Ohio Administrative Code 5501 — Department of Transportation

Chapter 5501-2 Business Plan

Ohio Adm.Code 5501-2-02 Disciplinary appeals.

(A) An employee in the career professional service may appeal a demotion or a suspension of more than three days only as provided in this rule.

Parties to the appeal shall be the employee, acting as appellant, and a management representative, acting as appellee.

(B) The employee may appeal if, within ten days after being notified in writing that the demotion or suspension will be imposed, the employee submits a written request for an appeal to the deputy director having supervision over that employee or the deputy director's designee. An employee who does not submit a timely written request for an appeal waives any right to an appeal.

Upon timely submission of a written request for an appeal, the employee shall have a right to a hearing before the director or the director's designee, who shall act as the hearing officer. No person shall act as hearing officer who also participated in the employee's predisciplinary hearing on the demotion or suspension being appealed.

(C) The hearing officer shall schedule a hearing within fifteen days, but not earlier than seven days, of the date employee submits the written request for an appeal. Immediately upon scheduling the hearing, the hearing officer shall send written notice to the parties of the date, time and place of the hearing.

Each party, upon request, shall receive one continuance of up to three days. The hearing officer may grant further continuances within the hearing officer's discretion.

Each party, not less than five days prior to the date of the hearing, shall submit to the hearing officer and the other party a list of witnesses the party expects to call. The hearing officer has the right to limit witnesses on the basis of redundancy and relevance.

(D) Prior to calling the hearing to order, the hearing officer shall inform the employee that the employee is permitted to have counsel present. The hearing officer then shall call the hearing to order, make introductions, and distribute a sign-in sheet. If the employee is accompanied by counsel, the hearing officer shall inform the employee that counsel's participation is limited to protecting the rights of the employee when the employee is called as a witness, but that counsel shall not examine or cross examine any witnesses, including the employee.

(1) The hearing officer shall review the following:

(a) The purpose of the hearing;

(b) The charges giving rise to the demotion or suspension;

(c) Documentation supporting the demotion or suspension.

(2) The hearing officer may administer oaths or affirmations to any person called as a witness.

(3) The hearing officer may ask questions of the employee, the management representative and the witnesses.

(4) Each party, with the permission of the hearing officer and at the hearing officer's discretion, may do the following:

(a) Present evidence, statements and witnesses in support of that party's position;

(b) Ask questions of the witnesses;

(c) Comment on, refute or rebut the testimony of the witnesses and any other evidence submitted.

(5) The hearing officer may refuse to permit a party to call a witness not named on that party's witness list submitted under paragraph (C) of this rule.

(E) After considering the evidence presented by the parties, the hearing officer shall grant, grant in modified form, or deny the relief requested by the employee. The hearing officer shall deny the relief requested by the employee unless the hearing officer finds, by clear and convincing evidence, that the suspension or demotion was not justified.

The hearing officer shall, within fifteen days after the date of the hearing, send the director of transportation a written report of the decision. The report shall set forth the reasons for the decision.

The director shall issue an order approving, modifying, or disapproving the hearing officer's decision. If the director modifies or disapproves the hearing officer's decision, the order shall state the reasons therefore.

An order issued by the director under this rule cannot be appealed in any forum.

(F) Each party is obligated to furnish its own witnesses or other evidence for the hearing. The hearing officer has no subpoena authority. The hearing officer, in making a final decision, may take into consideration the absence of witnesses or other evidence.

Each party shall bear the expense of its own witnesses who are not employees of the department of transportation. Each party shall bear the expense of providing its own documents or other evidence.

For purposes of conducting the hearing, the director of transportation shall make reasonably available any employee of the department of transportation, including the appellant, during regular working hours and shall bear the expense. The cost of the hearing officer and any meeting space shall be paid by the department of transportation.

(G) The hearing shall not be recorded nor a transcript taken.

An employee may submit the written request for an appeal under paragraph (A) of this rule personally to the deputy director or the deputy director's designee, who shall sign and date stamp it with the date of submission. When different work locations are involved, or if the employee elects not to submit the request in person, the employee may send the written request to the deputy director or the deputy director's designee by regular U.S. mail.

The request for an appeal shall be submitted on a form supplied by the employer. Forms shall be made available through the employee's human resources department.

Any notice required to be sent by a hearing officer, and any order required to be issued by the director of transportation, may be delivered in person or sent by regular U.S. mail.

Any request, witness list, or other document submitted by a party is timely if postmarked within the time period designated for its submission.

Last updated April 21, 2026 at 7:25 AM

History

• Effective: April 18, 2026
• Promulgated Under: 111.15

Ohio Adm.Code 5501-2-03 Career professional service classification.

Positions within the Ohio department of transportation, which are listed in the attached appendix to this rule are to be included in the career professional service classification created under section 5501.20 of the Revised Code.

View Appendix

Last updated February 2, 2023 at 8:20 AM

History

• Effective: February 2, 2023
• Promulgated Under: 111.15

Chapter 5501-4 Accessing Confidential Personal Information

Ohio Adm.Code 5501-4-01 Confidential personal information.

For purposes of administrative rules promulgated in accordance with section 1347.15 of the Revised Code, the following definitions apply:

(A) "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.

(B) "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 department rule addressing requirements in section 1347.15 of the Revised Code.

(C) "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.

(D) "Confidential personal information" (CPI) has the meaning as defined in division (A)(1) of section 1347.15 of the Revised Code and identified by rules promulgated by the department 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 department confidential.

(E) "Department" means the Ohio department of transportation unless otherwise identified.

(F) "Employee of the department" means each employee of the department regardless of whether he/she holds an elected or appointed office or position within the department. "Employee of the department" is limited to the department of transportation as the employer.

(G) "Incidental contact" means contact with the information that is secondary or tangential to the primary purpose of the activity that resulted in the contact.

(H) "Individual" means a natural person or the natural person's authorized representative, legal counsel, or legal guardian.

(I) "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.

(J) "Person" means a natural person.

(K) "Personal information" has the same meaning as defined in division (E) of section 1347.01 of the Revised Code.

(L) "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.

(M) "Research" means a methodical investigation into a subject.

(N) "Routine" means commonplace, regular, habitual, or ordinary.

(O) "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.

(P) "System" has the same meaning as defined by division (F) of section 1347.01 of the Revised Code.

(Q) "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.

Last updated March 24, 2023 at 12:58 PM

History

• Effective: December 7, 2017
• Promulgated Under: 119.03

Ohio Adm.Code 5501-4-02 Procedures for accessing confidential personal information.

For personal information systems, whether manual or computer systems, that contain confidential personal information, the department shall do the following:

(A) Criteria for accessing confidential personal information. Personal information systems of the department are managed on a "need-to-know" basis whereby the information owner determines the level of access required for an employee of the department 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 department 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.

(B) 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 department, the department 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 department has no confidential personal information about the individual that is responsive to the individual's request.

(C) 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 department shall notify the person whose information was invalidly accessed as soon as practical and to the extent known at the time. However, the department 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 department may delay notification consistent with any measures necessary to determine the scope of 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 confidential personal information. Once the department determines that notification would not delay or impede an investigation, the department shall disclose the access to confidential information made for an invalid reason to the person.

(2) Notification provided by the department 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.

(D) Appointment of a data privacy point of contact. The director for the department shall designate an employee of the department 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 department with both the implementation of privacy protections for the confidential personal information that the department maintains and compliance with section 1347.15 of the Revised Code and the rules adopted pursuant to the authority provided by that chapter.

(E) Completion of a privacy impact assessment. The director for the department shall designate an employee of the department 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.

Last updated March 24, 2023 at 12:58 PM

History

• Effective: December 7, 2017
• Promulgated Under: 119.03

Ohio Adm.Code 5501-4-03 Valid reasons for accessing confidential personal information.

(A) Pursuant to the requirement of division (B)(2) of section 1347.15 of the Revised Code, this rule contains a list of valid reasons, directly related to the department's exercise of its powers or duties, for which only employees of the department may access confidential personal information (CPI) regardless of whether the personal information system is a manual system or computer system:

(B) Performing the following functions constitute valid reasons for authorized employees of the department 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 that the department 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) Permit, certification, eligibility, registration, or filing 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 department 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.

Last updated March 24, 2023 at 12:58 PM

History

• Effective: December 7, 2017
• Promulgated Under: 119.03

Ohio Adm.Code 5501-4-04 Confidentiality statutes.

The following federal statutes or regulations or state statutes and administrative rules make personal information maintained by the department confidential and identify the confidential personal information within the scope of rules promulgated by the department in accordance with section 1347.15 of the Revised Code.

(A) Social security numbers: 5 U.S.C. 552a, unless the individual was told that the number would be disclosed.

(B) Certification information: 49 C.F.R. 26.109, personal information submitted in relation to qualification as a possible disadvantaged business enterprise.

(C) Medical records: division (A)(1)(a) of section 149.43 of the Revised Code, any documents and/or information relating to hospitalization, treatment or diagnosis generated from medical treatment.

(D) Investigation reports: section 5501.55 of the Revised Code, personal information related to the investigations of accidents involving rail fixed guideway systems.

(E) Bidding information: section 5525.04 of the Revised Code, information related to bidder qualification.

(F) Trial preparation records: division (A)(1)(g) of section 149.43 of the Revised Code, any record that contains information that is specifically compiled in reasonable anticipation of, or in defense of, a civil or criminal action or proceeding, including the independent thought processes and personal trial preparation of an attorney.

(G) Confidential law enforcement investigatory records: division (A)(1)(h) of section 149.43 of the Revised Code, any record pertaining to a law enforcement matter of a criminal, quasi-criminal, civil, or administrative nature, but only to the extent that the release of the record would create a high probability of disclosure of personal identifying information.

Last updated March 24, 2023 at 12:58 PM

History

• Effective: December 7, 2017
• Promulgated Under: 119.03

Ohio Adm.Code 5501-4-05 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 department shall do the following:

(A) Access restrictions. Access to confidential personal information that is kept electronically shall require a password or other authentication measure.

(B) Acquisition of a new computer system. When the department acquires a new computer system that stores, manages or contains confidential personal information, the department shall include a mechanism for recording specific access by employees of the department to confidential personal information in the system.

(C) Upgrading existing computer systems. When the department modifies an existing computer system that stores, manages or contains confidential personal information, the department 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 department to confidential personal information in the system.

(D) Logging requirements regarding confidential personal information in existing computer systems.

(1) The department shall require employees of the department 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 department is accessing confidential personal information for official department 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 agency 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 department 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.

(d) The employee of the department accesses confidential personal information about an individual based upon a request made under either of the following circumstances:

(i) The individual requests confidential personal information about herself/himself.

(ii) The individual makes a request that the department 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 department may choose the form or forms of logging, whether in electronic or paper formats.

(E) Log management. The department 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.

Nothing in this rule limits the department from requiring logging in any circumstance that it deems necessary.

Last updated March 24, 2023 at 12:58 PM

History

• Effective: December 7, 2017
• Promulgated Under: 119.03