Ohio Administrative Code
Title 111 - Secretary of State
Chapter 111-1 - Political Campaign Finances and Committees; Reporting Requirements
Section 111-1-02 - Confidential personal information
Universal Citation: OH Admin Code 111-1-02
Current through all regulations passed and filed through September 16, 2024
(A) As used in this rule:
(1) "Access" as a noun means an instance of
copying, viewing, conveying, or otherwise perceiving, whereas "access" as a
verb means to copy, view, convey, transfer 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
currently in place
.
(3) "Computer system" means a "system," as
defined by section
1347.01
of the Revised Code, that stores, maintains, processes 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 .
(5) "Employee of the secretary of state"
means each employee of the secretary of state regardless of whether he/she
holds an elected or appointed office or position within the 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 or
the natural person's authorized representative, legal counsel, legal custodian,
or legal guardian.
(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 defined 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 manual and computer systems.
(12) "Research" means a methodical
investigation into a subject.
(13)
"Routine" means commonplace, regular, habitual, or ordinary.
(14) "System" has the
same meaning as defined by division (F) of section
1347.01
of the Revised Code.
(15) "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)
(1)
For each personal information system, the information owner shall determine the level of access required for an employee of the secretary of state to fulfill their job duties, consistent with paragraph (C) of this rule. Prior to providing an employee with access to confidential personal information within a personal information system, both the information owner and the employee's supervisor shall grant approval. The information owner shall revise an employee's access to confidential personal information upon a change to that employee's job duties if appropriate. Whenever an employee's job duties no longer require access to confidential personal information in a personal information system, the information owner shall remove the employee's access to confidential personal information .
(2)
Upon the signed written request of any individual for a list of confidential personal information about the individual maintained by the agency, the agency 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
the confidential personal information;
(b) 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)
(a) Upon discovery or
notification that confidential personal information has been accessed by an employee for an
invalid reason, the secretary of state shall determine
whether it is necessary to delay notification to either person whose
information was invalidly accessed for any of the following
reasons:
(i)
To ensure that the notification would not delay or impede an
investigation or jeopardize homeland or national security. "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.
(ii)
To take any measures necessary to determine the scope
of the invalid access, including which individuals' confidential information
invalidly was accessed, and to restore the reasonable integrity of the
system.
(b)
The secretary of state shall notify the person whose
information was invalidly accessed as soon as practical and to the extent known
at the time.
(c)
The secretary of state shall inform the person of the
type of confidential personal information accessed and the
date or
dates of the invalid access.
(d) Notification may be
made by using any method reasonably designed to
accurately inform the person of the invalid access, including written,
electronic, or telephone notice.
(4)
The secretary of state director shall designate an employee of the secretary of state 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 secretary of state with both the implementation of privacy protections for the confidential personal information that the secretary of state maintains and compliance with section 1347.15 of the Revised Code and the rules adopted thereunder.
(5)
The data privacy point of contact
shall complete the privacy impact
assessment form developed by the office of information
technology.
(C) Performing any of the following functions constitutes a valid reason for authorized employees of the secretary of state 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 agency 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 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; or
(16) Complying
with a collective bargaining agreement provision.
(D)
The following federal statutes or regulations or state statutes and administrative rules make personal information maintained by the secretary of state confidential :
(1)
The Privacy Act of 1974,
Pub. L. No. 93-579, 88 Stat.1896 (
5 U.S.C.
552a
).
(2)
The Driver's Privacy Protection Act,
18
U.S.C. 2721 et seq.
(3)
Section
4776.04
of the Revised Code.
(4)
The Ohio Public Records Act: Chapter
149 of the Revised Code.
(5)
Section
1306.23
of the Revised Code.
(E)
(1) Access
restrictions. Access to confidential personal information that is kept
electronically shall require a password or other authentication
measure.
(2)
When
the secretary of state acquires a new computer system that stores, manages or
contains confidential personal information, the secretary of state shall
include a mechanism for recording specific access by employees of the secretary
of state to confidential personal information in the system.
(3)
When the secretary of state modifies an
existing computer system that stores, manages or contains confidential personal
information, the secretary of state 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 secretary
of state to confidential personal information in the system.
(4)
(a)
The
secretary of state shall require employees of the secretary of state who
access confidential personal information
within existing computer systems to
maintain a log that
records that access except under the following circumstances:
(i) The employee of the secretary of state is
accessing confidential personal information for official secretary of
state-related purposes, including research, and the access is not specifically
directed toward a specifically named individual or a group of specifically
named individuals.
(ii) The
employee of the secretary of state 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
employee of the secretary of state 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 secretary of state
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 theirself.
(b) The individual makes a request that the
secretary of state takes some action on that individual's behalf and accessing
the confidential personal information is required in order to consider or
process that request.
(c) For
purposes of this paragraph, the secretary of state may choose the form or forms
of logging, whether in electronic or paper formats.
(F)
(1) The secretary of state 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.
(2) Nothing in this rule limits the agency
from requiring logging in any circumstance that it deems
necessary.
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