Ohio Admin. Code 4725-13-01 - Personal information systems
(A) The Ohio state
board of optometry
vision professionals
board shall appoint one employee to be directly responsible for the
custody and security of each personal information system maintained by the
board. Said employee shall:
(1) Inform all
employees who have any responsibility for the operation or maintenance of said
system or the use of personal information maintained in the system, of the
applicable provisions of Chapter 1347. of the Revised Code and rules adopted
thereunder; and,
(2) Inform all persons requested to supply
personal information for a system whether or not he/she is legally required to
provide such information; and,
(3) Restrict the collection, maintenance and
use of personal information to only that which is necessary and relevant to
functions of the board as required or authorized by statute, ordinance, code or
rule; and,
(4) Provide a person, who is asked to supply
personal information that will be placed in an interconnected or combined
system, with information relevant to the system, including the identity of the
other agencies or organizations that have access to the information in the
system; and,
(5) Allow a person who is the subject of a
record in a personal information system to inspect the record pursuant to
section 1347.08 of the Revised Code.
Upon the request and verification that the person requesting access to the
record is the subject of information contained in the system, the employee
shall:
(a) Inform the person of any personal
information in the system of which he/ she is the subject;
(b) Permit the person, or his/her legal
guardian, or an attorney who presents a signed authorization made by the
person, to inspect all personal information in the system of which he/she is
the subject, except where prohibited by law;
(c) Inform the person of the uses made of the
personal information and identify other users who have access to the
system;
(d) Allow a person who
wishes to exercise his/her rights as provided by this rule to be accompanied by
one individual of his/her choice; and
(e) Provide, for a reasonable charge, copies
of any personal information the person is authorized to inspect.
(6) Investigate disputes
concerning the accuracy, relevance, timeliness or completeness of personal
information pursuant to section
1347.09 of the Revised Code and
paragraph (D) of this rule; and,
(7) Take all reasonable precautions to
protect personal information maintained by the state
board of optometry
Ohio vision professionals
board from unauthorized modification, destruction, use or disclosure.
(B) The
state board of optometry
Ohio vision professionals board shall reprimand
in writing any employee who initiates or otherwise contributes to any
disciplinary or other punitive action taken against another individual who
brings to the attention of appropriate authorities, the press, or a member of
the public, any evidence of unauthorized use of any material contained in the
personal information system. A copy of the reprimand shall be entered in the
employee's personal file.
(C) The
state board of optometry
Ohio vision professionals board shall monitor its
personal information system by:
(1)
Maintaining the personal information system with the accuracy, relevance,
timeliness, and completeness necessary to assure fairness in any determination
made by the board which is based on information contained in the system;
and,
(2) Eliminating unnecessary
information from the system.
(D) The state
board of optometry
Ohio vision professionals
board shall investigate upon request, the accuracy, relevance, timeliness
or completeness of personal information, which is disputed by the subject of a
record contained in the system, within ninety days after receipt of a request
from the disputant; and,
(1) Notify the
disputant of the results of the investigation and any action the board intends
to take with respect to the disputed information; and,
(2) Delete any information that the board
cannot verify or finds to be inaccurate; and,
(3) Permit the disputant, if he/she is not
satisfied with the determination made by the board to include within the
system:
(a) A brief statement of his/her
position on the disputed information, such statement being limited to one
hundred words with the board's executive secretary assisting the disputant to
write a clear summary of the dispute; or
(b) A notation that the disputant protests
that the information is inaccurate, irrelevant, outdated, or incomplete; with
the state board of optometry
Ohio vision professionals board maintaining a copy of
the disputant's statement of the dispute.
(E) The state
board of optometry
Ohio vision professionals
board shall not place personal information into an interconnected and
combined system, unless said system contributes to the efficiency of the
agencies or organizations authorized to use the system in implementing programs
which are required or authorized by law.
(F) The state
board of optometry
Ohio vision professionals
board shall not use personal information placed into an interconnected or
combined system by another state or local agency or an organization, unless the
personal information is necessary and relevant to the performance of a lawful
function of the board.
(G)
For the purposes of administrative rules promulgated
in accordance with section
1347.15 of the Revised Code, the
following definitions apply:
(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 the effective date of the board
rule addressing requirements in section
1347.15 of the Revised
Code;
(3)
"Board" means the Ohio vision professionals
board;
(4)
"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;
(5)
"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 board 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 board confidential;
(6)
"Employee of the
state board" means each employee of a state board regardless of whether he/she
holds an elected or appointed office or position within the state board.
"Employee of the state board" is limited to the specific employing state
board;
(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
common place, 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 the board's employees and maintained by
the board 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;
and
(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.
(H)
For personal information systems, whether manual or
computer systems, that contain confidential personal information, the board
shall do the following:
(1)
Criteria for accessing confidential personal
information. Personal information systems of the board are managed on a
"need-to-know" basis whereby the information owner determines the level of
access required for an employee of the board 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 board 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.
(I)
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 board shall do all of the following:
(1)
Verify the
identity of the individual by a method that provides safeguards commensurate
with the risk associated with the confidential personal
information;
(2)
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)
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.
(J)
Notice of
invalid access.
(1)
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, the board 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 board 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.
(a)
"Investigation" as used in the above 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.
(2)
Notification
provided by the board shall inform the person of the type of confidential
personal information accessed and the date(s) of the invalid
access.
(3)
Notification may be made by any method reasonably
designed to accurately inform the person of the invalid access, including
written, electronic, or telephone notice.
(K)
Appointment of a
data privacy point of contact. The board director shall designate an employee
of the board 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 board with both the implementation of
privacy protections for the confidential personal information that the board
maintains and compliance with section
1347.15 of the Revised Code and
rules adopted pursuant to the authority provided by that
chapter.
(L)
Completion of a privacy impact assessment. The Board
director shall designate an employee of the board 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.
(M)
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 (CPI) regardless of whether the
personal information system is a manual system or computer
system.
(N)
Performing the following functions constitute valid
reasons for authorized employees of the board 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 board 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
eligibility for examination processes;
(10)
Investigation
or law enforcement purposes;
(11)
Administrative
hearings;
(12)
Litigation, complying with an order of the court, or
subpoena;
(13)
Monitoring of disciplinary cases and/or impairment
program;
(14)
Human resource matters (e.g., hiring, promotion,
demotion, discharge, salary/ compensation issues, leave requests/issues, time
card approvals/issues);
(15)
Complying with an executive order or
policy;
(16)
Complying with a board 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
(17)
Complying with a collective bargaining agreement
provision.
(O)
The following federal statutes or regulations or state
statutes make personal information maintained by the board confidential and
identify the confidential personal information within the scope of rules
promulgated by this board in accordance with section
1347.15 of the Revised
Code:
(1)
Social security numbers:
5
U.S.C. 552 a, unless the individual was told
that the number would be disclosed;
(2)
"Bureau of
Criminal Investigation and Information" criminal records check results: section
4776.04 of the Revised
Code;
(3)
Medical records: Health Insurance Portability and
Accountability Act, Title II 45 CFR 160, 42 USC 1320;
(4)
Confidential
information obtained during an investigation. Division (C) of section
4725.23 of the Revised
Code;
(5)
The Family Education Right to Privacy Act (FERPA),
20
U.S.C. 1232 g; and
(6)
Ohio Public
Records Act. Section 149.43 of the Ohio Revised
Code.
(P)
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 confidential personal information
in the system; and
(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.
(Q)
Logging requirements regarding confidential personal information in existing
computer systems.
(1)
The agency shall require employees of the board who
access confidential personal information within computer systems to maintain a
log that records that access.
(2)
Access to
confidential information is not required to be entered into the log under the
following circumstances:
(a)
The employee of the board is accessing confidential
personal information for official board purposes, including research, and the
access is not specifically directed toward a specifically named individual or a
group of specifically named individuals;
(b)
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;
(c)
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;
or
(d)
The employee of the board accesses confidential
personal information about an individual based upon a request made under either
of the following circumstances:
(i)
The individual request confidential personal
information about himself/herself; or
(ii)
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.
(3)
For purposes of
this paragraph, the board may choose the form or forms of logging, whether in
electronic or paper formats.
(R)
Log management.
The board shall issue a policy that specifies the following:
(1)
Who shall
maintain the log;
(2)
What information shall be captured in the
log;
(3)
How the log is to be stored; and
(4)
How long
information kept in the log is to be retained.
(5)
Nothing in this
rule limits the board from requiring logging in any circumstance that it deems
necessary.
Notes
Promulgated Under: 119.03
Statutory Authority: 4725.09, 1347.15
Rule Amplifies: 1347.05, 1347.15
Prior Effective Dates: 06/27/1983
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