4757-11-03 Internal records management to maintain confidentiality.

(A) All investigatory records are considered confidential and access to these records is strictly on a need-to-know basis. Access to these records is open to the investigation unit staff, the compliance coordinator, board members, the board's designated representative from the Ohio attorney general, and the board's executive director. Other staff of the board do not have access to the investigation records without the prior approval of the executive director, a board member, or the deputy director. There are occasions when investigation records will need to be viewed by expert witnesses, board-approved compliance monitors or hearing officers. These individuals shall be pre-approved by the board's executive director or deputy director before access is permitted.

(B) All investigation files shall be maintained in the offices of the investigation staff.

(C) Investigation records shall be secured in locked file cabinets within the office of the investigation unit. It is the responsibility of the deputy director, or their designee, to ensure that all cabinets are secured at the end of each day. The investigation unit's staff will ensure all files removed from the file cabinets that are to be worked on are monitored while in their possession and returned to the locked cabinet at the end of the day. Completed investigative files shall be scanned into the board's document management system for permanent storage in a folder with limited access per paragraph (A) of this rule.

(D) While investigation records are strictly confidential, records received by the board that present evidence of criminal activity may be turned over to the appropriate law enforcement agency.

(E) If investigatory records are to be released to another Ohio state agency or to an agency of another state, that entity shall sign an agreement that those records will remain confidential and not releasable. This agreement shall be signed before any records are released to the entity.

(F) Any and all records obtained in the course of an official investigation shall not be subject to subpoena provided, however, the board shall be authorized to release such records to another enforcement agency or lawful licensing authority.

(G) If a licensee is the subject of a board inquiry, all records relating to any person who receives services rendered by that licensee in his/her capacity as a licensee shall be admissible at any hearing held to determine whether a violation of this chapter has occurred. Documentary evidence relating to a person who received those services shall be reviewed in camera and shall not be disclosed to the public.

Effective: 01/01/2013
R.C. 119.032 review dates: 10/12/2012 and 12/17/2017
Promulgated Under: 119.03
Statutory Authority: 4757.38
Rule Amplifies: 4757.38
Prior Effective Dates: 7-3-97; 9-20-02, 9/20/07