Ohio Administrative Code 3706 — Ohio Air Quality Development Authority

Chapter 3706-1 Meetings

Ohio Adm.Code 3706-1-01 Open meeting procedure.

The Ohio air quality development authority has adopted this rule pursuant to division (F) of section 121.22 of the Revised Code, for the purposes of: establishing a reasonable method for any person to determine the time and place of regularly scheduled meetings of the authority and of the time, place and purpose of special meetings of the authority; making provision for giving advance notice of meetings of the authority to the news media which have requested such notification; and making provision for persons to request and receive reasonable advance notification of meetings of the authority.

(A) As soon as the time and place of any meeting of the authority has been determined, the secretary-treasurer shall post a meeting schedule setting forth the time and place of such meeting and, with respect to any special meeting, a statement of the purpose of the meeting. Such schedule shall be posted in a conspicuous place accessible to the public in the office of the authority, including but not limited to the publicly accessible website maintained by the authority, and shall remain posted until the cancellation or conclusion of the meeting scheduled therein.

(B) Any news media organization that desires to be given advance notice of any or all meetings of the authority shall file with the secretary-treasurer of the Ohio air quality development authority a written request for such notice. Such written request shall set forth the name of the news media organization making the request and the name, address, email, and telephone numbers (not to exceed two) of a representative designated to receive such notice on behalf of such organization. To continue to receive notice, any interested news media organization must submit a new written request, as described in this paragraph, to the secretary-treasure of the Ohio air quality development authority at the start of the new calendar year. Any written request shall remain in effect during the calendar year in which it was received by the secretary-treasurer and shall expire at the end of such year unless sooner cancelled by such organization.

(C) The secretary-treasurer shall maintain a list of all designated representatives of news media organizations which have requested notice pursuant to this rule and shall notify each such representative of each meeting of the authority by doing at least one of the following:

(1) Sending written notice of time, place and purpose of each meeting by depositing a copy thereof in the United States postal service mail, first class postage prepaid, addressed to such representative at the address set forth in the written request received by the secretary-treasurer no later than four calendar days prior to the date of the meeting.

(2) Notifying such representatives by telephone at least twenty-four hours prior to the time of meeting. Such telephone notification shall be deemed completed if a message has been left for the representative or if, after reasonable effort, the secretary-treasurer has been unable to provide such telephone notification.

(3) Sending a written notice of time, place and purpose of each meeting via email at the email address set forth in the written request received by the secretary-treasurer no later than four calendar days prior to the date of the meeting at least twenty-four hours prior to the meeting or, if for a special meeting called in the event of an emergency requiring immediate official action for which twenty-four hours' notice is not possible, as soon as possible.

(D) Any person may request written notification of the time and place of any meeting at which any specific type of public business is to be discussed. Each such request shall be filed in writing to the secretary-treasurer and shall state the name of the person request notice and the mailing or email address to which such person desires such notification to be sent. If the request seeks notification by United States mail, the requesting party shall provide self-addressed and stamped envelopes for the secretary-treasurer's use when providing such notice. Said written request shall be sent via United States postal service mail or electronic mail and shall remain in effect for a period of one year from the date of receipt by the secretary-treasurer and shall therupon expire unless sooner cancelled by the person requesting such notification. Written notice persuant to this rule shall set forth the time and place of the meeting and a copy of the agenda of the meeting, and shall be provided using one or more methods set forth in paragraph (C) of this rule. For regularly scheduled meetings, the provision of an agenda with notice under this rule shall not preclude the amendment of the agenda by the authority.

(E) Any notification provided for in this rule to be given by the secretary-treasurer may be given by any person acting on behalf of or under the authority of the secretary-treasurer.

Last updated March 6, 2026 at 1:17 PM

History

• Effective: July 1, 2020
• Promulgated Under: 111.15

Chapter 3706-2 Financial Assistance

Ohio Adm.Code 3706-2-01 Issuance of grants from the office of the ombudsperson for the small business stationary source technical and environmental compliance assistance program under the air quality assistance program.

The Ohio air quality development authority's ("authority") office of the ombudsperson for the small business stationary source technical and environmental compliance assistance program (the "ombudsperson") shall provide financial assistance from the small business assistance fund pursuant to division (E) of section 3706.19 of the Revised Code under the following terms and conditions.

(A) The authority, to provide financial assistance to eligible small businesses upon advice of the ombudsperson, has created the air quality assistance program, which shall be administered by the ombudsperson and which shall:

(1) Issue air quality revenue bonds for qualified projects authorized by the authority board to benefit eligible small businesses throughout the state that are having difficulty complying with the Clean Air Act.

(2) Promote the conservation of the air as a natural resource and prevent or abate the pollution thereof.

(3) Assist in removing financial obstacles to small business compliance with the Clean Air Act by taking any and all steps necessary to implement the air quality grant assistance programs, including leveraging of future small business assistance fund moneys.

(4) By leveraging small business assistance fund moneys, provide financial assistance to eligible small businesses through financial tools including but not limited to grants and loan loss reserves, at the direction of the authority board.

(B) As used in this rule:

(1) "Air Pollution" means the presence in the ambient air of one or more air contaminants in sufficient quantity and of such characteristics and duration as to injure human health or welfare, plant or animal life, or property, or that unreasonably interferes with the comfortable enjoyment of life or property.

(2) "Air Quality Facility" means an air quality facility as defined in division (G) of section 3706.01 of the Revised Code.

(3) "Authority" means the Ohio air quality development authority as defined in section 3706.02 of the Revised Code.

(4) "Clean Air Act" refers to the federal Clean Air Act of 1970 as codified in 42 U.S.C. 7401 et seq. and revisions, such as the Clean Air Act Amendments of 1990, as promulgated in 104 Stat. 2399, 42 U.S.C. 7401, and the regulations adopted thereunder.

(5) "Eligible Small Business" means any individual, firm, partnership, limited liability company, association, or corporation, or any combination thereof operating a business having all of the following characteristics:

(a) Principal place of business in the state;

(b) Maintains offices or operating facilities in the state;

(c) Employs one hundred or fewer employees;

(d) A small business concern as defined in the Small Business Act; and

(e) Demonstrates financial difficulty.

(6) "Financial Assistance" shall mean grants, loan loss reserves, linked deposits, below-market interest rate loans, or other forms of financial assistance authorized by the authority board in consultation with the ombudsman, for the purpose of assisting small businesses with federal Clean Air Act compliance projects.

(7) "Financial Difficulty" shall mean having financial difficulty with complying with air pollution regulations, including the Clean Air Act, as determined by the ombudsperson.

(8) "Ombudsperson" shall have the same meaning as in division (B) of section 3706.19 of the Revised Code and may be served by the highest-ranking managerial employee of the authority, or a designee of the authority during any temporary vacancy of the appointed position.

(9) "Small Business Act" shall mean the Public Law (P.L.) 85-536, enacted July 18, 1958, as codified in 15 U.S.C. 631 et seq.; 72 Stat. 384 et seq. and as amended through P.L. 116-92, enacted December 20, 2019, and regulations adopted thereunder.

(10) "Small Business Assistance Fund" shall have the same meaning as in division (E) of section 3706.19 of the Revised Code.

(C) Each eligible small business seeking financial assistance from the ombudsperson under the air quality assistance program shall:

(1) Apply for financial assistance under the air quality assistance program through submission of application forms which, upon approval by the authority, shall become part of the agreement(s) between the authority and the eligible small business. Each agreement entered into by the eligible small business shall include those requirements necessary to carry out the purposes of the air quality assistance program and shall include provisions for the payment of eligible costs.

(2) Certify that:

(a) It is an eligible small business.

(b) It will:

(i) Secure a loan from a lender or other entity, which will purchase air quality revenue bonds issued by the authority in a principal amount equal to the loan, to provide the necessary capital to fund the air quality facility;

(ii) Enter into a loan agreement with the authority to pay principal, interest, and any premium on the air quality revenue bonds, which will be assigned to the lender as the holder of the air quality revenue bonds; and

(iii) Assist in the coordination with the lender, who is willing and able to execute on the loan agreement(s) in conjunction with the agreement(s) prescribed by the authority for the issuance of air quality revenue bonds.

(c) It has financial difficulty in complying with the Clean Air Act and the financial assistance is being requested solely as financial assistance related to the acquisition of an air quality facility.

(D) The ombudsperson may accept or reject an application or any portion thereof, based upon the ombudsperson's evaluation of the eligible small business' request and the amount of small business assistance funds available. When evaluating the eligible small business, the ombudsperson shall give priority to the federal air quality compliance needs of the county where the small business is located and shall also consider any reports, statements, or plans applicable to the eligible small business as the ombudsperson considers appropriate.

(E) Any financial assistance made under the air quality assistance program shall be in the form and conditioned upon terms as the ombudsperson deems appropriate and authorized by the authority board.

(F) Upon award of the financial assistance request, or any portion thereof, the ombudsperson shall set aside the monetary amount within the small business assistance fund and reduce the amount of funds available for financial assistance by such amount.

(G) If financial assistance is provided and/or air quality revenue bonds are issued, the authority is authorized to and may impose a maximum fee of one per cent of the total financing amount, as authorized by the authority board and duly posted on the authority's website. The fee may be waived at the discretion of the authority.

(H) Financial assistance provided under the air quality assistance program and the small business assistance fund shall, in all instances, be in conjunction with the provisions of section 3706.19 of the Revised Code provided that, at the time financial assistance is approved, the combined amount of financial assistance provided under division (E) of section 3706.19 of the Revised Code is not more than one hundred per cent of the moneys credited to the small business assistance fund pursuant to division (K) of section 3745.11 of the Revised Code or other sources of assistance. The ombudsperson shall give priority to the investment, liquidity, and cash flow needs of the small business assistance fund when deciding whether to consider and process an application for approval by the authority for financial assistance to an eligible small business.

(I) The ombudsperson shall take any and all steps necessary to implement the air quality assistance program.

(J) The ombudsperson shall, when leveraging future small business fund moneys, give priority to the repayment of such loans or other moneys when considering future financial assistance provided under the air quality assistance program.

Last updated July 1, 2026 at 7:45 AM

History

• Effective: July 1, 2026
• Promulgated Under: 119.03

Chapter 3706-3 Accessing Confidential Personal Information

Ohio Adm.Code 3706-3-01 Definitions.

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) "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 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.

(E) "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.

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

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

(H) "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.

(I) "Person" means a natural person.

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

(K) "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.

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

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

(N) "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.

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

(P) "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 6, 2026 at 1:17 PM

History

• Effective: July 1, 2021
• Promulgated Under: 119.03

Ohio Adm.Code 3706-3-02 Procedures for accessing confidential personal information.

For personal information systems, whether manual or computer systems, that contain confidential personal information, the Ohio air quality development authority shall do the following:

(A) Criteria for accessing confidential personal information. Personal information systems of the Ohio air quality development authority are managed on a "need-to-know" basis whereby the information owner determines the level of access required for an employee of the Ohio air quality development authority to fulfill his/her job duties. The determination of access to confidential personal information shall be approved by the executive director or employee's supervisor and the information owner prior to providing the employee with access to confidential personal information within a personal information system. The Ohio air quality development authority 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 Ohio air quality development authority, the Ohio air quality development authority 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 section 1347.01 of the Revised Code; and

(3) If all information relates to an investigation about that individual, inform the individual that the Ohio air quality development authority 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 Ohio air quality development authority shall notify the person whose information was invalidly accessed as soon as practical and to the extent known at the time. However, the Ohio air quality development authority 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 Ohio air quality development authority 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 Ohio air quality development authority determines that notification would not delay or impede an investigation, the Ohio air quality development authority shall disclose the access to confidential personal information made for an invalid reason to the person.

(2) Notification provided by the Ohio air quality development authority 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 Ohio air quality development authority 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 Ohio air quality development authority with both the implementation of privacy protections for the confidential personal information that the Ohio air quality development authority 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 Ohio air quality development authority executive director shall designate an employee of the Ohio air quality development authority 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 6, 2026 at 1:17 PM

History

• Effective: July 1, 2021
• Promulgated Under: 119.03

Ohio Adm.Code 3706-3-03 Valid reasons for accessing confidential personal information.

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 Ohio air quality development authority's exercise of its powers or duties, for which only employees of the Ohio air quality development authority 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 Ohio air quality development authority 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 [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 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 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; or

(16) Complying with a collective bargaining agreement provision.

(B) To the extent that the general processes described in paragraph (A) of this rule do not cover the following circumstances, for the purpose of carrying out specific duties of the Ohio air quality development authority, authorized employees would also have valid reasons for accessing CPI in these following circumstances:

(1) By necessity the executive director and employees in human resource positions shall have access to confidential personal information contained in personnel files.

(2) The executive director and employees in investigative positions shall have access to confidential personal information of individuals who are subject to investigation. Such employees shall have access to confidential personal information of individuals who are not the subject of the investigation, but who otherwise may be witnesses with information related to the investigation.

(3) By necessity the executive director and all employees of the Ohio air quality development authority shall have access to confidential personal information contained in application documents, and any other correspondence or documents retrieved while performing their duties for the Ohio air quality development authority.

(4) By necessity the executive director and office manager of the Ohio air quality development authority members shall have access to confidential personal information contained in applications, investigative files, and personnel files.

Last updated March 6, 2026 at 1:17 PM

History

• Effective: July 1, 2021
• Promulgated Under: 119.03

Ohio Adm.Code 3706-3-04 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 this authority 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) Education records pursuant to the Family Educational Right to Privacy Act (FERPA).

(C) Confidential law enforcement investigatory records pursuant to section 149.43 of the Revised Code.

Last updated March 6, 2026 at 1:17 PM

History

• Effective: July 1, 2021
• Promulgated Under: 119.03

Ohio Adm.Code 3706-3-05 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 Ohio air quality development authority shall do the following:

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

(B) Acquiring a new computer system: When the Ohio air quality development authority acquires a new computer system that stores, manages or contains confidential personal information, the Ohio air quality development authority shall include a mechanism for recording specific access by employees of the Ohio air quality development authority to confidential personal information in the system.

(C) Upgrading existing computer systems: When the Ohio air quality development authority modifies an existing computer system that stores, manages or contains confidential personal information, the Ohio air quality development authority 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 Ohio air quality development authority to confidential personal information in the system.

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

(1) The Ohio air quality development authority shall require employees of the Ohio air quality development authority 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 Ohio air quality development authority 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 Ohio air quality development authority 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 Ohio air quality development authority 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 Ohio air quality development authority 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 Ohio air quality development authority 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 Ohio air quality development authority may choose the form or forms of logging, whether in electronic or paper formats.

(E) Managing logs: The Ohio air quality development authority 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 Ohio air quality development authority from requiring logging in any circumstance that it deems necessary.

Last updated March 6, 2026 at 1:17 PM

History

• Effective: July 1, 2021
• Promulgated Under: 119.03