Ohio Administrative Code
Title 3737 - Petroleum Underground Storage Tank Release Compensation Board
Chapter 3737-1 - General Provisions
Section 3737-1-23 - Access and maintenance of confidential personal information
Universal Citation: OH Admin Code 3737-1-23
Current through all regulations passed and filed through September 16, 2024
For purposes of confidential personal information that is maintained by the board, the following definitions apply:
(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 this
rule addressing requirements in section
1347.15
of the Revised Code.
(3)
"Computer system" means hardware, software, and other
equipment that stores, maintains, or retrieves personal information using
electronic data processing.
(4)
"Confidential
personal information" has the same meaning as defined by division (A)(1) of
section
1347.15
of the Revised Code and identified by paragraph (D) of this
rule.
(5)
"Employee of the board" means each employee of the
board regardless of whether he/she holds an appointed office or position within
the board. "Employee of the board" is limited to the petroleum underground
storage tank release compensation board.
(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 contact" 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)
"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 of the
board and maintained by the board for internal administrative and human
resource purposes.
(15)
"System" has the same meaning as defined by division
(F) of section
1347.01
of the Revised Code.
(16)
"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) For personal information systems, whether manual or computer systems that contain confidential personal information, the following rules apply:
(1)
Criteria for accessing confidential personal information.
Employees of the board are authorized to access personal information systems
for valid reasons in accordance with paragraph (C)(1) of this rule to the
extent required to perform assigned job duties;
(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 board, the employee
responding to such request 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
(c)
If all information relates to an investigation about
that individual, inform the individual that the board 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 board shall notify the person whose information was
invalidly accessed as soon as practical and to the extent known at the time.
However, notification shall be delayed 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 board may delay the
notification consistent with any measures necessary to determine the scope of
the invalid access, including which individual's confidential personal
information invalidly was accessed, and to restore the reasonable integrity of
the system.
(b)
"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 board
determines that notification would not delay or impede an investigation, the
board shall disclose the access to confidential personal information made for
an invalid reason to the person.
(c)
Notification
shall inform the person of the type of confidential personal information
accessed and the date(s) of the invalid access.
(d)
Notification may
be made by any method reasonable 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
director shall designate an employee 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 with both the
implementation of privacy protections for the confidential personal information
that the board maintains as well as work to ensure compliance with section
1347.15
of the Revised Code and this rule.
(5)
Completion of a
privacy impact assessment. The director shall designate an employee 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) 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 board's exercise of its powers or duties, for which only employees of the board may access confidential personal information regardless of whether the personal information system is a manual system or computer system:
(1)
Performing the following functions constitutes valid reasons for authorized
employees of the board to access confidential personal information:
(a)
Responding to a
public records request;
(b)
Responding to a request from an individual for the
list of confidential personal information the board maintains regarding 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)
Investigation or
law enforcement purposes;
(j)
Administrative hearings;
(k)
Litigation,
complying with an order of the court, or subpoena;
(l)
Human resource
matters (e.g. hiring, promotion, demotion, discharge, salary/compensation
issues, leave requests/issues, time card approvals/issues);
(m)
Complying with
an executive order or policy; or
(n)
Complying with
an agency policy or state administrative policy issued by the department of
administrative services, the office of budget and management or other similar
agency.
(D) The following federal statutes or regulations or state statutes and administrative rules make personal information maintained by the board confidential and identify the confidential personal information within the scope of rules promulgated by the board in accordance with section 1347.15 of the Revised Code:
(1)
Social security numbers:
5 U.S.C. 552 a ., "State ex rel Beacon Journal
v. Akron (1994), 70 Ohio St. 3d 605.", unless the individual was told that the
number would be disclosed.
(2)
Records exempt
from disclosure under the Ohio Public Records Act: Chapter 149. of the Revised
Code.
(E) For personal information systems that are computer systems and contain confidential personal information, the board 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 board
acquires a new computer system that stores, manages or contains confidential
personal information, the board shall include a mechanism for recording
specific access by employees of the board to the system.
(3)
Upgrading
existing computer systems. When the board modifies an existing computer system
that stores, manages or contains confidential personal information, the board
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 board to confidential personal information in the
system.
(4)
Logging requirements regarding confidential personal
information in existing manual and computer systems.
(a)
The board shall
require employees of the board who access confidential personal information
within the computer system 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 board is accessing confidential personal information for official authority
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 board 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 board 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 board accesses confidential
personal information to the extent necessary to perform assigned job duties and
the access is for a valid reason as defined in paragraph (C)(1) of this
rule.
(v)
The employee of the board 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 board 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 director may choose the form or forms of logging, whether
in electronic or paper formats.
(F) Log management. The director or designee shall maintain an electronic or paper log that records access to confidential personal information on existing computer systems for any reason not specified in paragraph (D)(4)(b) of this rule. The director shall issue a policy that specifies the following:
(1)
What information
shall be captured in the log;
(2)
How the log is
to be stored; and
(3)
How long information kept in the log is to be
retained.
Effective:
1/1/2015
Five Year
Review (FYR) Dates: 07/31/2019
Promulgated Under:
119.03
Statutory Authority:
3737.90
Rule Amplifies:
1347.15
Disclaimer: These regulations may not be the most recent version. Ohio may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
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