Chapter 4141-43 Exchange and Disclosure of Information

4141-43-01 Exchange and disclosure of information.

(A) The director may exchange or disclose wage information, claim information, employment and training information, employer information or other confidential information, to state departments, other governmental agencies, or service providers for the purpose of providing and improving employment and training services. The director may also exchange or disclose such information pursuant to paragraph (G) of this rule.

(B) This rule does not apply to entities identified in rule 4141-43-02 of the Administrative Code.

(C) Definitions:

(1) For purposes of this rule, "wage information" means the name, social security number, quarterly wages paid, and weeks worked by individual employees and the state employer identification number that is provided to the department of job and family services by employers and individuals and maintained in the wage record system.

(2) For the purposes of this rule, "claim information" means information regarding:

(a) Whether an individual is receiving, has received, or has applied for unemployment compensation;

(b) The amount of compensation the individual is receiving or is entitled to receive; and

(c) The name, address, and social security number and other information provided by the individual when filing an application or claim for benefits.

(3) "Employer information" is information concerning total and taxable wages, contribution rates, number of individuals in covered employment, and wages, addresses, employer identification numbers and other information on employers that is maintained in systems supporting administration of the unemployment compensation program under Chapter 4141. of the Revised Code.

(4) "Employment and training information" means information produced by or for the department of job and family services concerning the employment and training services provided to or for individuals and employers.

(5) "State departments" means departments established in the state by the constitution or the Revised Code.

(6) "Other governmental agencies" means agencies, including public colleges and universities, that are established by federal or state law for a public purpose and subject to regular audits by the state and/or federal government, and includes contractors or agents performing services for governmental agencies.

(7) "Employment and training services" means services such as assessment of workforce needs and requirements of employers and the aptitudes, abilities, and skill levels of individuals seeking work; economic development and job creation activities; education and training in preparation for employment; placement assistance in matching individuals with available jobs; and referral of workers to employment or training opportunities or to those support services necessary to gain or sustain employment.

(D) Any disclosure under this rule may be made only pursuant to an agreement between the director and state departments, other governmental agencies, or requesting parties, under which state and federal confidentiality requirements are maintained. The agreement under which information will be exchanged or disclosed must contain at a minimum:

(1) The purposes for which requests will be made and the specific information needed;

(2) A demonstration that requested information will be used for the purpose of assisting in providing and improving employment and training services;

(3) Identification of all officials or employees with authority by position to request information;

(4) Methods and timing of the requests for information, including the format to be used, and the period of time needed to furnish the requested information;

(5) The basis for establishing the reporting periods for which information will be provided;

(6) Provisions for determining appropriate reimbursement from state departments, governmental agencies or requesting parties for the costs incurred by the department of job and family services in providing data, including any new developmental costs associated with furnishing data; and

(7) Safeguards to ensure that information obtained from the department of job and family services will be protected against unauthorized access or disclosure, including a description of physical security and the process for providing authorized access.

(E) State departments, governmental agencies, and parties requesting the exchange or disclosure of information must comply with the following measures to protect the confidentiality of the information against unauthorized access or disclosure:

(1) The information shall be used only to assist in providing and improving employment and training services;

(2) The requesting state departments, governmental agencies, or parties shall not use the information for any purpose not specifically authorized under the agreement entered into under this rule;

(3) The information shall be stored in a place physically secure from access by unauthorized persons;

(4) Information in any electronic format shall be stored, transmitted and processed in such a way that unauthorized persons cannot retrieve the information by means of computer, remote terminal, or other means;

(5) State departments, governmental agencies or requesting parties shall instruct all personnel with access to the information regarding the confidential nature of the information, the confidentiality requirements of the agreement, and the sanctions against unauthorized disclosure of information;

(6) The head of each state department, governmental agency or requesting party shall sign an acknowledgment on behalf of the organization attesting to the organization's policies and procedures regarding confidentiality; and

(7) State departments, governmental agencies or requesting parties shall permit the department of job and family services to make on-site inspections to ensure that the requirements of the agreement and state and federal statutes and regulations are being met.

(F) Redisclosure of wage information, claim information, employment and training information, and employer information by state departments, governmental agencies or requesting parties is strictly prohibited. Individuals who redisclose information may be subject to fine and imprisonment as provided by sections 4141.22 and 4141.99 of the Revised Code. The director may prohibit the future exchange or disclosure of information to a state department, governmental agency or requesting party if the director finds that information was redisclosed while in the custody of the party. The director may also prohibit the future exchange or disclosure of information to any employee or employees of a state department, governmental agency or requesting party if the director finds that information was redisclosed while in the custody of the employee or employees.

(G) Subject to requirements and limitations provided in paragraphs (D), (E), and (F) of this rule, the director may make wage information, claim information, employment and training information, and employer information available to nongovernmental agencies limited to accredited colleges and universities, accredited educational institutions, non-profit research organizations, and other organizations conducting research, if such disclosure is for the purpose of assisting in research or for use in providing or improving the provision of employment and training services. No person associated with such agencies, organizations or institutions shall disclose said information in any manner which would reveal the identity of an individual or employing unit from or concerning whom such information was obtained by the director.

R.C. 119.032 review dates: 05/20/2013 and 05/01/2018
Promulgated Under: 4141.14
Statutory Authority: 4141.13
Rule Amplifies: 4141.13 , 4141.21 , 4141.43
Prior Effective Dates: 7/9/90, 12/30/91, 12/14/99, 1/15/01

4141-43-02 Disclosure of confidential information to public child support enforcement agencies, public assistance agencies, employment and training agencies, prosecuting authorities, and other public officials and governmental agencies.

(A) Confidential wage, claim, employer and/or employment and training information furnished to or maintained by the director of the department of job and family services pursuant to Chapter 4141. of the Revised Code may be disclosed or exchanged with county departments of job and family services, state and county child support enforcement agencies, and governmental agencies administering employment and training and public assistance programs to:

(1) Assist in determining eligibility for benefits and/or services provided by programs administered or funded by the Ohio department of job and family services;

(2) Detect fraud and abuse;

(3) Assist in securing child support;

(4) Verify information on the new hire data base;

(5) Support research and provide information for use in improving employment and training services provided under programs funded by the Ohio department of job and family services; or

(6) Comply with state and federal reporting requirements.

(B) Information referenced in paragraph (A) of this rule may also be disclosed or exchanged with civil and criminal prosecuting authorities for use in the discharge of their official public duties.

(C) For the purposes of this rule, civil and criminal prosecuting authorities include:

(1) The Ohio attorney general;

(2) Ohio county prosecuting attorneys;

(3) Prosecuting attorneys for Ohio municipalities or other Ohio political subdivisions; and

(4) The United States attorney.

(D) Except as provided in paragraph (I) of this rule, any disclosure of confidential wage, claim, employer and/or employment and training information under this rule will be made subject to the following conditions:

(1) The information shall not be used for any purpose not specifically authorized or permitted by state and federal law.;

(2) The information shall be stored in a place physically secure from access by unauthorized persons;

(3) Information in any electronic format shall be stored, transmitted and processed in such a way that unauthorized persons cannot retrieve the information by means of computer, remote terminal, or other means;

(4) Any entity receiving the information shall instruct all personnel with access to the information regarding the confidential nature of the information, the confidentiality requirements of state and federal statutes and regulations, and the sanctions against unauthorized disclosure of information; and

(5) The entity receiving the information shall permit the department of job and family services to make on-site inspections to ensure that the requirements of state and federal law are being met.

(E) A contractor, grantee, or other federal, state or local entity, other than those listed in paragraphs (A) and (B) of this rule, performing administrative or other duties on behalf of the director of the department of job and family services or a county department of job and family services may be provided wage, claim, employer and/or employment and training information under this rule when needed for completion of the administrative or other duties if the following confidentiality and security requirements are met:

(1) There must be a signed written agreement with the contractor, grantee, or entity that establishes the purpose and scope of duties to be performed for the department of job and family services or the county department of job and family services;

(2) The agreement shall contain language that the contractor, grantee, or entity may not use the information received pursuant to the agreement for purposes other than those set out in the written agreement; and

(3) The agreement shall include language that establishes that the contractor, grantee, or entity is bound by the rules of the department of job and family services, and that disclosure of the information by the contractor, grantee, or entity in a manner not authorized by the department of job and family services is a breach of the contract and a violation of sections 4141.21 and 4141.99 of the Revised Code.

(F) The director shall prescribe any additional conditions under which disclosure or exchange of information under this rule may be made and may require the reimbursement of costs of disclosure where such costs are not de minimis.

(G) For the purposes of this rule, the terms "wage, claim, employer and/or employment and training information" have the same meaning as provided in rule 4141-43-01 of the Administrative Code.

(H) Notwithstanding paragraphs (D) and (E) of this rule, the director may disclose information described in paragraph (A) of this rule to the wage record interchange system, a public official, contractor, or agent of a public official for the purpose of administration or evaluation of public assistance or employment and training programs. Such disclosure shall be subject to the confidentiality and safeguard requirements of the United States Department of Labor pursuant to section 303(a) of the Social Security Act, 42 U.S.C. 503(a) .

(I) Notwithstanding paragraphs (D) and (E) of this rule, the director may disclose information described in paragraph (A) of this rule to a federal agency which the United States Department of Labor has determined to have in place safeguards adequate to satisfy the confidentiality and safeguard requirements of section 303(a)(1) of the Social Security Act.

Effective: 01/01/2006
R.C. 119.032 review dates: 09/28/2005 and 01/01/2011
Promulgated Under: 4141.14
Statutory Authority: 4141.13
Rule Amplifies: 4141.13 , 4141.21 , 4141.43
Prior Effective Dates: 1/15/01

4141-43-03 Disclosure of wage information to a consumer reporting agency.

(A) Agreements for the disclosure of wage information to a consumer reporting agency must include the following requirements, at a minimum:

(1) A requirement that the consumer reporting agency and any entity to which wage information is disclosed shall assure that a written statement of informed consent is signed by the individual to whom the information pertains prior to requesting wage information about the individual. The statement of informed consent must contain the following:

(a) A specific statement indicating that the individual's wage information will be released;

(b) A statement that the release is only for that particular transaction;

(c) A clear statement informing the individual that the consumer reporting agency may use information from wage information files maintained by the Ohio department of job and family services; and

(d) A statement indicating who may receive the information released.

(2) A requirement that the consumer reporting agency to which wage information is provided, and any other entity to which wage information is disclosed by the consumer reporting agency, shall use the wage information only for the specific transaction authorized by the individual's statement of informed consent.

(3) A requirement that the consumer reporting agency and any other entity to which wage information is provided by the consumer reporting agency shall safeguard the confidentiality of wage information from illegal or unauthorized disclosure by compliance with the following measures:

(a) The information shall be stored in a place physically secure from access by unauthorized persons;

(b) Information shall be stored, transmitted and processed in such a way that unauthorized persons cannot retrieve the information by means of computer, remote terminal or other means;

(c) Precautions shall be taken to ensure that only authorized personnel are given access to on-line files;

(d) The consumer reporting agency and any other entity to which wage information is provided shall instruct all personnel with access to the information regarding the confidential nature of the information, and the sanctions specified in Chapter 4141. of the Revised Code for the unauthorized disclosure of information and any other relevant federal and state statutes and regulations;

(e) The consumer reporting agency shall provide a statement attesting to the policies and procedures used to protect the confidentiality of the wage information; and

(f) The consumer reporting agency and any other entity to which wage information is provided shall permit the Ohio department of job and family services to make onsite inspections to ensure that the requirements of the agreement and Chapter 4141. of the Revised Code are being met.

(4) A requirement that the consumer reporting agency or other entity to which wage information is provided permit a periodic audit of sample transactions accessing wage information to assure that the agency or other entity had a written statement of informed consent meeting the requirements of paragraph (A)(1) of this rule for each transaction.

(5) A requirement that the consumer reporting agency will pay all costs associated with the disclosure of wage information under the terms of the agreement.

(6) A requirement that the consumer reporting agency to which wage information is provided will provide a list of the names, addresses and telephone numbers of all entities to which wage information may be disclosed by the consumer reporting agency.

(B) For the purposes of this rule, "wage information" means the name, social security number, quarterly wages paid, weeks worked by the individual, and the name and address of the individual's employer reporting wages under section 4141.20 of the Revised Code.

Effective: 01/01/2006
R.C. 119.032 review dates: 09/28/2005 and 01/01/2011
Promulgated Under: 4141.14
Statutory Authority: 4141.13
Rule Amplifies: 4141.43
Prior Effective Dates: 02/22/04