Current through all regulations passed and filed through September 16, 2024
The treasurer of state herein
establishes a rule for the protection of confidential personal information. The
treasurer of state systems maintained in the regular course of business that
contain personal information that is confidential in nature will be accessed in
accordance with this rule established pursuant to division (B) of section
1347.15 of the Revised
Code.
(A)
Definitions.
(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 the
treasurer of state rule addressing requirements in section
1347.15 of the Revised
Code.
(3)
"Computer system" means a "system," as defined by
division (F) of 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 treasurer of state 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 treasurer of state confidential.
(5)
"Incidental contact" means contact with the information that is secondary or
tangential to the primary purpose of the activity that resulted in the
contact.
(6)
"Individual" means a natural person or the natural
person's authorized representative, legal counsel, legal custodian, or legal
guardian.
(7)
"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.
(8)
"Person" means a
natural person.
(9)
"Personal information" has the same meaning as defined
in division (E) of section
1347.01 of the Revised
Code.
(10)
"Personal information system" means a "system" that
"maintains" "personal information" as those terms are defined in division (E)
of section 1347.01 of the Revised Code.
"System" includes manual and computer systems.
(11)
"Research"
means a methodical investigation into a subject.
(12)
"Routine" means
commonplace, regular, habitual, or ordinary.
(13)
"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
treasurer of state for internal administrative and human resource
purposes.
(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)
Procedures for accessing CPI.
For personal information systems,
whether manual or computer systems that contain confidential personal
information, the treasurer of state shall do the following:
(1)
Criteria for
accessing CPI. Personal information systems of the treasurer of state are
managed on a "need-to-know" basis whereby the information owner determines the
level of access required for an employee of the treasurer of state 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 treasurer of state 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 CPI. Upon the signed written request of any individual
for a list of personal information about the individual maintained by the
treasurer of state, the treasurer of state shall do 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
(c)
If
all information relates to an investigation about that individual, inform the
individual that the treasurer of state 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 CPI of a person has been accessed by an employee for an
invalid reason, the treasurer of state shall notify the person whose
information was invalidly accessed as soon as practical and to the extent known
at the time. However, the treasurer of state 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 treasurer of state 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 CPI. Once the treasurer of state
determines that notification would not delay or impede an investigation, the
treasurer of state shall disclose the access to the CPI made for an invalid
reason to the person.
(b)
Notification
provided by the treasurer of state shall inform the person of the type of CPI
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 of a data privacy point of contact.
The treasurer of state shall designate
an employee of the treasurer 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 treasurer of
state with both the implementation of privacy protections for the confidential
personal information that the treasurer of state maintains and is compliant
with section 1347.15 of the Revised Code and
the rules adopted pursuant to the authority provided by that chapter.
(5)
Completion of a privacy impact assessment.
The treasurer of state shall designate
an employee of the office of the treasurer of state to serve as the data
privacy point of contact who shall timely complete the privacy impact
assessment form developed by the office of information technology.
(C)
Valid reasons for accessing confidential personal
information.
Performing the following functions
constitute valid reasons for authorized employees of the treasurer 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 CPI the treasurer of state 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 resources
matters (e.g., hiring promotion, demotion, discharge, salary/compensation
issues, leave requests, time card approvals);
(14)
Complying with
an executive order or policy;
(15)
Complying with
a policy of the treasurer of state 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)
Confidentiality
statutes.
The following federal statutes or
regulations or state statutes and administrative rules make personal
information maintained by the agency confidential and identify the confidential
personal information within the scope of rules promulgated by the treasurer of
state in accordance with section
1347.15 of the Revised
Code.
(1)
Social security numbers:
5 U.S.C. section
552a, unless the individual was told that the
number would be disclosed;
(2)
Criminal records
check results: section
113.041 of the Revised
Code;
(3)
Medical information: The Americans with Disabilities
Act,
42 U.S.C. Section
12112(d);
(4)
Medical
information: The Family Medical Leave Act,
29 U.S.C. Section
2601.
(5)
Records exempt
from disclosure under the Ohio Public Records Act: Chapter 149. of the Revised
Code.
(E)
Restricting and logging access to CPI in computerized
personal information systems.
For personal information systems that
are computer systems and contain confidential personal information, the
treasurer of state 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 treasurer of state acquires a
new computer system that stores, manages or contains confidential personal
information, the treasurer of state shall include a mechanism for recording
specific access by employees of the treasurer of state to confidential personal
information in the system.
(3)
Upgrading
existing computer systems. When the treasurer of state modifies an existing
computer system that stores, manages or contains confidential personal
information, the treasurer 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 treasurer
of state to confidential personal information in the system.
(4)
Logging
requirements regarding confidential personal information in existing computer
systems.
(a)
The treasurer of state shall require employees of the treasurer of state who
access confidential personal information within 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 employee of the treasurer of state is accessing
confidential personal information for official treasurer of state 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 treasurer 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 treasurer 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 treasurer 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 himself/herself.
(b)
The individual makes a request that the treasurer 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 treasurer of state may choose the form or forms of logging,
whether in electronic or paper formats.
(F)
Log
management.
(1)
The treasurer 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 treasurer of state
from requiring logging in under any circumstance that it deems necessary.
Five Year Review (FYR) Dates:
11/30/2015 and
11/30/2020
Promulgated
Under: 119.03
Statutory Authority: 1347.15
Rule
Amplifies: 1347.15
Prior Effective Dates:
12/15/2010
