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This website publishes administrative rules on their effective dates, as designated by the adopting state agencies, colleges, and universities.

Chapter 5101:9-22 | ODJFS Practices - Release of Information and Investigations

 
 
 
Rule
Rule 5101:9-22-10 | Issuance of a subpoena for investigation by the Ohio department of job and family services (ODJFS).
 
This is an Internal Management (IM) rule governing the day-to-day staff procedures and operations within an agency.

(A) ODJFS' office of legal and acquisition services may in its discretion, and pursuant to section 5101.37 of the Revised Code, issue subpoenas using the JFS 05607 "Subpoena," to compel the attendance of witnesses or the production of documents as necessary for agency investigations, audits or hearings.

(B) To request a subpoena, the initiating office shall complete all information on the JFS 05607 except for the "subpoena number," certification of chief legal counsel, and "return of subpoena" section. The completed JFS 05607 shall be attached to a memorandum signed by the chief of the initiating office and the appropriate deputy director. This memorandum shall summarize the factual basis of the investigation and shall provide justification for the issuance of the subpoena including why the witnesses or documents are necessary to the investigation and an explanation of why the information cannot be obtained without a subpoena. The subpoena and attached memorandum are forwarded to the chief legal counsel or a designee for review and issuance.

(C) If the subpoena request is approved by the chief legal counsel or designee, the office of legal and acquisition services shall assign a subpoena number and the chief legal counsel or designee shall sign, date, and seal the subpoena.

(D) The JFS 05607 shall be served by an employee of the initiating office or other person appointed pursuant to section 5101.38 of the Revised Code. After service, the authorized subpoena server shall complete and sign the "return of subpoena" section of the JFS 05607, including indicating whether service was made by personal service; registered mail, return receipt requested; regular mail; or other method. A copy of the completed JFS 05607 shall be returned to the office of legal and acquisition services for inclusion in the subpoena log.

(E) The office of legal and acquisition services shall maintain a subpoena log to include a copy of each subpoena issued and served by ODJFS. The initiating office shall maintain all other records required by division (A) of section 5101.37 of the Revised Code.

(F) Fees and mileage for witnesses shall be the same as those allowed in division (A) of section 119.094 of the Revised Code and shall be paid by ODJFS from the funding source for the ODJFS work unit out of which the facts arose or were discovered, requiring an audit, hearing or investigation. No officer or employee of a county department of job and family services (CDJFS), child support enforcement agency (CSEA), or public children services agency (PCSA) is entitled to witness fees or mileage if the CDJFS, CSEA, or PCSA employing the witness is the subject of the investigation. Employees of ODJFS are not entitled to witness fees or mileage under these subpoena issuance procedures. However, ODJFS employees may be eligible for mileage under regular ODJFS travel expense reimbursement.

Last updated June 15, 2021 at 8:06 AM

Supplemental Information

Authorized By: 5101.02
Amplifies: 5101.37, 5101.38
Five Year Review Date:
Prior Effective Dates: 1/1/2016
Rule 5101:9-22-15 | Release of personal information held by the Ohio department of job and family services (ODJFS).
 
This is an Internal Management (IM) rule governing the day-to-day staff procedures and operations within an agency.

(A) Definitions.

(1) "Personal information" means any information that describes anything about a person, or indicates action 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.

(a) Personal information includes, but is not limited to, the following:

(i) An individual's social security number, driver's license number, state identification number, state or federal tax identification number, financial account number, and credit or debit card number.

(ii) Identifying information about applicants for or recipients of ODJFS-administered benefits or services, including, but not limited to, their names, addresses, social security numbers, phone numbers, and social and economic status.

(iii) Information about ODJFS employees that does not meet the definition of "record" in section 149.011 of the Revised Code, which includes, but is not limited to, their home addresses, home or personal cell phone numbers, social security numbers, driver's license numbers, financial account numbers (especially personal identification numbers), and other non-work-related information.

(iv) Medical or health data about a particular person, including diagnosis and past history of disease or disability, past or current mental health status, and any reports or records pertaining to physical or mental health examinations status.

(b) As used in this rule, the term "personal information" excludes non-confidential and non-exempt (work-related) records about an individual that ODJFS or other public entities routinely make available to the general public, or ODJFS records that are required to be made available to the public pursuant to federal or state laws or regulations. An example is the public, work-related portion of an employee's personnel file. In addition, ODJFS staff assisting with responding to requests for aggregate data about applicants for, recipients of, and participants in ODJFS-administered or supervised programs, services, or benefits should review and comply with the masking requirement in Part VI, Section III of IPP 3002.

(2) "Records", per section 149.011 of the Revised Code, include any document, device, or item, regardless of physical form or characteristic, that is created or received by or coming under the jurisdiction of any public office of the state or its political subdivisions, which serves to document the organization, functions, policies, decisions, procedures, operations, or other activities of that office.

(3) "System" means any collection or group of related records that are kept in an organized manner, either manually or by any other method, and that are maintained by a state or local 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 does not include collected archival records in the custody of or administered under the authority of the Ohio history connection, published directories, reference materials or newsletters, or routine information that is maintained for the purpose of internal office administration, the use of which would not adversely affect a person.

(B) Release of any personal information that is maintained by ODJFS is governed by federal and state laws and regulations, including but not limited to the following:

(1) Section 149.43 of the Revised Code, which lists records that are exempt from treatment as public record, and which therefore need not be disclosed to the general public upon their request;

(2) Chapter 1347. of the Revised Code, which pertains to personal information systems, including the duties and obligations of state and local government agencies in the collection, maintenance, protection, use, modification, and release of personal information.

(3) Laws specific to programs administered or supervised by ODJFS, such as sections 5101.27, 4141.22, and 3125.50 of the Revised Code, which, along with corresponding rules and regulations, specify what applicant, recipient and participant-identifying information can be released, to whom it can be released, and under what circumstances it can be released.

(C) An individual will be designated as the chief privacy officer for ODJFS. The chief privacy officer is responsible for helping ensure that access to and use of ODJFSs personal information systems conforms with applicable confidentiality and privacy requirements, and that all necessary privacy impact assessments are performed. The chief privacy officer shall work with the chief information security officer on ODJFS's implementation of data security measures. Any unauthorized modification, destruction, use, disclosure, or breach of a personal information system must be reported to the chief privacy officer and chief inspector of ODJFS; and, if a system breach occurs or is believed to have occurred, it must also be reported to the chief information security officer of ODJFS.

(D) Any person authorized to access, maintain, or use a personal information system shall take reasonable precautions, including but not limited to role-based and job-specific security and privacy training offered or arranged by ODJFS to protect personal information in the system from unauthorized modification, destruction, use, or disclosure. In determining what is reasonable, consideration will 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 requirements of federal and state law governing use of the personal information.

(4) Applicable ODJFS rules and policies.

(E) Disciplinary action, including, but not limited to, suspension or removal, may be brought against any employee who does the following:

(1) Intentionally violates any provision of Chapter 1347. of the Revised Code or other law related to the release of records or personal information.

(2) 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.

(3) Releases personal information in violation of state or federal law or refuses or fails to release information as provided by state or federal law.

(F) The office of legal and acquisition services acts as a clearinghouse for information and consultation related to requests for public records and personal information. Any employee of ODJFS who is unable to determine whether a record or information can be released, should consult with legal counsel regarding this determination.

Last updated March 24, 2022 at 8:26 AM

Supplemental Information

Authorized By: 5101.02
Amplifies: 149.43, 149.45, 1347.01, 1347.05, 1347.12
Five Year Review Date:
Prior Effective Dates: 7/1/1982, 12/1/2010, 12/15/2016
Rule 5101:9-22-16 | Employee access to confidential personal information.
 

(A) Definitions.

For the purposes of rules promulgated by this agency in accordance with section 1347.15 of the Revised Code, the following definitions apply:

(1) "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.

(2) "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.

(3) "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.

(4) "Confidential personal information" (CPI) has the same meaning that it does in division (A)(1) of section 1347.15 of the Revised Code. The appendix to this rule identifies, in accordance with division (B)(3) of section 1347.15 of the Revised Code, the federal statutes and regulations and state statutes and administrative rules that make personal information maintained by the agency confidential.

(5) "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.

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

(7) "Individual" means a natural person and in the context used in division (C)(1)(b) of section 1347.15 of the Revised Code, and paragraph (E)(4)(b)(iv) of this rule, means the subject of the confidential personal information, or the authorized representative, legal counsel, legal custodian or legal guardian of the subject of the confidential personal information, or any other similarly situated person who is permitted under state or federal law to act on behalf of, or in furtherance of, the interests of the subject of the confidential personal information, such as an executor or administrator appointed by the court or individual granted power of attorney by the subject of the information. "Individual" does not include an opposing party in litigation, or the opposing party's legal counsel, or an investigator, auditor or any other party who is not acting on behalf of, or in furtherance of the interests of, the subject of the confidential personal information, even if such individual has obtained a signed release from the subject of the confidential personal information.

(8) "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.

(9) "Person" means a natural person.

(10) "Personal information" has the same meaning as it does in division (E) of section 1347.01 of the Revised Code.

(11) "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 both records that are manually stored and records that are stored using electronic data processing equipment.

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

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

(14) "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 ODJFS employees and maintained by the agency for internal administrative and human resource purposes.

(15) "System" has the same meaning as it does in division (F) of section 1347.01 of the Revised Code.

(16) "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.

(B) Procedures for accessing confidential personal information.

(1) Criteria for accessing confidential personal information.

Personal information systems of the Ohio department of job and family services (ODJFS) 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 or her job duties. The determination of access to confidential personal information shall be approved by the employee's supervisor and the information owner before 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.

(2) Individual's request for his or her own confidential personal information.

Upon the signed written request of any individual for confidential personal information that ODJFS maintains about the individual, ODJFS shall do all of the following:

(a) Verify the identity of the individual by a method that provides safeguards commensurate with the risk associated with any unauthorized access to, or use or release of, confidential personal information.

(b) Provide to the individual the confidential personal information that does not relate to an investigation about the individual or is otherwise not excluded from being released under Chapter 1347. of the Revised Code, or other federal/state laws or regulations.

(c) If all information relates to an investigation about that individual, determine what, if any, information can be disclosed to the individual who was or is being investigated, provide the individual with any information which is not protected from disclosure, and inform the individual, to the extent that it is legally required or permitted, of the legal basis for any records that are withheld or redacted.

(3) Notice of invalid access.

(a) 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 provide him/her with details of the unauthorized access, 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 was invalidly 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.

(b) Notification provided by the agency shall inform the person of the type of confidential personal information accessed and the date or dates of the invalid access, if known.

(c) Notification may be made by any method reasonably designed to accurately inform the person of the invalid access, including written, electronic, or telephone notice.

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

(a) The ODJFS director shall designate an employee of ODJFS to serve as the data privacy point of contact under the working title of "ODJFS chief privacy officer."

(b) The ODJFS chief privacy officer shall work with the state of Ohio chief privacy officer and the state of Ohio chief information security officer within the state of Ohio office of information technology to assist ODJFS with both the implementation of privacy protections for the confidential personal information that ODJFS maintains and compliance with section 1347.15 of the Revised Code and the rules adopted thereunder.

(c) The ODJFS chief privacy officer shall ensure the timely completion of the "privacy impact assessment form" developed by the state of Ohio office of information technology.

(C) 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 ODJFS exercise of its powers or duties, for which only employees of the agency may access confidential personal information regardless of whether the personal information system is manual or electronic.

Except as prohibited by federal/state law, performing the following functions constitute valid reasons for authorized employees of the agency to access confidential personal information:

(1) Responding to a request from an individual for the list of the confidential personal information the agency maintains on that individual;

(2) Responding to a request for confidential personal information or records about an individual, submitted by someone other than the individual who is the subject of the information, but only if the applicable confidentiality provisions contain an exception that permits the employee to access and disclose the individual's information/records to a third party;

(3) Administering a constitutional provision or duty;

(4) Administering a statutory provision or duty that directly pertains to ODJFS or its programs;

(5) Administering an administrative rule provision or duty connected to ODJFS or its programs;

(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, when permitted or required by any applicable programmatic laws or regulations;

(11) Administrative hearings;

(12) Litigation, complying with an order of the court, or subpoena, but only after consultation with, and with the permission of, the office of legal and acquisition services;

(13) Human resource matters (for example, 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 an agency policy or a state administrative policy issued by the department of administrative services, the office of budget and management, or other similar state agency;

(16) Complying with a collective bargaining agreement provision; or

(17) Research in the furtherance of agency specific programs in so far as allowed by statute.

(D) Confidentiality statutes and administrative rules.

The federal statutes and regulations and state statutes and administrative rules listed in the appendix to this rule make personal information maintained by the agency confidential and identify the confidential personal information that are subject to rules promulgated by this agency in accordance with section 1347.15 of the Revised Code.

(E) Restricting and logging access to confidential personal information systems.

For personal information systems that are computer systems and contain confidential personal information, ODJFS shall do the following:

(1) Access restrictions.

Access to confidential personal information that is kept electronically shall require a password or other sufficient authentication measure as determined by the ODJFS chief privacy officer as part of the "privacy impact assessment process."

(2) Acquisition of a new computer system.

When the agency acquires a new computer system that stores, manages, or contains confidential personal information, ODJFS shall include a mechanism for recording specific access by employees of ODJFS to confidential personal information in the system.

(3) Upgrading existing computer systems.

When ODJFS modifies an existing computer system that stores, manages, or contains confidential personal information, that results in over half of the lines of code associated with that system being modified, then that system must have an automated mechanism for recording specific access by employees of ODJFS to any confidential personal information that is accessed via that system.

Additionally, each update to a computer system is to be reviewed by the ODJFS chief privacy officer, or designee, to determine if an automated logging mechanism should be implemented with the proposed change. This review is to be conducted during the design phase of the proposed change to the computer system. It is the responsibility of the development team to consult with the ODJFS chief privacy officer at the design phase for this determination.

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

(a) ODJFS shall require employees who access confidential personal information within ODJFS computer systems to maintain a log that records that access.

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

(i) The ODJFS employee 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.

(ii) The ODJFS employee 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.

(iii) The ODJFS employee 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.

(iv) The employee of the agency accesses confidential personal information about an individual based upon a request made under either of the following circumstances:

(a) The individual requests confidential personal information about himself or herself; or

(b) The individual makes a request that ODJFS take some action on that individual's behalf and accessing the confidential personal information is required in order to consider or process that request.

(v) ODJFS shall use a consistent electronic means for logging where reasonably possible. If the logging requirements are already being met through existing means, then no additional logging is required in those instances.

(5) Log management.

Each office within ODJFS shall issue a policy that includes who shall keep the log, what information shall be captured on the log, how the log is stored, and how long the log is maintained. Nothing in this rule limits the agency from requiring logging in any circumstance that it deems necessary.

View Appendix

Last updated October 12, 2023 at 10:48 AM

Supplemental Information

Authorized By: 1347.15
Amplifies: 1347.15
Five Year Review Date: 8/9/2026
Prior Effective Dates: 12/31/2010