(A) The purpose of this rule is to
establish the requirements for regulating access to confidential personal
information that is maintained by the commission.
(B) For the purposes of administrative
rules promulgated in accordance with section 1347.15 of the Revised Code, the
following definitions apply:
(1) "Access"
when used in this rule as a noun means an instance of copying, viewing, or
otherwise perceiving. Access when used in this rule 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 the commission rule addressing requirements in section
1347.15 of the Revised Code.
(3) "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.
(4) "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 commission 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 commission confidential.
(5) "Commission" means the Ohio public works
commission.
(6) "Employee" means each commission employee
regardless of whether the employee holds an elected or appointed office or
position within the commission.
(7) "Incidental
contact" means contact with the information that is secondary or
tangential to the primary purpose of the activity that resulted in the contact.
(8) "Individual" means a natural person or the
natural persons authorized representative, legal counsel, legal
custodian, or legal guardian.
(9) "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.
(10) "Person"
means a natural person.
(11) "Personal
information" has the same meaning as defined in division (E) of section
1347.01 of the Revised Code.
(12) "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.
(13) "Research" means a methodical investigation
into a subject.
(14) "Routine" means commonplace, regular,
habitual, or ordinary.
(15) "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 agency
for internal administrative and human resource purposes.
(16) "System"
has the same meaning as defined by division (F) of section 1347.01 of the
Revised Code.
(17) "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.
(C) Procedures for accessing confidential
personal information for personal information systems, whether manual or
computer systems.
(1) Personal information
systems of the commission are managed on a need-to-know basis whereby the
information owner determines the level of access required for a commission
employee to fulfill the employees job duties. The determination of
access to confidential personal information shall be approved by the
employees supervisor and the information owner prior to providing the
employee with access to confidential personal information within a personal
information system. The commission shall establish procedures for determining a
revision to an employees access to confidential personal information
upon a change to that employees job duties including, but not limited
to, transfer or termination. Whenever an employees job duties no longer
require access to confidential personal information in a personal information
system, the employees access to confidential personal information shall
be removed.
(2) Individuals
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 commission, the commission shall do all the following:
(a) Verify the identity of the individual by a method that
provides safeguards commensurate with the risk associated with the confidential
personal information;
(b) Provide the individual with 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
(c) If all information relates to an investigation about
that individual, inform the individual that the commission has no confidential
personal information about the individual that is responsive to the
individuals request.
(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 commission shall notify the person whose information was
invalidly accessed as soon as practical and to the extent known at the time.
However, the commission shall delay notification for a period necessary to
ensure that the notification would not delay or impede an investigation or
jeopardize homeland or national security. Additionally, the commission 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 confidential personal information.
Once the commission determines that notification would not delay or impede an
investigation, the commission shall disclose the access to confidential
personal information made for an invalid reason to the person.
(b) Notification provided by the commission shall inform
the person of the type of confidential personal information accessed and the
date(s) of the invalid access.
(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 and
duties of a data privacy point of contact.
(a) The director of the commission shall designate an
employee of the commission to serve as the data privacy point of contact.
(b) The data privacy point of contact shall work with the
chief privacy officer within the Ohio commission of administrative services
office of information technology to assist the commission with both the
implementation of privacy protections for the confidential personal information
that the commission maintains and compliance with section 1347.15 of the
Revised Code and the rules adopted thereunder.
(c) The data privacy point of contact shall ensure the
timely completion of the "privacy impact assessment form" developed
by the Ohio commission of administrative services office of information
technology.
(D) 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 commissions exercise of its powers or
duties, for which only employees of the commission may access confidential
personal information regardless of whether the personal information system is a
manual system or computer system.
Performing the following functions, as part of
the employees assigned duties on behalf of the commission, constitute
valid reasons for authorized employees of the commission to access confidential
personal information:
(1) Responding to a
public records request;
(2) Responding to a
request from an individual for the list of confidential personal information
the commission 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
certification 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, timecard approvals/issues);
(14) Complying with an
executive order or policy;
(15) Complying with a
commission policy or a state administrative policy issued by the Ohio
commission 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 commission specific programs in so far as allowed by statute.
(E) The following federal statutes or
regulations or state statutes and administrative rules make personal
information maintained by the commission confidential and identify the
confidential personal information within the scope of rules promulgated by this
commission in accordance with section 1347.15 of the Revised Code:
(1) 5 U.S.C. 552a.
(social security numbers).
(2) 42 U.S.C. 1320d and
45 C.F.R. parts 160 and 164 (protected health information under the Health
Insurance Portability and Accountability Act).
(3) 42 U.S.C. 9501 and 42
U.S.C. 10841 (patient records).
(4) 42 C.F.R. 482.13
(patient records).
(5) 42 C.F.R. Part 2
(confidentiality of alcohol and drug abuse patient records).
(6) 42 U.S.C. 1396a(a)
(medicaid records).
(7) Sections 5119.27 and
5119.28 of the Revised Code (confidentiality of records).
(8) Sections 2305.24,
2305.25, 2305.251, 2305.252, 2305.253 and 5122.32 of the Revised Code (quality
assurance and peer review records).
(9) Section 5122.31 of
the Revised Code (patient certificates, applications, records, and reports).
(10) Section 5122.311 of
the Revised Code (notification of bureau of criminal identification and
investigation of adjudication of mental illness).
(11) Paragraph (I) of
rule 5122-1-31 of the Administrative Code (voter registration of consumers and
absentee voting assistance in behavioral healthcare organizations of the
integrated behavioral healthcare system).
(12) Paragraph (D)(3) of
rule 5122-2-25 of the Administrative Code (morbidity and mortality
events).
(13) Paragraph (D)(4)(e)
of rule 5122-3-13 of the Administrative Code (incident reports).
(F) 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 commission
shall do the following:
(1) Access restrictions.
Access to confidential personal information
that is kept electronically shall require a password or other authentication
measure.
(2) Acquisition of a new
computer system.
When the commission acquires a new computer
system that stores, manages or contains confidential personal information, the
commission shall include a mechanism for recording specific access by employees
of the commission to confidential personal information in the system.
(3) Upgrading existing
computer systems.
When the commission modifies an existing
computer system that stores, manages or contains confidential personal
information, the commission 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 commission employees to confidential
personal information in the system.
(4) Logging requirements
regarding confidential personal information in existing commission computer
systems.
(a) The commission shall require commission employees who
access confidential personal information within computer systems to maintain a
log that records their access.
(b) Access to confidential information is not required to
be entered into the log under the following circumstances:
(i) The commission
employee is accessing confidential personal information for official commission
purposes, including research, and the access is not specifically directed
toward a specifically named individual or a group of specifically named
individuals.
(ii) The commission
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 commission
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 commission
employee 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/herself
(b) The individual makes
a request that the commission takes some action on that individuals
behalf and accessing the confidential personal information is required in order
to consider or process that request
(v) For purposes of this
paragraph, the commission may choose the form or forms of logging, whether in
electronic or paper formats.
(5) Log management.
The commission shall issue a policy that
specifies the following:
(a) Who shall maintain the log;
(b) What information shall be captured in the log;
(c) How the log is to be stored; and
(d) How long information kept in the log is to be retained.
(6) Nothing in this rule
limits the commission from requiring logging in any circumstance that it deems
necessary.
