This website publishes administrative rules on their effective dates, as designated by the adopting state agencies, colleges, and
universities.
| Rule |
Rule 3772-2-01 | Organization.
Effective:
August 2, 2021
(A) The commission consists of seven members appointed by the governor with the advice and consent of the senate, an executive director, and staff. (B) The officers of the commission include a chairperson and a vice-chairperson who are members of the commission, and an executive director who is not a member of the commission. (1) The chairperson schedules and presides at all meetings of the commission; appoints the members of the commission to such committees as the commission may, from time to time, establish; has the authority to accept for filing all license applications; has the authority to incur on behalf of the commission such expenses as the commission has approved in its operating budget; has general supervision, direction, and control of the affairs of the commission; and performs such other duties as are incidental to the office and as may be assigned, from time to time, by the commission. (2) The vice-chairperson is a member of the commission from a different party than the chairperson and is selected by the commission members at a meeting held under section 3772.02 of the Revised Code. The vice-chairperson possesses such powers and performs such duties as may be assigned, from time to time, by the commission. In the absence or inability of the chairperson to serve or in the event of a vacancy in the office of chairperson, the vice-chairperson is empowered to carry out all of the responsibilities of the chairperson. (3) The executive director is appointed by the commission and serves at its pleasure. The executive director is responsible for keeping all commission records and supervising and administering all industries under the agency's purview in accordance with the Revised Code and commission rules adopted thereunder.
Last updated August 2, 2021 at 10:30 AM
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Rule 3772-2-02 | Commission procedure.
Effective:
August 2, 2021
(A) Except as established by the Revised Code, the commission determines its practices and internal rules of procedure. (B) In the absence of contrary action by the commission, the most current version of Roberts Rules of Order Newly Revised will apply unless in conflict with the Revised Code.
Last updated August 2, 2021 at 10:31 AM
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Rule 3772-2-03 | Commission meetings.
Effective:
August 2, 2021
(A) All meetings held under section 3772.02 of the Revised Code are open to the public in accordance with Ohios Open Meetings Act, except as otherwise allowed by law. (B) Any commission member may place an item on the agenda for consideration at a meeting held under section 3772.02 of the Revised Code. (C) At any meeting held under section 3772.02 of the Revised Code, the presence of five members of the commission constitutes a quorum for the transaction of official business. (D) Any action may be effected at a meeting held under section 3772.02 of the Revised Code upon a motion that is considered by the attending members and passed with not fewer than four affirmative votes. (E) Matters that are acted upon during a meeting held under section 3772.02 of the Revised Code will be memorialized in the form of a resolution or placed in the official minutes of the meeting, both of which are subject to approval of the attending members, and will be maintained by the executive director in accordance with Ohio's Public Records Act.
Last updated August 2, 2021 at 10:31 AM
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Rule 3772-2-04 | Requests to address the commission.
Effective:
August 2, 2021
(A) Unless otherwise authorized by the executive director, any person who wishes to address the commission members at a meeting held under section 3772.02 of the Revised Code must submit a written request to the executive director at least five business days before the scheduled meeting. (B) The written request must contain, at a minimum, the following information: (1) The name of the person wishing to address the members; (2) The person's representative, if applicable; (3) The issue about which the person wishes to address the members; (4) The amount of time the person requests; (5) The mailing and electronic mail addresses and telephone number at which the person may be reached. (C) The person requesting an allotment of time must submit to the executive director at least three business days before the meeting any documentation supporting the person's position and that the person wants the members to review. The executive director may require the person to supplement the written request, submit additional supporting documentation, or provide copies of any of the materials for distribution to the members. (D) The executive director may deny any request if the person fails to comply with paragraph (A), (B), or (C) of this rule. (E) The executive director will notify the requesting person once a decision has been made regarding whether the request is granted or denied. (F) If the executive director denies a person's request, the members will be informed of the request and the denial and will receive any written information submitted by the person to the commission. (G) The executive director may waive the time requirements set forth in paragraphs (A) and (C) of this rule if one of the following circumstances exists: (1) The executive director determines that the issue the person will discuss is of such import that it is in the best interest of the public to waive the time requirements; or (2) The timing of the announcement date of the meeting makes it impossible for the person requesting to meet the time requirements. (H) The chairperson may impose such procedural and subject matter restrictions as deemed appropriate.
Last updated August 2, 2021 at 10:31 AM
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Rule 3772-2-05 | Delegation of commission authority.
Effective:
August 2, 2021
(A) The commission members may, in their discretion and where permitted by law, delegate the authority to perform any of the agencys functions. Except as provided in paragraph (D) of this rule, such action will for all purposes be deemed the final action of the commission, without approval, ratification or other further action by the members. (B) Any delegation of authority will be effected through formal action at a meeting held under section 3772.02 of the Revised Code. Such action must be memorialized in the manner described in paragraph (E) of rule 3772-2-03 of the Administrative Code. (C) All delegations of authority made pursuant to this rule will remain in effect indefinitely, unless otherwise specified. Any delegation of authority previously approved may be revoked or modified through subsequent member action at a meeting held under section 3772.02 of the Revised Code. (D) Any determination made pursuant to delegated authority may be reviewed by the members. Any such determination is deemed final unless modified or reversed by member action at a meeting held under section 3772.02 of the Revised Code. (E) Notwithstanding any other provision of this rule, any matter that has been delegated may alternatively be presented to and determined by the members on their own motion, at the discretion of the chairperson, or upon the request of the executive director.
Last updated August 2, 2021 at 10:31 AM
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Rule 3772-2-06 | Subpoena power.
Effective:
August 2, 2021
(A) In the discharge of any duties imposed by the Revised Code, the commission may require that testimony be given under oath and administer such oath, issue subpoenas compelling the attendance of witnesses and the production of any papers, books, and accounts, and cause the deposition of any witness. (B) In the event of the refusal of any person without good cause to comply with the terms of a subpoena issued by the commission or the refusal to testify on matters about which the person may lawfully be questioned: (1) The commission may petition the prosecuting attorney of the county in which such person resides to bring a proceeding for contempt against such person in the court of common pleas of that county; and (2) The commission may discipline any applicant or licensee, in accordance with the Revised Code and commission rules adopted thereunder, for failing or refusing to submit to a properly issued subpoena.
Last updated August 2, 2021 at 10:32 AM
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Rule 3772-2-07 | Ethics and code of conduct.
Effective:
August 2, 2021
(A) The commission will create, maintain, and, as needed, update a code of conduct governing commission members, the executive director, and staff, as well as those doing or seeking to do business with, interested in matters before, or regulated by the commission. The code of conduct and any updates thereto will be approved at a meeting held under section 3772.02 of the Revised Code. (B) Commission members, the executive director, and staff must comply with Chapter 102. and sections 2921.42 and 2921.43 of the Revised Code, as well as any advice provided by the Ohio ethics commission and decisions by courts of competent jurisdiction that interpret these statutes. Further, they must abide by the code of conduct described in paragraph (A) of this rule.
Last updated August 2, 2021 at 10:32 AM
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Rule 3772-2-08 | Definitions.
Effective:
October 1, 2016
For the 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 agency rule addressing requirements in section 1347.15 of the Revised
Code. (C) "Agency" means the Ohio
casino control commission. (D) "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. (E) "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 agency 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 agency confidential. (F) "Employee of the state agency" means each
employee of a state agency regardless of whether he/she holds an elected or
appointed office or position within the state agency. "Employee of the
state agency" is limited to the specific employing state
agency. (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 persons authorized representative, legal counsel, legal
custodian, 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 August 2, 2021 at 11:07 AM
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Rule 3772-2-09 | Procedures for accessing confidential personal information.
For personal information systems, whether manual or computer systems, that contain confidential personal information, the agency shall do the following: (A) Criteria for accessing confidential personal information. Personal information systems of the agency are managed on a "need-to-know" basis whereby the information owner determines the level of access required for an employee of the agency to fulfill his/her job duties. The determination of access to confidential personal information shall be approved by the employees supervisor and the information owner prior to providing the employee with access to confidential personal information within a personal information system. The agency shall establish procedures for determining a revision to an employees access to confidential personal information upon a change to that employees job duties including, but not limited to, transfer or termination. Whenever an employees job duties no longer require access to confidential personal information in a personal information system, the employees access to confidential personal information shall be removed. (B) Individuals 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 agency, the agency 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 agency has no confidential personal information about the individual that is responsive to the individuals 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 agency shall notify the person whose information was invalidly accessed as soon as practical and to the extent known at the time. However, the agency 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 agency 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 confidential personal information. Once the agency determines that notification would not delay or impede an investigation, the agency shall disclose the access to confidential personal information made for an invalid reason to the person. (2) Notification provided by the agency 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 agencys executive director shall designate an employee of the agency 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 agency with both the implementation of privacy protections for the confidential personal information that the agency 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 agencys executive director shall designate an employee of the agency 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 August 2, 2021 at 11:07 AM
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Rule 3772-2-10 | Valid reasons for accessing confidential personal information.
Effective:
August 2, 2021
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 agencys exercise of its powers or
duties, for which only employees of the agency may access confidential personal
information (CPI) regardless of whether the personal information system is a
manual system or computer system: (A) Performing the following functions
constitute valid reasons for authorized employees of the agency 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 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,
certification, registration, filing or eligibility 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, and 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; (16) Complying with a
collective bargaining agreement provision; or (17) Any other reason the
executive director documents is necessary for the agency to carry out its
duties to regulate the industries over which it has authority or
jurisdiction.
Last updated August 2, 2021 at 10:32 AM
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Rule 3772-2-11 | Confidentiality statutes.
Effective:
August 2, 2021
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 this agency in accordance with section
1347.15 of the Revised Code: (A) Social security numbers: Privacy Act,
5 U.S.C. 552a (2010), unless not otherwise designated as confidential
information by section 3772.16 of the Revised Code and the individual was told
that the number would be disclosed. (B) "Bureau of Criminal
Investigation and Information" criminal records check results: sections
3772.07, 3772.16, and 4776.04 of the Revised Code. (C) All information designated by
sections 3772.16 and 3774.08 of the Revised Code as confidential and not
subject to disclosure as a record under section 149.43 of the Revised Code,
unless waived by the individual.
Last updated August 2, 2021 at 10:32 AM
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Rule 3772-2-12 | 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 agency 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 agency acquires a new computer system that stores, manages or contains confidential personal information, the agency shall include a mechanism for recording specific access by employees of the agency to confidential personal information in the system. (C) Upgrading existing computer systems. When the agency modifies an existing computer system that stores, manages or contains confidential personal information, the agency 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 agency to confidential personal information in the system. (D) Logging requirements regarding confidential personal information in existing computer systems. (1) The agency shall require employees of the agency 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 agency is accessing confidential personal information for official agency 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 agency 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 agency 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 himself/herself. (ii) The individual makes a request that the agency takes some action on that individuals behalf and accessing the confidential personal information is required in order to consider or process that request. (3) For purposes of this paragraph, the agency may choose the form or forms of logging, whether in electronic or paper formats. (E) Log management. The agency 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 agency from requiring logging in any circumstance that it deems necessary.
Last updated August 2, 2021 at 11:07 AM
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