Chapter 901-10 Accessing Confidential Personal Information
For purposes of this chapter of the Administrative Code:
(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 department rule addressing requirements in section 1347.15 of the Revised Code.
(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 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.
(E) "Employee of the state department" means each employee of a state department regardless of whether he/she holds an elected or appointed office or position within the state department. "Employee of the state department" is limited to the specific employing state department.
(F) "Incidental contact" means contact with the information that is secondary or tangential to the primary purpose of the activity that resulted in the contact.
(G) "Individual" means natural person or the natural person's authorized representative, legal counsel, legal custodian, or legal guardian.
(I) "Person" means natural person.
(K) "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.
(L) "Research" means a methodical investigation into a subject.
(M) "Routine" means commonplace, regular, habitual, or ordinary.
(N) "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 department for internal administrative and human resource purposes.
(P) "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.
(A) Develop 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.
(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 department, the department 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 department 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 an individual has been accessed by an employee for an invalid reason, the department shall notify within thirty days the person whose information was invalidly accessed. 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 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 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.
(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.
(D) Appointment of a data privacy point of contact. The director shall designate an employee of the department to serve as the data privacy point of contact (DPPOC). The DPPOC shall work with the chief privacy officer within the 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.
(E) Completion of a privacy impact assessment. The DPPOC shall complete a privacy threshold analysis (PTA) for existing data systems within sixty days of the effective date of this rule and prior to the activation of new data systems. If the PTA determines that a data system contains CPI, the DPPOC shall complete a privacy impact assessment (PIA) form developed by the office of information technology.
(F) The DPPOC shall audit access to CPI systems within sixty days of the effective date of this rule and every six-months thereafter. The audit shall review what systems contain CPI and verify that those systems are only accessible to employees who require or are entitled to access.
(G) It is the responsibility of management to implement and ensure compliance with the laws, rules, policies, and procedures applicable to CPI within their functional areas.
(1) Any department employee found to have violated this policy may be subject to disciplinary action, up to and including termination of employment.
(2) Employees required or entitled to access CPI are required to receive training.This training will be developed and conducted by the DPPOC and will include understanding Chapter 1347. of the Revised Code and rules adopted by the department pursuant to that section. Training for current employees must be completed within ninety days of the effective date of this rule and prior to any access to any CPI is granted for future employees.
(3) After training is completed, those employees required or entitled to access CPI will be given copies of the department's CPI policies and the relevant statutes and rules pertaining to CPI access. Upon receipt, those employees must sign an acknowledgment that they have received and understand those materials.
Performing the following functions constitute valid reasons for authorized employees of the department to access confidential personal information:
(A) Responding to a public records request;
(B) Responding to a request from an individual for the list of CPI the department maintains on that individual;
(C) Administering a constitutional provision or duty;
(D) Administering a statutory provision or duty;
(E) Administering an administrative rule provision or duty;
(F) Complying with any state or federal program requirements;
(G) Processing or payment of claims or otherwise administering a program with individual participants or beneficiaries;
(H) Auditing purposes;
(I) Licensure, permitting, or registration processes;
(J) Investigation or law enforcement purposes;
(K) Administrative hearings;
(L) Litigation, complying with an order of the court, or subpoena;
(M) Human resource matters (e.g., hiring, promotion, demotion, discharge, salary/compensation issues, leave requests/issues, time card approvals/issues);
(N) Complying with an executive order or policy;
(O) Complying with an department policy or a state administrative policy issued by the department of administrative services, the office of budget and management or other similar state department; or
(P) Complying with a collective bargaining agreement provision.
The following federal statutes or regulations or state statutes and administrative rules make personal information maintained by the department confidential and identify the confidential personal information within the scope of rules promulgated by this department in accordance with section 1347.15 of the Revised Code:
(A) Social security numbers: 5 U.S.C. 552a . , unless the individual was told that the number would be disclosed.
For personal information systems that are computer systems and contain confidential personal information, the department 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 department acquires a new computer system that stores, manages or contains confidential personal information, the department shall include a mechanism for recording specific access by employees of the department to confidential personal information in the system.
(C) Upgrading existing computer systems. When the department modifies an existing computer system that stores, manages or contains confidential personal information, the department 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 department to confidential personal information in the system.
(D) Logging requirements regarding confidential personal information in existing computer systems.
(1) The department shall require employees of the department 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 department is accessing confidential personal information for official department 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 department 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 department 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 department 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 department 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 department may choose the form or forms of logging, whether in electronic or paper formats.
(E) Log management. The department 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 department from requiring logging in any circumstance that it deems necessary.