109, except annual notice submitted pursuant to paragraph (A) of this rule may be validated by submitting form ADM-6110 if no change has occurred since the preceding filing period.
(E) Each notice of personal information system shall be prepared by the supervisor of the functional unit which maintains the record. In instances when duplicate records exist, the functional unit having primary responsibility shall complete the notice, including the identification of the location of duplicate records.
(F) The supervisor of the functional unit which maintains the system shall be designated the responsible individual as required by division (A) of section 1347.05 of the Revised Code.
(G) The responsible individual shall also prepare a listing of any users usually granted access to the system.
(H) The responsible individual shall retain a copy of the notice of personal information system and the listing of users and submit the originals and one copy of the notice to the privacy officer.
(I) The privacy officer shall review all notices for accuracy and determine if duplicate systems have been filed.
(J) The privacy officer shall retain copies of all notices and listings of users and file the original notices with the Ohio privacy office.
(A) Each employee shall be provided a copy of these policies and procedures which inform the employee of the applicable provisions of Chapter 1347. of the Revised Code and of all rules adopted in accordance with the chapter.
(B) The supervisor of the functional unit shall inform each employee of that unit who has responsibility for the operation or maintenance of the personal information system of the policies and procedures adopted and of the specific application of these policies and procedures to the personal information system.
(A) Any employee who intentionally violates any provision of Chapter 1347. of the Revised Code or any rule adopted in accordance with this chapter shall be subject to disciplinary action. Disciplinary action shall be determined in accordance with section 124.34 of the Revised Code.
(B) Any employee who initiates or otherwise contributes to any disciplinary or other punitive action against any individual who brings to the attention of appropriate authorities, the press, or any member of the public evidence of unauthorized use of personal information shall be subject to suspension or possible removal. Disciplinary action shall be determined in accordance with section 124.34 of the Revised Code.
(A) Any person asked to supply personal information for a personal information system shall be advised whether he is legally required or may refuse to supply the information. A statement of 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 under paragraph (A) or (B) of this rule, one time, in writing, rather than prior to each request.
(A) Employees who use a personal information system shall monitor the contents of the records and report to the privacy officer the existence of personal information which appears inaccurate, irrelevant, untimely or incomplete.
(B) The privacy officer 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 privacy officer 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 shall:
(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.
(4) When feasible, collect personal information from the data subject rather than a third party source or verify with the data subject information provided by a third party.
(5) Not include in, or allow to remain in, a personal information system personal information known to be inaccurate, untimely, unnecessary, or irrelevant.
(6) Update personal information systems which provide a historical account or for which an outcome is anticipated.
(7) Make no determination based on personal information in a personal information system if the data is not complete.
(A) The agency 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.
(B) During the preparation of the annual notice of personal information system, or within three months after any change in the purpose of the system, 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.
(C) When an existing personal information system is substantially enlarged or a new personal information system is established, the privacy officer 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 privacy officer shall approve or disapprove the enlargement or establishment of a personal information system.
(D) 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 121.21 , 121.211 , 121.212 , and 149.34 of the Revised Code.
(A) The agency 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 agency 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 agency.
(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 privacy officer.
(A) Upon the request and proper identification of any person who is the subject of personal information in a personal information system, the agency shall:
(1) Inform the person of any personal information in the system of which he is the subject;
(2) Except as provided in paragraph (C) or (D) of this rule, permit the person, his legal guardian, or an attorney with a signed written authorization made by the person to inspect all personal information in the system of which he 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 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 legal guardian, unless a physician, psychiatrist, or psychologist determines for the agency that the disclosure of the information is likely to have an adverse affect 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 legal guardian.
(D) A person who is the subject of personal information in a personal information system, his legal guardian, or an attorney authorized by the person, does not have the right to inspect or have copied, or require the agency 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 agency shall provide, at cost, copies of personal information he is authorized to inspect that is maintained in a personal information system by the agency.
(F) An agreement may be executed between the provider of personal information and the person who is the subject of that information. Such an agreement shall constitute a waiver of the right of the subject person to have access to such information. A written notation of this agreement shall be kept within the record.
(A) If a person who is the subject of personal information in a personal information system maintained by the agency disputes the accuracy, relevance, timeliness or completeness of the personal information, he may request the agency to investigate the current status of the information.
(B) Requests to investigate personal information shall be made to the privacy officer or the individual who is responsible for the system.
(C) Within ninety days after receiving the request from the disputant, the agency 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 agency plans to take with respect to the disputed information. The agency shall delete any information that it cannot verify or that it finds to be inaccurate.
(D) If after the agency's determination, the disputant is not satisfied, the agency shall do either of the following:
(1) Permit the disputant to include within the system a brief statement of his 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 agency may limit the statement to not more than one hundred words if the agency assists the disputant to write a clear summary of the dispute.
(E) The agency 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 agency 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 person'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 agency 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 agency shall specifically disclose to the disputant that he has the right to make such a request.
Electronic data processing equipment used for personal information systems shall be subject to the requirements of rule 3353-1-08 of the Administrative Code and the following standards:
(A) The agency shall permit only authorized personnel to have access to electronic data processing equipment which is used for personal information systems. Authorized personnel includes agency officials and employees who operate, maintain or repair the equipment and anyone else who needs access to the equipment and whose access is authorized by the agency.
(B) Where teleprocessing terminals are used, the agency shall provide and enforce a method for the verification of the identity of all individuals using a terminal.
(C) Any request for proposal for hardware and/or software shall include security specifications. The evaluation of any proposed hardware or software shall include an evaluation of security features. If such features are not adequate to meet the security needs of the system, as determined in the security plan, the proposal shall not be accepted. Security features which should be considered in the evaluation of hardware or software include audit capabilities, the ability to verify the identity of the users through such means as passwords and the ability to restrict access to programs which are stored in contiguous areas. Security features shall be of major importance in the selection of any hardware or software.
(D) Access to both applications and systems programs which are used to maintain personal information systems shall be restricted by keeping such programs in a secure place whether they are in hard copy or computer readable form. This means that listings or programs shall be locked up or kept in areas where access is strictly limited to authorized personnel when they are not in use.
(A) The agency shall take reasonable precautions to protect personal information in the system from unauthorized modification, destruction, use, or disclosure of personal information. 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.
(3) The need for and 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/or the general public.
(B) The agency 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.
(2) A method of informing agency employees concerning 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 privacy officer.
(C) The agency 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 and of Chapter 3353-1 of the Administrative Code shall apply to personal information stored, processed, or disseminated under contract with the agency by any contractor. Any such contract shall contain covenants that the contractor 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 this rule.
For the purposes of the etech Ohio commission administrative rules promulgated in accordance with section 1347.15 of the Revised Code, the following definitions apply:
(A) "Access" as a noun means an instance of copying, viewing, or otherwise perceiving whereas "access" as a verb means to copy, view, or otherwise perceive.
(B) "Acquisition of a new computer system" means the purchase of a "computer system", as defined in this rule, that is not a computer system currently in place nor one for which the acquisition process has been initiated as of the effective date of the agency rule addressing requirements in section 1347.15 of the Revised Code.
(C) "Computer system" means a "system", as defined by section 1347.01 of the Revised Code that stores, maintains, or retrieves personal information using electronic data processing equipment.
(D) "Confidential personal information" (CPI) has the meaning as defined by division (A)(1) of section 1347.15 of the Revised Code and identified by rules promulgated by the agency in accordance with division (B)(3) of section 1347.15 of the Revised Code that reference the federal or state statutes or administrative rules that make personal information maintained by the agency confidential.
(E) "Employee of the state agency" means each employee of a state agency regardless of whether he or she holds an elected or appointed office or position within the state agency. "Employee of the state agency" is limited to the specific employing state agency.
(F) "Incidental contact" means contact with the information that is secondary or tangential to the primary purpose of the activity that resulted in the contact.
(G) "Individual" means a natural person or the natural person's authorized representative, legal counsel, legal custodian or legal guardian.
(H) "Information owner" means the individual appointed in accordance with division (A) of section 1347.05 of the Revised Code to be directly responsible for a system.
(I) "Person" means a natural person.
(J) "Personal information" has the same meaning as defined in division (E) of section 1347.01 of the Revised Code.
(K) "Personal information system" means a "system" that "maintains" "personal information" as those terms are defined in section 1347.01 of the Revised Code. "System" includes manual and computer systems.
(L) "Research" means a methodical investigation into a subject.
(M) "Routine" commonplace, regular, habitual, or ordinary.
(N) "Routine information that is maintained for the purpose of internal office administration, the use of which would not adversely affect a person" as that phrase is used in division (F) of section 1347.01 of the Revised Code means personal information relating to employees and maintained by the agency for internal administrative and human resource purposes.
(O) "System" has the same meaning as defined by division (F) of section 1347.01 of the Revised Code.
(P) "Upgrade" means a substantial redesign of an existing 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.
For personal information systems, whether manual or computer systems that contain confidential personal information, the agency shall do the following:
(A) Criteria for accessing confidential personal information. Personal information systems of the agency are managed on a "need-to-know" basis whereby the information owner determines the level of access required for an employee of the agency to fulfill his/her job duties. The determination of access to confidential personal information shall be approved by the employee's supervisor and the information owner prior to providing the employee with access to confidential personal information within a personal information system. The agency shall establish procedures for determining a revision to an employee's access to confidential personal information upon a change to that employee's job duties including, but not limited to, transfer or termination. Whenever an employee's job duties no longer require access to confidential personal information in a personal information system, the employee's access to confidential personal information shall be removed.
(B) Individual's request for a list of confidential personal information. Upon the signed written request of any individual for a list of confidential personal information about the individual maintained by the agency, the agency shall do all of the following:
(1) Verify the identity of the individual by a method that provides safeguards commensurate with the risk associated with the confidential personal information;
(2) Provide to the individual the list of confidential personal information that does not relate to an investigation about the individual or is otherwise not excluded from the scope of Chapter 1347. of the Revised Code; and
(3) If all information relates to an investigation about that individual, inform the individual that the agency has no confidential personal information about the individual that is responsive to the individual's request.
(C) Notice of invalid access.
(1) Upon discovery or notification that confidential personal information of a person has been accessed by an employee for an invalid reason, the agency shall notify the person whose information was invalidly accessed as soon as practical and to the extent known at the time. However, the agency shall delay notification for a period of time necessary to ensure that the notification would not delay or impede an investigation or jeopardize homeland or national security. Additionally, the agency may delay the notification consistent with any measures necessary to determine the scope of the invalid access, including which individuals' confidential personal information invalidly was accessed, and to restore the reasonable integrity of the system.
"Investigation" as used in this paragraph means the investigation of the circumstances and involvement of an employee surrounding the invalid access of the confidential personal information. Once the agency determines that notification would not delay or impede an investigation, the agency shall disclose the access to confidential personal information made for an invalid reason to the person.
(2) Notification provided by the agency shall inform the person of the type of confidential personal information accessed and the date(s) of the invalid access.
(3) Notification may be made by any method reasonably designed to accurately inform the person of the invalid access, including written, electronic, or telephone notice.
(D) Appointment of a data privacy point of contact. The agency 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's data privacy point of contact shall timely complete the privacy impact assessment form developed by the office of information technology.
Pursuant to the requirements of division (B)(2) of section 1347.15 of the Revised Code, this rule contains a list of valid reasons, directly related to the agency exercise of the agency's 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:
(A) Responding to a public records request;
(B) Responding to a request from an individual for the list of CPI the agency maintains on that individual;
(C) Administering a constitutional provision or duty;
(D) Administering a statutory provision or duty;
(E) Administering an administrative rule provision or duty;
(F) Complying with any state or federal program requirements;
(G) Processing or payment of claims or otherwise administering a program with individual participants or beneficiaries;
(H) Auditing purposes;
(I) Licensure [or permit, eligibility, filing, etc.] processes;
(J) Investigation or law enforcement purposes;
(K) Administrative hearings;
(L) Litigation, complying with an order of the court, or subpoena;
(M) Human resource matters (e.g., hiring, promotion, demotion, discharge, salary/compensation issues, leave requests/issues. time card approvals/issues);
(N) Complying with an executive order or policy;
(O) Complying with a policy of the agency or a state administrative policy issued by the department of administrative services, the office of budget and management or other similar state agency; or
(P) Complying with a collective bargaining agreement provision.
The following federal statutes or regulations or state statutes and administrative rules make personal information maintained by the agency confidential and identify the confidential personal information within the scope of rules promulgated by this agency in accordance with section 1347.15 of the Revised Code:
(A) Social security numbers: 5 U.S.C. 552a . unless the individual was told that the number would be disclosed.
(B) Records of the agency containing student education records: The Family Educational Rights and Privacy Act (FERPA), 20 U.S.C. § 1232g ; 34 CFR Part 99.
For personal information systems that are computer systems and contain confidential personal information, the agency shall do the following:
(A) Access restrictions. Access to confidential personal information that is kept electronically shall require a password or other authentication measure.
(B) Acquisition of a new computer system. When the agency acquires a new computer system that stores, manages or contains confidential personal information, the agency shall include a mechanism for recording specific access by employees of the agency to confidential personal information in the system.
(C) Upgrading existing computer systems. When the agency modifies an existing computer system that stores, manages or contains confidential personal information, the agency shall make a determination whether the modification constitutes an upgrade. Any upgrades to a computer system shall include a mechanism for recording specific access by employees of the agency to confidential personal information in the system.
(D) Logging requirements regarding confidential personal information in existing computer systems.
(1) The agency shall require employees of the agency who access confidential personal information within computer systems to maintain a log that records that access.
(2) Access to confidential information is not required to be entered into the log under the following circumstances:
(a) The employee of the agency is accessing confidential personal information of 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 routine for 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 request made under either of the following circumstances:
(i) The individual requests confidential personal information about himself/herself.
(ii) The individual makes a request that the agency takes some action on that individual's behalf and accessing the confidential personal information is required in order to consider or process that request.
(3) For purposes of this paragraph, the agency may choose the form or forms of logging, whether in electronic or paper formats.
(E) Log management. The agency shall issue a policy that specifies the following:
(1) Who shall maintain the log;
(2) What information shall be captured in the log;
(3) How the log is to be stored; and
(4) How long information kept in the log is to be retained.
Nothing in this rule limits the agency from requiring logging in any circumstance that it deems necessary.