Ohio Administrative Code 3770 — State Lottery Commission

Chapter 3770-1 Director's Authority

Ohio Adm.Code 3770-1-01 Definitions of terms used in the regulations of the director of the Ohio state lottery.

(A) "Lottery Act" means Chapter 3770. of the Revised Code, and all amendments thereto.

(B) "Agent" means any person licensed as a lottery sales agent by the director.

(C) "Commission" and "Ohio lottery commission" mean the state lottery commission created by the Lottery Act.

(D) "Director" means the executive director of the state lottery appointed in accordance with the Lottery Act.

(E) "Commissioner" means a member of the commission.

(F) "Ticket" means a lottery ticket issued by the state lottery for sale to the public.

(G) "Game" means a lottery game offered by the state lottery for sale to the public.

(H) "Administrative Procedure Act" means Chapter 119. of the Revised Code, and all amendments thereto.

(I) "Sales representative" means a person authorized to act for the director in the safekeeping of and accounting for games, products, equipment or settlement of sales agent accounts.

(J) "Settlement date" means each date specified by the director on which sales agents are to settle their transactions through deposits with designated banking institutions.

(K) "Settlement."

(1) For purposes of lottery sales agent and licensure, "settlement" means the reconciliation of all inventory and the removal of lottery equipment pending the cancellation of the lottery sales agent license.

(2) For purposes of lottery game tickets, "settlement" means the return of full and partial lots of game tickets by the time period specified by the director.

(L) "Lottery fund" means, inclusively, the various state lottery funds established by sections 3770.06 and 3770.07 of the Revised Code.

(M) "Person."

(1) For purposes of lottery sales agents and licensure, "person" has the same meaning as set forth in division (A) of section 3770.05 of the Revised Code.

(2) For all other purposes, "person" has the same meaning as set forth in division (C) of section 1.59 of the Revised Code.

(N) "License" means the general privilege granted to any person by the director to sell games.

(O) "Rule" means any rule, regulation or standard having a general and uniform operation, adopted, promulgated and enforced by the commission or the director, but shall not include regulations concerning internal management which do not affect private rights.

(P) "License rule" means any rule, regulation or standard promulgated and enforced by the commission or the director in carrying out the licensing function.

(Q) "General rule" means any rule which is not a license rule.

(R) "Principal" means each shareholder owning ten percent or more of the voting stock; each director and each officer of a corporation; each general partner of a partnership; each member of any other form of association, entity, organization, or group of owners; and each individual proprietor of a proprietorship.

(S) "State lottery" or "lottery" means, collectively, the organization created by the commission and the program of lottery games conducted by the commission.

(T) "Holder of a ticket" means a person who has possession of and is entitled to claim a prize from a winning lottery ticket.

Last updated August 17, 2026 at 10:10 AM

History

• Effective: January 17, 2019
• Promulgated Under: 119.03

Ohio Adm.Code 3770-1-02 Director's authority under Administrative Procedure Act.

(A) The regulations of the director pertaining to the licensing function, which will have a general and uniform operation, shall be adopted, promulgated and enforced in accordance with the Administrative Procedure Act. In adopting, amending or rescinding a regulation under the Administrative Procedure Act, the procedures of the commission set out in Chapter 3770:1-2 of the Administrative Code shall be followed by the director.

(B) Paragraph (A) of this rule shall not apply to regulations or directives concerning internal management of the state lottery by the director which do not affect private rights.

(C) Decisions and orders of the director in conducting the licensing function shall be made or adopted in compliance with the Administrative Procedure Act. When required by that act, the director shall afford a hearing to a person affected by an order or decision to refuse, suspend or revoke a license. Such hearings shall be conducted by the director or a hearing officer designated by the director and shall comply with the requirements for adjudication hearings set out in the Administrative Procedure Act. The requirement of the Administrative Procedure Act that adjudication hearings be afforded prior to a final decision by the director shall be waived if circumstances such as non-payment of funds owed by a sales agent, or other circumstances related to the public safety, convenience, or trust require immediate action. The director, however, must continue to comply with the requirements of the Administrative Procedure Act in affording the subsequent opportunity for an adjudication hearing.

(D) Unless expressly provided to the contrary, any action permitted to, or required of the director may be taken by a representative authorized by the director to take such action.

Last updated August 17, 2026 at 10:10 AM

History

• Effective: December 27, 1996
• Promulgated Under: Ch 119.

Chapter 3770-2 Licenses

Ohio Adm.Code 3770-2-01 Persons eligible; application.

(A) Any person may apply for a sales agent license. Application will be made in a format approved by the director for this purpose.

(B) Upon receiving a proper and complete application, the director will determine if the applicant meets the requirements of the Lottery Act and the commission's rules, and the standards of the director provided in these regulations. The director may issue the applicant a license on such terms and conditions deemed appropriate, consistent with the Lottery Act, the rules of the commission and these regulations. If the director denies an application, the applicant will be promptly informed of the decision.

Last updated May 29, 2025 at 7:27 AM

History

• Effective: May 29, 2025
• Promulgated Under: 119.03

Ohio Adm.Code 3770-2-02 Grounds for refusal of a license.

(A) Denial of license. If after a review of a lottery sales agent application and consideration of any other factors deemed relevant to the efficient and proper operation of lottery, the director determines that an applicant has failed to meet the requirements for issuance of a lottery sales agent license, the director may deny the application, or may request that the application be revised and reviewed for further consideration.

(B) Grounds for refusal. In addition to the grounds for refusal to grant an applicant's request for a license in divisions (C)(1) to (C)(5), (D)(1) to (D)(3) and (E)(1) to (E)(2) of section 3770.05 of the Revised Code, and except as provided in paragraph (C) of this rule, in the event any of the following are determined by the director, an application for a lottery sales agent license may be denied:

(1) If any principal to be affiliated with the applicant is found to have committed any of the acts specified in divisions (C)(1) to (C)(5), (D)(1) to (D)(4) or (E)(1) to (E)(2) of section 3770.05 of the Revised Code;

(2) The applicant has made a fraudulent misrepresentation regarding a fact material to an application or has failed to disclose information regarding a fact material to an application.

(3) When it appears to the director that, due to the experience, character or general fitness of any principal to be affiliated with the applicant, the granting of a license would be inconsistent with the public interest, convenience or trust.

(C) Sealing of record. When an applicant, or in the event the applicant is a corporation, any of the corporation's directors, officers, or controlling shareholders, as well as any principal to be affiliated with the applicant, has been convicted of any of the acts specified in division (C)(1) to (C)(3), (C)(5), (E)(1), or (E)(2) of section 3770.05 of the Revised Code, the director may require the applicant to obtain an order from a court of competent jurisdiction to have the record of such offense sealed. If such an order is not obtained during the time specified by the director, the director may deny the application. The foregoing not withstanding, if the record of an applicant reveals an offense listed in divisions (C)(1) to (C)(3), (C)(5), (E)(1), or (E)(2) of section 3770.05 of the Revised Code which is at least ten years old, the director may disregard the offense.

(D) Other considerations. Before issuing any license, the director may consider the factors set out in this paragraph. In considering these factors, the director may determine which applicants will best serve the economical and efficient operation of a statewide lottery through their game sales. If the facts with respect to a particular applicant, which are relevant to any of these factors, lead the director to determine that issuing a license of any classification to that applicant would not so promote the economical and efficient operation of a statewide lottery consonant with the public interest, or would not serve the public interest, convenience or trust, the director may refuse to issue a license to that applicant.

(1) The director may consider the financial responsibility and security of the applicant and the business or activity; the applicant's credit-worthiness and integrity in past financial transactions; and the physical security of the applicant's place of business, to determine if lottery games which are consigned to the applicant, and the proceeds from game sales, will be kept safe.

(2) The director may consider the accessibility of an applicant's place of business or activity to the public, including compliance with the requirements of The Americans with Disabilities Act of 1990 (ADA), Section 12101-12213 of 42 U.S.C. (as amended in 2008).

(3) The director may consider the sufficiency of existing agents to serve the public interest. An effort will be made to maximize total game sales by recruiting and licensing sales agents under various classifications to licensure, as determined by the director, with the highest potential volume.

(4) The director may consider the volume of expected sales by the applicant so that licensing of the sales agent will be economically feasible.

(E) Right to hearing. When mandated to do so by the Administration Procedure Act, the director will afford a hearing to an applicant affected by a decision to deny an application for a license. Such hearings will be conducted by the director or a hearing examiner designated by the director and will comply with the requirements for adjudication hearings set out in the Administrative Procedure Act.

Last updated May 29, 2025 at 7:27 AM

History

• Effective: May 29, 2025
• Promulgated Under: 119.03

Chapter 3770-3 Suspension or Revocation of License

Ohio Adm.Code 3770-3-01 Grounds for suspension or revocation of a license.

(A) Non-compliance. In addition to the grounds for suspension or revocation of a license described in divisions (C)(1) to (C)(5), (D)(1) to (D)(4) and (E)(1) to (E)(2) of section 3770.05 of the Revised Code, the director may suspend or revoke the license of a sales agent who does not comply with the Lottery Act, all rules, terms and conditions, policies, orders, and directives adopted, promulgated or issued by the commission or director, or any state or federal law.

(B) Violation of prohibitions. In addition to the prohibitions enumerated in divisions (A) to (E) of section 3770.08 of the Revised Code, the director may suspend or revoke the license of any sales agent who violates one of the following prohibitions:

(1) No sales agent, or any of its principals, relatives, or employees, shall pay, or direct another party to pay, the holder of a winning ticket or game an amount less than the full prize amount for which that ticket or game is redeemable.

(2) No sales agent, or any of its principals, relatives, or employees, shall submit, or direct another party to submit, a prize claim that originally was presented for payment by another holder of a winning ticket or game to whom the sales agent, or any of its principals, relatives, or employees, paid a discounted prize amount, or from whom the sales agent, or any of its principals, relatives, or employees, received payment in return for making the claim.

(3) No sales agent, or any of its principals, relatives, or employees, shall solicit, direct another party to solicit, or conspire with any person for the purpose of committing an act described in paragraph (B)(1) or (2) of this rule.

(4) If a sales agent, or any of its principals, relatives, or employees, has paid, directed another to pay, solicited, or conspired with another for the purpose of paying a prize amount, less than the full prize amount for which a winning ticket or game is redeemable, then that winning ticket or game may be deemed void and any associated prize award may be forfeited.

(C) Grounds relating to the honest and efficient conduct of the state lottery. The director may suspend or revoke a sales agent license for any of the following:

(1) The sales agent, or any of its principals, relatives, or employees, has made a false statement, omission, or misrepresentation of a material fact in connection with the application for, or renewal of, a license, in any reports, or to any person, in connection with a lottery transaction or investigation;

(2) The sales agent has failed to maintain the minimum sales levels for the license issued to the sales agent as determined by the director;

(3) The sales agent has failed to take adequate security precautions for the safe handling of tickets or games, lottery materials or game sales proceeds;

(4) The sales agent has failed to promptly and accurately settle the accounts of lottery transactions and pay to the director the amounts due from the sales agent's game sales by not regularly depositing amounts owed to the state lottery into an electronic funds transfer account established by the sales agent for accounting purposes, and to abide by the policies and procedures established by the director concerning the transfer of such funds.

(5) The sales agent has failed to maintain a surety bond and/or fidelity bond as required by the director, or alternatively has failed to deposit, into a dedicated account for the benefit of the state lottery, an amount as required by the director;

(6) The sales agent has failed to comply with the terms and conditions of The Americans with Disabilities Act of 1990 (ADA), Section 12101-12213 of 42 U.S.C. (as amended in 2008); or

(7) Notwithstanding the exceptions enumerated in paragraph (B) of rule 3770-2-02 of the Administrative Code, the sales agent, or any principal affiliated with the sales agent, has been found to have committed any of the acts enumerated in divisions (C)(1) to (C)(5), (D)(1) to (D)(4), or (E)(1) to (E)(2) of section 3770.05 of the Revised Code.

(D) If at any time after a license has been issued, the director determines that a sales agent no longer meets the standards for the issuance of a license provided in Chapter 3770-2 of the Administrative Code, the director may:

(1) Suspend the sales agent's license until it is shown that the reason for the suspension has abated;

(2) Modify the sales agent's license status; or

(3) Revoke the sales agent's license.

(E) The director may suspend or revoke the license of any sales agent who fails to observe and comply with the procedures provided in Chapter 3770-4 of the Administrative Code or established by the director pursuant to said chapter.

Last updated May 6, 2024 at 9:50 AM

History

• Effective: July 20, 2019
• Promulgated Under: 119.03

Ohio Adm.Code 3770-2-02

(A) Denial of license. If after a review of a lottery sales agent application and consideration of any other factors deemed relevant to the efficient and proper operation of lottery, the director determines that an applicant has failed to meet the requirements for issuance of a lottery sales agent license, the director may deny the application, or may request that the application be revised and reviewed for further consideration.

(B) Grounds for refusal. In addition to the grounds for refusal to grant an applicant's request for a license in divisions (C)(1) to (C)(5), (D)(1) to (D)(3) and (E)(1) to (E)(2) of section 3770.05 of the Revised Code, and except as provided in paragraph (C) of this rule, in the event any of the following are determined by the director, an application for a lottery sales agent license may be denied:

(1) If any principal to be affiliated with the applicant is found to have committed any of the acts specified in divisions (C)(1) to (C)(5), (D)(1) to (D)(4) or (E)(1) to (E)(2) of section 3770.05 of the Revised Code;

(2) The applicant has made a fraudulent misrepresentation regarding a fact material to an application or has failed to disclose information regarding a fact material to an application.

(3) When it appears to the director that, due to the experience, character or general fitness of any principal to be affiliated with the applicant, the granting of a license would be inconsistent with the public interest, convenience or trust.

(C) Sealing of record. When an applicant, or in the event the applicant is a corporation, any of the corporation's directors, officers, or controlling shareholders, as well as any principal to be affiliated with the applicant, has been convicted of any of the acts specified in division (C)(1) to (C)(3), (C)(5), (E)(1), or (E)(2) of section 3770.05 of the Revised Code, the director may require the applicant to obtain an order from a court of competent jurisdiction to have the record of such offense sealed. If such an order is not obtained during the time specified by the director, the director may deny the application. The foregoing not withstanding, if the record of an applicant reveals an offense listed in divisions (C)(1) to (C)(3), (C)(5), (E)(1), or (E)(2) of section 3770.05 of the Revised Code which is at least ten years old, the director may disregard the offense.

(D) Other considerations. Before issuing any license, the director may consider the factors set out in this paragraph. In considering these factors, the director may determine which applicants will best serve the economical and efficient operation of a statewide lottery through their game sales. If the facts with respect to a particular applicant, which are relevant to any of these factors, lead the director to determine that issuing a license of any classification to that applicant would not so promote the economical and efficient operation of a statewide lottery consonant with the public interest, or would not serve the public interest, convenience or trust, the director may refuse to issue a license to that applicant.

(1) The director may consider the financial responsibility and security of the applicant and the business or activity; the applicant's credit-worthiness and integrity in past financial transactions; and the physical security of the applicant's place of business, to determine if lottery games which are consigned to the applicant, and the proceeds from game sales, will be kept safe.

(2) The director may consider the accessibility of an applicant's place of business or activity to the public, including compliance with the requirements of The Americans with Disabilities Act of 1990 (ADA), Section 12101-12213 of 42 U.S.C. (as amended in 2008).

(3) The director may consider the sufficiency of existing agents to serve the public interest. An effort will be made to maximize total game sales by recruiting and licensing sales agents under various classifications to licensure, as determined by the director, with the highest potential volume.

(4) The director may consider the volume of expected sales by the applicant so that licensing of the sales agent will be economically feasible.

(E) Right to hearing. When mandated to do so by the Administration Procedure Act, the director will afford a hearing to an applicant affected by a decision to deny an application for a license. Such hearings will be conducted by the director or a hearing examiner designated by the director and will comply with the requirements for adjudication hearings set out in the Administrative Procedure Act.

Last updated May 29, 2025 at 7:27 AM

History

• Effective: May 29, 2025
• Promulgated Under: 119.03

Chapter 3770-4 Operating Standards for Sales Agents

Ohio Adm.Code 3770-4-02 Issuance of licenses, products and equipment.

(A) Authorization of sales agent. Each license issued to a sales agent authorizes that sales agent to conduct business at the address on the face of the license. A sales agent's authority to conduct lottery sales is limited to the authorized location approved by the director. A separate license is mandated for each location at which a sales agent is authorized to sell games. Games may only be sold at locations within the state of Ohio.

(B) Licenses nontransferable. No license will be transferred to another person or entity. If the ownership of a sales agent location changes, any new owner wishing to conduct lottery sales should apply to the director for a new license pursuant to the rules and regulations set forth herein.

(C) Change of sales agent's location. If a sales agent moves from one location to another, games may only be sold at the new location once authorized to do so. The director may authorize transfer of an existing sales agent's license to a new location, so long as the principal ownership remains the same, and after considering all information concerning the sales agent's new location, as required when making an initial application for a license.

(D) Temporary and renewal of licenses. The director will establish procedures for temporary licenses and renewal of licenses. Temporary licenses may be issued to existing sales agents in good standing for the purpose of conducting lottery sales at a location or event having an address different from the one listed on the face of their license. Any temporary license will expire on the expiration date shown on its face, which will be no more than one year from the date of the temporary license is issued.

(E) Issuance of products and equipment. The director may issue products and equipment to sales agents through assigned sales representatives, courier or delivery services, or any other methods as determined by the director. It will be the sales agent's responsibility for maintaining adequate financial responsibility on all issued lottery products and equipment.

Last updated May 29, 2025 at 9:46 AM

History

• Effective: May 29, 2025
• Promulgated Under: 119.03

Ohio Adm.Code 3770-4-03 Sale of lottery games.

(A) Manner of sale. Games may be sold only by the sales agent or through the sales agent's employees. The sales agent must participate in the range of lottery games assigned to the sales agent, and agrees to use best efforts to sell those assigned lottery games. The director may prohibit sales agents from participating in or conducting any other schemes of chance or lottery games other than those games or promotions established by commission rule and provided for or encouraged by the director, or for which the sales agent is specially licensed by the state of Ohio. The director may prohibit sales agents from engaging in certain lottery promotions deemed by the director to be inappropriate. The director may set game sales quotas for each license. The director may initiate marketing and promotional programs and may provide sales agents with such materials as deemed appropriate.

(B) Game and equipment allocations. The quantity and types of games and equipment allocated to each sales agent will be determined by the director and may be based upon the license issued to that sales agent. If a sales agent sells out the allocation, additional games, if available, may be issued to the sales agent as approved by the director or an authorized representative of the director. The director may order that lottery games and equipment not be issued to a sales agent who has failed to clear an account of outstanding lottery games.

(C) Accessibility of lottery games. Each sales agent shall use best efforts to make lottery games easily accessible to the public and to encourage lottery sales.

(D) Prohibitions. Each sales agent shall always serve any customer in line before accepting any large block orders for lottery games. In this regard, sales agents may not accept mail orders, phone orders or bulk delivery of orders.

Last updated May 6, 2024 at 9:50 AM

History

• Effective: February 19, 2015
• Promulgated Under: 119.03

Ohio Adm.Code 3770-4-04 Ticket issuance and sale by director.

(A) Sales. The director or an authorized representative may sell games.

Last updated February 11, 2025 at 9:05 AM

History

• Effective: February 13, 2004
• Promulgated Under: 119.03

Ohio Adm.Code 3770-4-05 Sales representatives.

(A) Sales representative duties. Sales representatives will periodically appear at their assigned retail locations at a frequency determined by the director. Sales representatives are responsible for delivery of paper products, point of purchase materials and any other items designated by the director, as well as the occasional movement of tickets. Sales representatives are also responsible for taking inventory of games and completing an instant inventory summary at each retail location. They are further responsible for retrieving unsold tickets, and for obtaining an accounting for stolen or destroyed tickets in the manner prescribed by the director.

(B) Obligations of sales representatives.

Each sales representative will maintain records of custodial and safekeeping activities in a manner prescribed by the director, and will make the same available for inspection at any time at the request of inspectors authorized by the director.

(C) Detailed procedures. Consistent with these rules, the director will establish detailed operating procedures for sales representatives.

Last updated February 11, 2025 at 9:05 AM

History

• Effective: February 20, 2021
• Promulgated Under: 119.03

Ohio Adm.Code 3770-4-06 Return and settlement of tickets and collection of lottery sales revenues.

(A) Ticket settlement cycles. The sales agent is solely responsible for the safety and security of all tickets issued to the agent. The sales agent will account for such tickets and transfer the proceeds from their sale, less authorized deductions, to the lottery by means of procedures established by the director for the deposits of proceeds from game sales. Upon the closing of a game, unsold full books of lottery tickets, may be returned to the lottery for the purpose of settlement, on the dates and in the manner set out in these regulations or in the management regulations and directives of the director. Any tickets that are not returned or properly accounted for on the specified date will be deemed to have been sold by the sales agent. The director may decide not to issue subsequent books of tickets to a sales agent who has not fully accounted for tickets previously issued.

(B) Management directives. The director will, in management regulations or directives, prescribe the forms for sales agents to use in all lottery transactions.

(C) Consignment property. Lottery games are issued to a sales agent on a consignment basis and remain the property of the state of Ohio. All equipment and supplies provided to a sales agent by the lottery remain the property of the state of Ohio.

(D) Director's authority to collect lottery sales revenues.

(1) The director will collect the revenues received from the sale of games by sales agents at intervals established by the director. The director will designate a day or days during any interval time period on which sales agents will be mandated to deposit to the credit of the lottery fund, in accounts which are recommended to be used exclusively for lottery-related transactions at lawfully designated banking institutions, all moneys due the lottery by such sales agents from the sale of games, less an amount retained as compensation for sale of such games. The director may further order that sales agents deduct the amounts they pay in authorized prize payments and any commissions or bonuses to which agents are entitled from the amounts received in gross game sales prior to their deposit in accounts.

(2) The director may arrange for any banking institution to perform the functions and services necessary to collect the revenues received from the sales of lottery games by sales agents and may arrange the compensation for such performance as deemed necessary and advisable. The director may also rely on the treasurer of state to perform this function. The director will establish detailed record keeping and operating procedures to be followed by such banking institutions to carry out the purposes of the Lottery Act and lottery rules.

(E) Penalties for non-transfer of funds. The director may impose penalties for the failure of a sales agent to transfer funds to the lottery in a timely manner. Penalties may include, but are not limited to; monetary penalties, modification of license, immediate suspension, or revocation. The director may adopt internal management regulations elaborating on any terms regarding the collection of sales revenues from the sales agents.

Last updated May 29, 2025 at 9:46 AM

History

• Effective: May 29, 2025
• Promulgated Under: 119.03

Ohio Adm.Code 3770-4-07 Stolen and destroyed tickets.

A sales agent is financially responsible for all tickets consigned to that sales agent's location. If tickets are stolen or destroyed, the sales agent shall report that fact to the director within the time set forth in any internal management regulations established by the director. In the case of stolen tickets, the sales agent is also required to file a report with the local or state police, or in the case of tickets destroyed by fire, a report must be filed with the local fire department. Upon such notification to the director, and provided that the sales agent files a notarized affidavit with the commission stating the facts of the case, the director shall provide the sales agent with a supplementary delivery of tickets in the manner set forth in these regulations or in internal management regulations and directives of the director. The sales agent is subsequently required to file any official police or fire report for stolen or destroyed tickets with the director within the time set forth in any internal management regulations established by the director. The sales agent shall not be required to pay for the stolen or destroyed tickets until so notified by the director, but shall remain liable to pay the sale price less any authorized deductions for such tickets unless, upon investigation by the director, the director determines and notifies the sales agent that the sales agent shall be relieved of the obligation to pay for some or all of such tickets. The director may adopt internal management regulations elaborating the stolen or destroyed ticket policy, and the circumstances under which credit will be given, or under which the sales agent will be relieved of the obligation to pay for stolen or destroyed tickets.

Last updated April 15, 2024 at 1:20 PM

History

• Effective: March 28, 2019
• Promulgated Under: 119.03

Ohio Adm.Code 3770-4-09 Compensation and reimbursement of expenses to be paid licensed lottery sales agents.

(A) Commission. Except as otherwise provided in paragraph (B) of this rule, each sales agent will receive a commission based upon the sales agent's gross game sales at the rate specified by the director for each license. The director will establish procedures for the prompt payment to each sales agent of their sales commission and cashing bonus. In addition, the director may from time to time establish incentive and bonus awards for sales agents for promotional purposes. Incentive and bonus awards may include increased sales commissions, cash awards, trips, merchandise or any other award at the discretion of the director.

(B) For sales of all "EZPlay Tap" games offered, each sales agent will receive a commission based upon net game sales. Net game sales as used herein means sales after deduction of applicable vendor fees and winner pay outs at the rate specified by the director.

(C) Reimbursement of expense. The director will establish procedures for the prompt reimbursement of all expenses properly incurred by a sales agent as authorized by the director.

Last updated September 29, 2025 at 9:06 AM

History

• Effective: September 29, 2025
• Promulgated Under: 119.03

Ohio Adm.Code 3770-4-10 Records and audits; and inspection of sales agent premises.

(A) The auditor of state and the director or an authorized representative may periodically examine all records, files and other documents of the sales agent as they pertain to the sales agent's activities for purposes of conducting authorized audits. Each sales agent will maintain such records in a complete and up to date manner.

(B) A sales agent will allow inspections of the licensed premises at any time upon the request of inspectors authorized by the director. The inspection may be made without prior notice to the sales agent.

Last updated April 22, 2025 at 7:55 AM

History

• Effective: April 21, 2025
• Promulgated Under: 119.03

Chapter 3770-6 Accessing Confidential Personal Information

Ohio Adm.Code 3770-6-01 Personal information systems 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 common place, 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 May 1, 2025 at 12:50 PM

History

• Effective: October 8, 2010
• Promulgated Under: 119.03

Ohio Adm.Code 3770-6-02 Procedures for accessing confidential personal information.

For personal information systems, whether manual or computer systems, that contain confidential personal information, the agency will 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 necessary for an employee of the agency to fulfill his/her job duties. The determination of access to confidential personal information will 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 agency will 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 will 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 agency, the agency will do all of the following:

(1) Verify the identify 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 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 agency will notify the person whose information was invalidly accessed as soon as practical and to the extent known at the time. However, the agency will 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 will disclose the access to confidential personal information made for an invalid reason to the person.

(2) Notification provided by the agency will 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 agency director will designate an employee of the agency to serve as the data privacy point of contact. The data privacy point of contact will 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 agency director will designate an employee of the agency to serve as the data privacy point of contact who will timely complete the privacy impact assessment form developed by the office of information technology.

Last updated July 7, 2025 at 6:59 PM

History

• Effective: July 4, 2025
• Promulgated Under: 119.03

Ohio Adm.Code 3770-6-03 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 lottery commission's 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;

(8) Auditing purposes;

(9) Licensure 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, 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.

Last updated May 1, 2025 at 12:50 PM

History

• Effective: October 8, 2010
• Promulgated Under: 119.03

Ohio Adm.Code 3770-6-04 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 agency 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) "Bureau of Criminal Investigation and Information," "Federal Bureau of Investigation," "LEADS," NCIC," "NLET," "III," and/or "CCH" criminal records check results: 5 U.S.C 552, sections 109.571, 109.572, and 4776.04 of the Revised Code and Chapter 4501:2-10 of the Administrative Code.

(C) "Name, address, and social security number of a beneficial owner of a lottery prize award using a trust" except where the beneficial owner otherwise consents in writing: division (A)(1) of section 3770.07 of the Revised Code.

(D) Driver's license number or state identification card number when in combination with and linked with an individual's first name or first initial and last name: section 1347.12 of the Revised Code.

(E) Medical information: division (A) of section 149.43 of the Revised Code.

Last updated May 1, 2025 at 12:50 PM

History

• Effective: October 8, 2010
• Promulgated Under: 119.03

Ohio Adm.Code 3770-6-05 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 agency will do the following:

(A) Access restrictions. Access to confidential personal information that is kept electronically will need 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 will 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 will make a determination whether the modification constitutes an upgrade. Any upgrades to a computer system will 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 will mandate 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 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 agency may choose the form or forms of logging, whether in electronic or paper formats.

(E) Log management. The agency will issue a policy that specifies the following:

(1) Who will maintain the log;

(2) What information will 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 July 7, 2025 at 7:00 PM

History

• Effective: July 4, 2025
• Promulgated Under: 119.03