Chapter 4783-1 Certification; Confidential Personal Information

4783-1-01 Application for certification.

(A) All applicants for certification as a certified Ohio behavior analyst shall file an application with the board, under oath and duly notarized, on a form prescribed by the board and accompanied by the appropriate fee.

(B) In accord with division (A) of section 4783.04 of the Revised Code, all applications for certification shall include:

(1) Written verification from the "Behavior Analyst Certification Board" or its successor organization that the person holds a current, valid certificate as a Board Certified Behavior Analyst or determination by the board that the applicant has met the equivalent requirements pursuant to criteria set forth in paragraph (1)(a) of rule 4783-4-01 of the Administrative Code;

(2) The grade transcript, bearing official seal, sent directly to the board office by each graduate university or college attended by the applicant;

(3) Notarized statements from those persons who have supervised the applicant's professional work experience in applied behavior analysis shall be submitted on a form prescribed by the board, incorporated herein by reference as form PSY COBA-SUP-1 and available on the board's website www.psychology.ohio.gov. Said statements shall set forth the supervisor's own qualifications, familiarity with the applicant, the extent of the supervision over such applicant, the inclusive dates and number of hours of work supervised, the number of individual and group supervision hours weekly, and an evaluation of the applicant's performance;

(4) A completed, notarized application on a form prescribed by the board, incorporated herein by reference as form PSY COBA-APP-1 and available on the board's website www.psychology.ohio.gov.

(5) Not less than three letters of reference from individuals substantially familiar with the applicant's professional conduct, competencies, and personal character. The letters shall be sent directly to the board office and shall come from:

(a) A psychologist or a school psychologist licensed by this board; or

(b) A psychologist or a school psychologist licensed by another state, territory, the District of Columbia, or Canada when the supervised experience took/takes place in that other jurisdiction or the psychologist or the school psychologist is/was practicing legally in Ohio; or

(c) A board certified behavior analyst in good standing certified by the "Behavior Analyst Certification Board"; or

(d) A professional clinical counselor, independent social worker, or independent marriage and family therapist licensed under Chapter 4757 of the Revised Code; or

(e) A certified Ohio behavior analyst.

(C) The application for certification shall be deemed to lapse if the applicant has not successfully completed all requirements for certification within three years after initial filing. Thereafter, a new application shall be necessary for a candidate to pursue certification.

(D) The entrance examiner appointed by the board pursuant to division (A) of section 4732.10 of the Revised Code shall determine whether an applicant meets the requirements of the applicable division (A) of section 4783.03 of the Revised Code. If the entrance examiner determines that an applicant does not meet the requirements, the examiner shall propose to deny the application.

Effective: 04/07/2014
R.C. 119.032 review dates: 04/07/2019
Promulgated Under: 119.03
Statutory Authority: 4732.06
Rule Amplifies: 4783.04

4783-1-02 Fees.

Fees shall be established by the board pursuant to division (A)(2) of section 4783.03 of the Revised Code. Current fees on the effective date of this rule are subject to change by action of the board, the controlling board, and/or the general assembly. Information about fees may be obtained by writing or calling the board office or consulting the application instructions available at the board's website www.psychology.ohio.gov. Such fees, for which checks are made payable to "Treasurer, State of Ohio" but are mailed to the board at the board address, include:

(A) Application and initial certificate fee - one hundred twenty five dollars;

(B) Biennial registration (renewal) fee - one hundred fifty dollars;

(C) Certificate reinstatement request fee for reinstatement of an expired certificate - biennial registration fee as in paragraph (B) of this rule, plus a penalty fee of fifty dollars.

Effective: 04/07/2014
R.C. 119.032 review dates: 04/07/2019
Promulgated Under: 119.03
Statutory Authority: 4783.03
Rule Amplifies: 4783.04 , 4783.05

4783-1-03 Biennial registration.

(A) Each certified Ohio behavior analyst shall register on a biennial basis pursuant to division (A) of section 4783.05 of the Revised Code, including the continuing education (CE) information required by division (B) of section 4783.05 of the Revised Code and rule 4732-2-01 (CE requirements) of the Administrative Code. Registration shall be on a form provided by the board and shall include information deemed necessary by the board. Forms will be mailed to the last known address of each certificate holder. Failure to register and pay the biennial registration fee by the thirty-first day of August of each even-numbered year after the year of certification will result in automatic expiration of the certification unless the board has excused, in writing, a certificate holder from all or any part of the CE requirements pursuant to paragraph (C)(9) of rule 4783-2-01 of the Administrative Code.

(B) The board hereby waives the registration fee and CE requirements of a certified Ohio behavior analyst during such time as said certificate holder is on active duty in the armed forces of the United States, provided the registration form is completed and exemption from the fee and CE requirements is requested and approved by the board.

(C) Any certificate suspended pursuant to paragraph (A) of this rule may be reinstated by the board within five years after such expiration, on request of the certificate holder who failed to timely renew the certificate. Absent any grounds for denial as set forth in section 4783.09 of the Revised Code, such reinstatement:

(1) Shall be automatic if requested within one year, upon immediate payment of the biennial registration fee plus the penalty fee in effect at the time of the request and:

(a) Upon receipt in the board office of a report from the Behavior Analyst Certification Board, the Ohio Psychological Association or the Ohio School Psychologists Association of having completed the CE requirements that were in effect at the time of the most recent certificate renewal deadline; or

(b) Without such evidence if the fees and/or CE requirements are waived or excused, in writing, pursuant to paragraph (B) or paragraph (C) of this rule,; or

(2) After one year following such suspension shall require:

(a) Payment of the biennial registration fee in effect at the time of the request for reinstatement plus the penalty fee, unless the board waives the fees pursuant to paragraph (B) or paragraph (C) of this rule, with no part of these fees being refundable regardless of the outcome of the request for reinstatement; and

(b) Approval by the board of the expired certificate holder's notarized statement describing his/her professional activities after the date of expiration of the certificate; and

(c) Acceptance by the board of evidence of having completed, either during the previous two years or during the biennium, the CE requirements that were in effect for the biennium prior to the last regular certificate renewal anniversary unless the board excuses, in writing, the certificate holder from all or any part of the CE requirements.

Effective: 04/07/2014
R.C. 119.032 review dates: 04/07/2019
Promulgated Under: 119.03
Statutory Authority: 4783.03
Rule Amplifies: 4783.05

4783-1-04 Certified Ohio behavior analyst certificate and card.

Each certified Ohio behavior analyst shall display his/her wall certificate and current certification card at his/her principle place of professional practice of applied behavior analysis.

Effective: 04/07/2014
R.C. 119.032 review dates: 04/07/2019
Promulgated Under: 119.03
Statutory Authority: 4783.03
Rule Amplifies: 4783.02 , 4783.04

4783-1-05 Definitions.

For the purposes of 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 board 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 board 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 board confidential.

(E) "Board" means the state board of psychology.

(F) "Employee of the board" means each employee of the board, each member of the board appointed pursuant to section 4732.02 of the Revised code, and each member of the school psychology licensing committee appointed by the board pursuant to section 4732.11 of the Revised Code.

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

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

(I) "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.

(J) "Person" means a natural person.

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

(L) "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.

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

(N) "Routine" means commonplace, regular, habitual, or ordinary.

(O) "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 board for internal administrative and human resource purposes.

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

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

Effective: 04/07/2014
R.C. 119.032 review dates: 04/07/2019
Promulgated Under: 119.03
Statutory Authority: 1347.15(B)
Rule Amplifies: 1347.15

4783-1-06 Procedures for accessing confidential personal information.

For personal information systems, whether manual or computer systems, which contain confidential personal information, the board shall do the following:

(A) Criteria for accessing confidential personal information. Personal information systems of the board are managed on a "need-to-know" basis whereby the information owner determines the level of access required for an employee of the board 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 board, the board 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 board 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 board shall notify the person whose information was invalidly accessed as soon as practical and to the extent known at the time. However, the board 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 board 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 board determines that notification would not delay or impede an investigation, the board shall disclose the access to confidential personal information made for an invalid reason to the person.

(2) Notification provided by the board 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 board shall designate an employee of the board 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 board with both the implementation of privacy protections for the confidential personal information that the board 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 board 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.

Effective: 04/07/2014
R.C. 119.032 review dates: 04/07/2019
Promulgated Under: 119.03
Statutory Authority: 1347.15(B)
Rule Amplifies: 1347.15

4783-1-07 Valid reasons for accessing confidential personal information.

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 board's exercise of its powers or duties, for which only employees of the board may access confidential personal information (CPI) regardless of whether the personal information system is a manual system or computer system:

(A) Performing the following functions constitute valid reasons for authorized employees of the board 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 board 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 [or permit, eligibility, filing, etc.] 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 a board policy or a state administrative policy issued by the department of administrative services, the office of budget and management or other similar state agency; or

(16) Complying with a collective bargaining agreement provision.

(B) To the extent that the general processes described in paragraph (A) of this rule do not cover the following circumstances, for the purpose of carrying out specific duties of the board, authorized employees of the board would also have valid reasons for accessing CPI in these following circumstances:

(1) Reporting administrative actions and disciplinary records pursuant to state or federal law or requirements of membership in the association of state and provincial psychology boards;

(2) Monitoring compliance with board orders and consent agreements, including the review of internal and external reports and data used to facilitate the monitoring process; and

(3) Records maintenance processes, including filing, photocopying, scanning, and reviewing records for retention and destruction.

Effective: 04/07/2014
R.C. 119.032 review dates: 04/07/2019
Promulgated Under: 119.03
Statutory Authority: 1347.15(B)
Rule Amplifies: 1347.15

4783-1-08 Confidentiality statutes.

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 . (2012), unless the individual was told that the number would be disclosed.

(B) "Bureau of Criminal Investigation and Information" criminal records check results: section 4776.04 of the Revised Code.

(C) Medical records: health insurance portability and accountability act, 45 C.F.R. 164.502(2013) .

(D) College and university academic transcripts received by the board: family educational and privacy act 20 U.S.C. 1232g(2012) .

Effective: 04/07/2014
R.C. 119.032 review dates: 04/07/2019
Promulgated Under: 119.03
Statutory Authority: 1347.15(B)
Rule Amplifies: 1347.15

4783-1-09 Restricting and logging access to confidential personal information in computerized personal information systems.

For personal information systems that are computer systems and contain confidential personal information, the board 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 board acquires a new computer system that stores, manages or contains confidential personal information, the board shall include a mechanism for recording specific access by employees of the board to confidential personal information in the system.

(C) Upgrading existing computer systems. When the board modifies an existing computer system that stores, manages or contains confidential personal information, the board 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 board to confidential personal information in the system.

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

(1) The board shall require employees of the board 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 board 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 board 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 board 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 board 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 the board 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 board may choose the form or forms of logging, whether in electronic or paper formats.

(E) Log management. The board 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.

Effective: 04/07/2014
R.C. 119.032 review dates: 04/07/2019
Promulgated Under: 119.03
Statutory Authority: 1347.15(B)
Rule Amplifies: 1347.15