Chapter 3793:1-1 General Provisions

3793:1-1-01 Public hearing notice for administrative rules.

(A) This rule describes the procedures that the Ohio department of alcohol and drug addiction services is to use for giving public notice for the adoption, amendment, or rescission of its rules pursuant to section 119.03 of the Revised Code.

(B) The department shall give public notice in the register of Ohio at least thirty days prior to the date set for the public hearing and contain the required elements as required under division (A) of section 119.03 of the Revised Code.

(C) The department shall furnish the public notice as required under section 119.03 of the Revised Code to any person who requests a copy of such notice in writing and who pays a reasonable fee, not to exceed the cost of copying and mailing.

(D) The department shall furnish the alcohol and drug addiction services boards, the alcohol, drug addiction and mental health services boards and all certified or licensed providers effected by the rule a copy of the public hearing notice and a copy of the proposed rule.

(E) Prior to the effective date of the rule, amendment, or rescission, the department shall make a reasonable effort to inform those affected by the rule, amendment, or rescission and to have available for distribution to those requesting it, the full text of the rule as adopted, amended, or rescinded.

Effective: 10/18/2010
R.C. 119.032 review dates: 07/23/2010 and 07/15/2015
Promulgated Under: 119.03
Statutory Authority: 3793.02
Rule Amplifies: 3793.02
Prior Effective Dates: 1-17-91 (Emer.); 7-1-91

3793:1-1-02 Definition of the term intervention.

(A) This rule defines the term "intervention" as required by division (D) of section 3793.02 of the Revised Code.

(B) "Intervention" is defined as any planned facilitation that may assist a person to be free from the use of alcohol, illicit drugs and the misuse of over-the-counter and prescription drugs.

R.C. 119.032 review dates: 07/23/2010 and 07/01/2015
Promulgated Under: 119.03
Statutory Authority: 3 793.02(D)
Rule Amplifies: 3793.02(D)
Prior Effective Dates: 7-10-92

3793:1-1-03 [Rescinded]Cooperation with other organizations to coordinate service delivery to children and famiilies.

Effective: 12/05/2013
R.C. 119.032 review dates: 09/19/2013
Promulgated Under: 119.03
Statutory Authority: 121.37
Rule Amplifies: 121.37
Prior Effective Dates: 5-12-94

3793:1-1-04 Department participation in construction or renovation of community residential treatment and outpatient facilities for alcohol and drug addiction services.

(A) The purpose of this rule is describe the process whereby a government entity or private nonprofit agency incorporated to provide alcohol and drug addiction services may request state participation in construction or renovation of a certified residential and/or outpatient facilities for alcohol and drug addiction services to the extent that funds are available. The rule applies to funding appropriated by the general assembly to the department or funding appropriated by the general assembly to a specific alcohol and drug addiction program or board created under Chapter 340. of the Revised Code.

(B) The department shall set forth the criteria upon the availability of funds and provide notification of the funding availability. The department shall provide instructions to present an application that would result in recommended funding.

(C) Requirements for assistance under this section for funding that is not appropriated to a specific provider or board shall be as follows:

(1) Documentation that the project is consistent with their respective alcohol, drug addiction and mental health services board or alcohol and drug addiction services board, established by Chapter 340. of the Revised Code, community plan priorities.

(2) A notarized letter verifying proof of at least a twenty per cent match from the agency or the amount of match determined by the director pursuant to division (A) (3) of section 3793.20 of the Revised Code.

(3) Projects must include a written recommendation by their respective alcohol, drug addiction and mental health services board or alcohol and drug addiction services board supporting their application.

(4) Projects must fund an alcohol, drug addiction and mental health services board, an alcohol and drug addiction services board and/or an ODADAS certified non-profit provider.

(D) Prior to the disbursement of any state funds, the applicant shall enter into an agreement with the department which, subject to the department's discretion, shall contain at a minimum, the provisions set forth below:

(1) The applicant shall assure operation of the facility in accordance with the agreement.

(2) The applicant agrees to use and maintain the project for the length of the agreement for the purposes stated in the application unless otherwise agreed to in writing by the department. If the project ceases to be used for said purpose, the applicant shall reimburse the department a prorated amount of the state funds received by the applicant, or shall permit the department to operate or transfer the operation of the project, including the assignment of any contracts or other interests, to another approved organization for the balance of the agreement.

(3) The terms of the agreement shall expire the earlier of:

(a) Twenty-five years from date of the agreement, or

(b) The date when all capital bonds, any of the proceeds of which were expended for the project costs, are no longer outstanding.

(4) Applicant must agree to spend funds as proposed in the application unless the applicant submits a written change of intent request and obtains written approval from the department.

(5) The applicant must require all contractors and subcontractors to comply with all applicable federal, state and local laws in the performance of the work related to the project. The contractors and subcontractors shall accept full responsibility for payment of all unemployment compensation, insurance premiums, all income tax deductions, social security deductions and any and all other taxes or payroll deductions required for all employees engaged by the contractors and subcontractors in the performance of the work authorized by this contract.

(6) Applicant must agree to locate the project, or indicate that the project will be located upon real estate which the applicant owns in fee simple or in which the applicant has a long-term leasehold interest for a term of at least twenty-five years. Where the applicant holds a leasehold interest, the terms of lease are subject to the department's approval. The applicant must further covenant that the premises are, and shall remain for the term of the participation agreement, free and clear of all liens, encumbrances, restrictions and conditions which could prevent or interfere with the use of the project facilities, except such as may be imposed by zoning ordinances and regulation.

(7) The applicant shall grant the department a mortgage in the project premises to secure that the funds awarded for the project are used as specified in the agreement between applicant and the department. Where applicant holds a leasehold interest, applicant shall assist the department in obtaining a mortgage from the owner of the premises for the aforementioned purpose, or subject to the department's approval, the applicant shall provide the department an alternate security.

(8) The applicant shall obtain the services of registered architects or engineers to perform any design work required for the project through the department of administrative services, general services administration, state architect's 3793:1-1-04 2 office (SAO). The applicant shall also select a contractor through SAO.

(9) The applicant may be required to deposit matching funds into an escrow account maintained by the department.

Effective: 05/15/2009
R.C. 119.032 review dates: 05/15/2014
Promulgated Under: 119.03
Statutory Authority: 3793.20
Rule Amplifies: 3793.20

3793:1-1-06 Access to confidential personal information.

(A) Purpose

The purpose of this rule is to establish guidelines for regulating access to the confidential personal information that is maintained by the Ohio department of alcohol and drug addiction services.

(B) Definitions

(1) "Access," when used in this rule as a noun, means an opportunity to copy, view, or otherwise perceive.

(2) "Access," when used in this rule as a verb, means to copy, view, or otherwise perceive.

(3) "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 this rule.

(4) "Computer system" means a "system," as defined in section 1347.01 of the Revised Code, that stores, maintains, or retrieves personal information using electronic data processing equipment.

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

(6) "Department" means the department of alcohol and drug addiction services

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

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

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

(10) "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.

(11) "Person" means a natural person.

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

(13) "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.

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

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

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

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

(18) "Upgrade" means a substantial redesign of an existing system for the purpose of providing a substantial amount of new application functionality, orapplication 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.

(C) Criteria for accessing confidential personal information: Personal information systems of the department are managed on a "need-to-know" basis whereby the information owner determines the level of access required for an employee of the department to fulfill his/her job duties. The determination of access to confidential personal information shall be approved by the employee's supervisor and the information owner prior to providing the employee with access to confidential personal information within a personal information system. The department shall establish procedures for determining a revision to an employee's access to confidential personal information upon a change to that employee's job duties including, but not limited to, transfer or termination. Whenever an employee's job duties no longer require access to confidential personal information in a personal information system, the employee's access to confidential personal information shall be removed.

(D) 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 department, the department shall:

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

(2) Provide to the individual the list of confidential personal information that does not relate to an investigation about the individual or is otherwise not excluded from the scope of Chapter 1347. of the Revised Code; and

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

(E) Notice of invalid access

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

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

(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.

(F) Appointment of a data privacy point of contact and completion of a privacy impact assessment

(1) The director of the department shall designate an employee of the department to serve as the data privacy point of contact.

(2) The data privacy point of contact shall work with the chief privacy officer within the Ohio department of administrative services office of information technology to assist the department with both the implementation of privacy protections for the confidential personal information that the department maintains and compliance with section 1347.15 of the Revised Code and the rules adopted pursuant to the authority provided by that chapter.

(3) The data privacy point of contact shall timely complete the privacy impact assessment form developed by the Ohio department of administrative services office of information technology.

(G) Valid reasons for authorized employees to access confidential personal information Pursuant to the requirements of division (B)(2) of section 1347.15 of the Revised Code, performing the following functions constitutes valid reasons for authorized employees 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) http://schemas.microsoft.com/office/word/2003/wordml013fAdministering 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, certification, and accreditation processes.

(10) Investigation or law enforcement purposes.

(11) Administrative hearings.

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

(13) Human resources matters (e.g., hiring, promotion, demotion, discharge, salary/compensation issues, leave requests/issues, timekeeping approvals/issues).

(14) Complying with an executive order or policy.

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

(16) Complying with a collective bargaining agreement provision.

(17) Research in furtherance of agency-specific programs as permitted by statute.

(H) The following regulations are the most widely applicable legal provisions that make personal information maintained by the department confidential. Other provisions may apply under particular circumstances.

(1) 42 C.F.R. Part 2 (Confidentiality of alcohol and drug abuse patient records).

(2) Division (D) of section 5101.46 of the Revised Code (Title XX).

(3) Section 3793.13 of the Revised Code (confidentiality)

(4) 5 U.S.C. 552a (social security numbers).

(5) 42 U.S.C. 1320d ("Health Insurance Portability and Accountability Act"statutes).

(6) 42 U.S.C. 1396a (a)( 42 U.S.C. 5 ) (medicaid records).

(7) 45 C.F.R. parts 160 to 164 ("Health Insurance Portability and Accountability Act" rules).

(I) For personal information systems that are computer systems and contain confidential personal information, the department shall:

(1) Restrict access to confidential personal information that is kept electronically by requiring a password or other authentication measure.

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

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

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

(a) The department shall require employees who access confidential personal information within computer systems to maintain a log that records that access. The department may choose the form or forms of logging, whether in electronic or paper formats.

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

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

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

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

(iv) The department employee accesses confidential personal information about an individual based upon a request made by an individual requesting confidential personal information about himself/herself or the individual makes a request that the department take some action on that individual's behalf that requires accessing confidential personal information in order to process that request.

(J) Log management

(1) The department shall issue a log management policy that specifies the following:

(a) Who shall maintain the log;

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

(c) How the log is to be stored; and

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

(2) Nothing in this rule limits the department from requiring logging in any circumstance that it deems necessary.

Effective: 10/04/2010
R.C. 119.032 review dates: 07/15/2015
Promulgated Under: 119.03
Statutory Authority: 1347.15 , 3793.02
Rule Amplifies: 1347.01 , 1347.05 , 3793.02