Ohio Admin. Code 164-1-39 - Privacy policy
(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
person's 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 employee's 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 commission 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 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
individual's 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 commission's 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 employee's 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, time
card 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).
(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 health care organizations of the integrated behavioral health care
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 individual's
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.
Notes
Promulgated Under: 119.03
Statutory Authority: 119, 164.05.
Rule Amplifies: 1347.05
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