agency-102•Ohio Administrative Code 102 — Ohio Ethics Commission
Ohio Administrative Code 102 — Ohio Ethics Commission
agency-102Ohio Adm.Code 102Regulation
Chapter 102-1 Definitions and Operating Procedures
Ohio Adm.Code 102-1-01 Definitions.
For purposes of Chapter 102. of the Administrative Code:
(A) "Advisory opinion" means an opinion rendered by the commission or staff in response to a question concerning ethics, conflicts of interest, financial disclosure, or any other topic covered by Chapter 102. or section 2921.42 or 2921.43 of the Revised Code.
(1) "Formal advisory opinion" means an opinion reviewed and voted upon by the commission at an open meeting that includes the elements described in paragraph (B)(1) of rule 102-3-01 of the Administrative Code.
(2) "Informal advisory opinion" means an opinion written to an individual under the authority of the commission and reviewed and voted upon by the commission at an open meeting that includes the elements described in paragraph (B)(2) of rule 102-3-01 of the Administrative Code.
(3) "Staff advisory opinion" means an opinion written by a staff member, not reviewed or voted on by the commission, that is based on prior formal or informal opinions of the commission and includes the elements described in paragraph (B)(3) of rule 102-3-01 of the Administrative Code.
(B) "Chair" or "chairman" means the member of the commission elected as chairman pursuant to section 102.05 of the Revised Code.
(C) "Charge" means any allegation or other information, from any source, which alleges or indicates that a violation of Chapter 102. or section 2921.42 or 2921.43 of the Revised Code may have occurred.
(D) "Commission" means the Ohio ethics commission created pursuant to section 102.05 of the Revised Code.
(E) "Complainant" means any person, including the commission, a member of the commission, or an employee of the commission, who has filed a complaint with the commission.
(F) "Complaint" means a formal complaint filed with or initiated by the commission in accordance with section 102.06 of the Revised Code, concerning conduct alleged to be in violation of Chapter 102. or section 2921.42 or 2921.43 of the Revised Code.
(G) "Designee" means any person who is designated to serve in the place of another public official or employee for a board, commission, council, agency, department, or other such entity.
(H) "Executive Director" means the executive director appointed by the commission pursuant to section 102.05 of the Revised Code.
(I) "Mail" means regular United States first class mail, unless specified otherwise.
(J) "Party" means the commission, the respondent, or their representatives.
(K) "Representative" means any person whom the commission has authorized to appear or act on its behalf, or any person whom the complainant, respondent, or a witness has authorized to appear or act, on his or her behalf, as counsel before the commission.
(L) "Respondent" means a person against whom a complaint or charge has been filed with the commission.
(M) "Staff" means the executive director and any other employee of the commission.
Last updated October 10, 2023 at 2:47 PM
History
- Effective: February 26, 2012
- Promulgated Under: 111.15
Ohio Adm.Code 102-3-01
(A) The commission may issue advisory opinions, as described in section 102.08 of the Revised Code related to ethics, conflicts of interest, financial disclosure, or any other topic covered by Chapter 102. of the Revised Code or section 2921.42 or 2921.43 of the Revised Code.
(B) Opinions can be formal, informal, or staff opinions.
(1) All formal advisory opinions, reviewed and voted on by the commission at an open meeting, will include the following:
(a) A syllabus summarizing the holding of the commission;
(b) A statement of facts upon which the conclusions are based. Such statement of facts need not disclose the name of any person;
(c) A discussion of the facts and the application of the law;
(d) A serial number indicating the year and the number of the advisory opinion rendered;
(e) The signature of the commission chair; and
(f) Any other requirements in the Revised Code.
(2) All informal opinions, written to an individual and reviewed and voted on by the commission at an open meeting, will include:
(a) A statement of facts upon which the conclusions are based; and
(b) A discussion of the facts and the application of the law.
(3) Staff opinions, based on prior formal or informal opinions of the commission, are not reviewed or voted on by the commission. Staff opinions will include:
(a) A statement of the facts upon which the conclusions are based;
(b) A discussion of the facts and the application of the law; and
(c) A statement that the staff opinion represents the views of the signing advisory attorney, based on the commission's past advisory opinions.
(C) Formal, informal, and staff opinions will provide the recipient, and any person similarly situated to the recipient, the immunity described in section 102.08 of the Revised Code, provided that the facts are fully disclosed and the recipient or similarly situated person fully complies with the guidance in the opinion.
(D) The commission will maintain a record of all advisory opinions rendered.
Last updated October 10, 2023 at 2:48 PM
History
- Effective: February 11, 2017
- Promulgated Under: 111.15
Ohio Adm.Code 102-1-02 Jurisdiction.
The jurisdiction of the commission is derived from Chapter 102. and sections 2921.42 and 2921.43 of the Revised Code.
Last updated October 10, 2023 at 2:47 PM
History
- Effective: January 1, 2002
- Promulgated Under: 111.15
Ohio Adm.Code 102-1-03 Commission and staff.
Duties described in Chapter 102. of the Administrative Code will be performed by the commission and/or staff as authorized by the commission.
Last updated October 10, 2023 at 2:47 PM
History
- Effective: January 1, 2002
- Promulgated Under: 111.15
Ohio Adm.Code 102-1-04 Notice procedure for rule-making.
This rule is adopted in accordance with division (A) of section 119.03 of the Revised Code.
The commission, in giving public notice as to the adoption, amendment, or rescission of any rule required to be adopted under Chapter 119. of the Revised Code, must publish a notice, at least once, in the register of Ohio, and in such other publications as the commission may determine from time to time. The notice must appear at least thirty days prior to the date set for the hearing of the proposed action on any such rule. The notice must meet the requirements of division (A) of section 119.03 of the Revised Code.
Last updated October 10, 2023 at 2:47 PM
History
- Effective: January 1, 2002
- Promulgated Under: 119.03
Ohio Adm.Code 102-1-05 Commission meetings; notice of meetings.
(A) Meetings; quorum; action
The commission will act only at a meeting conducted in accordance with this rule. Four members of the commission constitutes a quorum. No action will be taken by the commission without the concurrence of four members of the commission. Where necessary, Robert's Rules of Order Newly Revised will be used as a guide to the proceedings of the commission.
(B) Notice of meetings
(1) Meetings of the commission shall be:
(a) Held in accordance with a schedule adopted by the commission; or
(b) Scheduled at a previous meeting of the commission; or
(c) Called by the chair or a majority of the members with written notice to each member at least five days prior to the meeting, in the case of notice by mail, or at least one day prior to the meeting, in the case of notice by telephone, facsimile, electronic mail, or other communication method used by the commission. Notice of meetings will specify the time and place of the meeting.
(2) Notice of a meeting may be waived by a commission member either before or after the meeting. Attendance at a meeting will constitute waiver of notice by a commission member, unless the member objects to holding the meeting on the ground of lack of notice or insufficiency of notice, either during the meeting or within a reasonable time thereafter.
(C) Public notice of meetings
(1) Authority: This rule is adopted in accordance with division (F) of section 121.22 of the Revised Code.
(2) The commission may post meeting notices on its web site.
(3) Any person may obtain notice of the time and place of any regularly scheduled meeting, and the time, place, and purpose of any special or emergency meeting, by requesting notice before the close of the business day prior to the meeting from the commission in one of these ways:
(a) Writing to: "Ohio Ethics Commission, 30 West Spring Street L3, Columbus, Ohio 43215";
(b) Calling the office of the commission, during normal business hours, at the following telephone number: (614) 466-7090;
(c) Sending a facsimile to the office of the commission at the following facsimile number: (614) 466-8368; or
(d) Sending an electronic mail request to the following electronic mail address: ethics@ethics.ohio.gov.
(4) Any person may obtain notice of all scheduled meetings by sending a written request to the commission via mail, facsimile or electronic mail to the mailing address, facsimile number, or electronic mail address provided in paragraph (C)(2) of this rule. The request must include sufficient information such that the commission may contact the person under the provisions of this rule. Notice to a publication or radio or television station will be limited to one representative. The commission will maintain a list of persons who have requested notice of all meetings.
(a) In the event of a meeting not of a special or emergency nature, the commission will notify all persons who have requested notice in accordance with the provisions in this rule by at least one of the following means:
(i) Written notice mailed at least four calendar days prior to the day of the meeting;
(ii) Notification by telephone at least twenty-four hours prior to the meeting. Such telephone notice will be considered completed if a message has been left for the person, or if the commission has made a reasonable effort but been unable to provide such telephone notice;
(iii) Notice by facsimile at least twenty-four hours prior to the meeting;
(iv) Notification by electronic mail at least twenty-four hours prior to the meeting.
(b) In the event of a special or emergency meeting, the commission will notify all listed persons by the means outlined in paragraph (C)(4)(a) of this rule. In the case of such an emergency meeting, the notice must be given as soon as possible after the emergency meeting is scheduled.
(D) Agenda:
The chair in consultation with the executive director will prepare an agenda for each regularly scheduled meeting. The agenda will be distributed to the commission members at least five days prior to each scheduled meeting. In the event of a special or emergency meeting, the chair, commission member, or executive director who calls the meeting of the commission will prepare an agenda for the meeting and include a copy of the agenda with the notice of the meeting distributed to commission members.
Last updated October 10, 2023 at 2:47 PM
History
- Effective: June 29, 2017
- Promulgated Under: 111.15
Ohio Adm.Code 102-1-06 Officers and committees.
(A) A chair and vice chair will be elected at the first annual meeting of each calendar year, and will serve for one year or until a successor is elected. The vice chair will preside at any meeting of the commission at which the chair is not present. In the absence of the chair and vice chair, the members present will designate a member as the presiding officer.
(B) The commission or chair may establish, abolish, modify, or appoint members or chairs of committees to assist in performing its statutory authority. No committee will make decisions that require the full vote of the commission. Meetings of committees will be subject to the same notice requirements as commission meetings, set forth in rule 102-1-05 of the Administrative Code. The advisory committee and investigative committee shall be standing committees.
Last updated October 10, 2023 at 2:48 PM
History
- Effective: June 29, 2017
- Promulgated Under: 111.15
Ohio Adm.Code 102-1-07 Personal information records.
(A) Except as otherwise provided in sections 102.02, 102.06, and 102.07 of the Revised Code and Chapters 102-7 and 102-9 of the Administrative Code, all personal information records of the commission will be maintained in accordance with Chapter 1347. of the Revised Code.
(B) The executive director will designate a staff member to be directly responsible for the personal information system. Such person will maintain all personal records in accordance with Chapters 102. and 1347. of the Revised Code, and shall:
(1) Inform each employee who has any responsibility for the operation or maintenance of the system, or for the use of personal information maintained in the system, of the applicable provisions of Chapter 1347. of the Revised Code and of all rules adopted in accordance with that chapter.
(2) Specify disciplinary measures to be applied to any employee who initiates or otherwise contributes to any disciplinary or other punitive action against any individual who brings to the attention of appropriate authorities, the press, or any member of the public, evidence of unauthorized use of information contained in the system.
(3) Inform a person who is asked to supply personal information for a system whether the person is legally required to, or may refuse to, supply the information.
(4) Monitor the accuracy, relevance, timeliness, and completeness of the personal information in the system and, in accordance with the procedures, maintain the personal information in the system with the accuracy, relevance, timeliness, and completeness that is necessary to assure fairness in any determination made with respect to a person on the basis of the information.
(5) Take reasonable precautions to protect personal information in the system from unauthorized modification, destruction, use, or disclosure.
(6) Assure the collection, maintenance and use of only personal information which is necessary and relevant to the functions the commission is required or authorized to perform by statute, ordinance, code, or rule and the elimination of such information when it is no longer necessary and relevant to those functions.
(7) Provide a person, who is asked to supply personal information that will be placed in an interconnected or combined system, with information relevant to the system, including the identity of the other agencies or organizations that have access to the information in the system.
Last updated October 10, 2023 at 2:48 PM
History
- Effective: November 29, 2007
- Promulgated Under: 111.15
Ohio Adm.Code 102-1-08 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 November 18, 2025 at 1:00 PM
History
- Effective: September 30, 2010
- Promulgated Under: 119.03
Ohio Adm.Code 102-1-09 Procedures for accessing confidential personal information.
For manual or computer personal information systems that contain confidential personal information, the Ohio ethics commission shall do the following:
(A) Criteria for accessing confidential personal information. Personal information systems of the Ohio ethics commission are managed on a "need-to-know" basis whereby the information owner determines the level of access required for an employee of the ethics commission to fulfill his/her job duties. The determination of access to confidential personal information shall be approved by the employee's supervisor and the information owner prior to providing the employee with access to confidential personal information within a personal information system. The ethics commission 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 ethics commission, the ethics commission 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 ethics commission 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 ethics commission shall notify the person whose information was invalidly accessed as soon as practical and to the extent known at the time. However, the ethics commission 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 ethics commission 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 ethics commission determines that notification would not delay or impede an investigation, the ethics commission shall disclose the access to confidential personal information made for an invalid reason to the person.
(2) Notification provided by the ethics commission 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 ethics commission executive director shall designate an employee of the ethics commission 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 ethics commission with both the implementation of privacy protections for the confidential personal information that the ethics commission 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 ethics commission executive director shall designate an employee of the ethics commission 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 November 18, 2025 at 1:00 PM
History
- Effective: September 30, 2010
- Promulgated Under: 119.03
Ohio Adm.Code 102-1-10 Valid reasons for accessing confidential person 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 ethics commission's exercise of its powers or duties, for which only employees of the Ohio ethics commission 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 ethics commission 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 ethics commission 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) Filing processes;
(10) Investigation or law enforcement purposes;
(11) Administrative hearings;
(12) Litigation, complying with an order of the court, or subpoena;
(13) Human resource matters (e.g., hiring, promotion, demotion, discharge, salary/compensation issues, leave requests/issues, time card approvals/issues);
(14) Complying with an executive order or policy;
(15) Complying with an ethics commission 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 ethics commission, authorized employees would also have valid reasons for accessing CPI in these following circumstances:
(1) Employees and members of the ethics commission may review CPI of individuals who are required to file confidential financial disclosure statements with the ethics commission in connection with administrative hearings or enforcement proceedings related to the filing of financial disclosure statements;
(2) Employees and members of the ethics commission may review CPI of individuals who are subject to the Ohio ethics law and related statutes (public officials and employees, candidates for public office, private and nonprofit corporations and organizations doing business with, seeking to do business with, or regulated by public agencies) in connection with the statutory authority, administrative rules, or a duty of the ethics commission; and
(3) Employees and members of the ethics commission may review CPI of individuals who are required to file confidential financial disclosure statements with the ethics commission in connection with implementing the process the ethics commission has approved to respond to requests from the auditor of state pursuant to division (B) of section 102.02 of the Revised Code to receive copies of confidential financial disclosure statements.
Last updated November 18, 2025 at 1:00 PM
History
- Effective: September 30, 2010
- Promulgated Under: 119.03
Ohio Adm.Code 102-1-11 Confidentiality statutes.
The following state statutes and administrative rules make personal information maintained by the Ohio ethics commission confidential and identify the confidential personal information within the scope of rules promulgated by the ethics commission in accordance with section 1347.15 of the Revised Code:
(A) Confidential financial disclosure statements: division (B) of section 102.02 of the Revised Code and rules 102-5-05 and 102-5-08 of the Administrative Code.
(B) Documents collected in connection with investigative activity of the Ohio ethics commission: section 102.06 of the Revised Code and Chapters 102-7, 102-9, and 102-11 of the Administrative Code.
Last updated November 18, 2025 at 1:00 PM
History
- Effective: September 30, 2010
- Promulgated Under: 119.03
Ohio Adm.Code 102-5-05
This rule is adopted pursuant to division (B) of section 102.02 of the Revised Code.
(A) The commission, using the rule-making procedures of Chapter 119. of the Revised Code, may require any public official or employee, who holds a position that involves a substantial and material exercise of administrative discretion in the formulation of public policy, expenditure of public funds, enforcement of laws, rules, and regulations of state, or the execution of other public trusts, to file an annual financial disclosure statement.
(B) When the commission determines, pursuant to paragraph (A) of this rule, that the duly appointed board or commission members or their designees of any entity are required to file annual financial disclosure statements, it will add the name of the entity to a list of entities whose members are required to file pursuant to these administrative rules. The commission shall maintain the list on its web site at https://ethics.ohio.gov/fds/filers.
(C) If an entity described in paragraph (B) of this rule changes its name, but members of the entity retain substantially the same powers, duties, or responsibilities under the new name, or if the powers, duties, or responsibilities are increased under the entity's new name, the commission's decision made pursuant to division (B) of section 102.02 of the Revised Code will apply to the members of the newly named board.
(D) Elected and appointed members of a governing board of a joint educational service center with a total student count of twelve thousand or more hold positions that involve a substantial and material exercise of administrative discretion in the formulation of public policy, expenditure of public funds, enforcement of laws, rules, and regulations of state, or the execution of other public trusts. The commission requires the members or their designees of these boards to file an annual financial disclosure statement.
(E) Those required to file a financial disclosure statement pursuant to this rule must do so in compliance with section 102.02 or 102.022 of the Revised Code.
(F) The commission must send any person who is required to file a financial disclosure statement under this rule written notice of this requirement not less than thirty days before the applicable filing deadline, unless the person is appointed after that date.
(G) If a person who is required to file a financial disclosure statement under this rule is appointed after that date, the commission will send the person written notice of this requirement within thirty days after the commission is notified of the appointment.
(H) In satisfying the written notice requirement described in paragraphs (F) and (G) of this rule, the commission may send written notice of the financial disclosure filing requirement to the entity with which the person is or was associated during the financial disclosure statement filing period.
Last updated August 31, 2026 at 4:14 PM
History
- Effective: August 28, 2026
- Promulgated Under: 119.03
Ohio Adm.Code 102-5-08
(A) The commission will examine each financial disclosure statement required to be kept confidential to determine whether the potential for a conflict of interest exists for the person who filed the financial disclosure statement.
(B) The potential for a conflict of interest exists if the private interests of the filer, as indicated by the financial disclosure statement, might interfere with the public interests the filer is required to serve in the exercise of the authority and duties of his or her office or position of employment.
(C) The commission will make the final determination of whether any information disclosed represents the potential for a conflict of interest. Upon a final determination by the commission and notification to the filer, any portion of a form reflecting the potential for a conflict of interest will be available for public inspection.
(D) The finding, by the commission, of the potential for a conflict of interest does not represent any finding of wrongdoing. The finding reminds the filer to guide any official actions regarding the interest in question in accordance with the law.
(E) The commission may, pursuant to section 102.06 of the Revised Code, require a filer of a confidential statement to complete a statement of interest, or request other information, disclosing whether the filer received income from, had investments with, or had any personal financial or fiduciary ties to, any person or entity doing or seeking to do business with, regulated by, or interested in matters before the filer's public agency.
Last updated October 10, 2023 at 2:50 PM
History
- Effective: February 11, 2017
- Promulgated Under: 111.15
Ohio Adm.Code 102-1-12 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 Ohio ethics commission 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 Ohio ethics commission acquires a new computer system that stores, manages or contains confidential personal information, the ethics commission shall include a mechanism for recording specific access by employees of the ethics commission to confidential personal information in the system.
(C) Upgrading existing computer systems. When the Ohio ethics commission modifies an existing computer system that stores, manages or contains confidential personal information, the ethics commission 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 ethics commission to confidential personal information in the system.
(D) Logging requirements regarding confidential personal information in existing computer systems.
(1) The Ohio ethics commission shall require employees of the ethics commission 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 ethics commission 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 ethics commission 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 ethics commission 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 ethics commission 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 ethics commission 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 ethics commission may choose the form or forms of logging, whether in electronic or paper formats.
(E) Log management. The Ohio ethics commission 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 ethics commission from requiring logging in any circumstance that it deems necessary.
Last updated November 18, 2025 at 1:00 PM
History
- Effective: September 30, 2010
- Promulgated Under: 119.03
Chapter 102-3 Advisory Opinions
Ohio Adm.Code 102-3-01 Advisory opinions.
(A) The commission may issue advisory opinions, as described in section 102.08 of the Revised Code related to ethics, conflicts of interest, financial disclosure, or any other topic covered by Chapter 102. of the Revised Code or section 2921.42 or 2921.43 of the Revised Code.
(B) Opinions can be formal, informal, or staff opinions.
(1) All formal advisory opinions, reviewed and voted on by the commission at an open meeting, will include the following:
(a) A syllabus summarizing the holding of the commission;
(b) A statement of facts upon which the conclusions are based. Such statement of facts need not disclose the name of any person;
(c) A discussion of the facts and the application of the law;
(d) A serial number indicating the year and the number of the advisory opinion rendered;
(e) The signature of the commission chair; and
(f) Any other requirements in the Revised Code.
(2) All informal opinions, written to an individual and reviewed and voted on by the commission at an open meeting, will include:
(a) A statement of facts upon which the conclusions are based; and
(b) A discussion of the facts and the application of the law.
(3) Staff opinions, based on prior formal or informal opinions of the commission, are not reviewed or voted on by the commission. Staff opinions will include:
(a) A statement of the facts upon which the conclusions are based;
(b) A discussion of the facts and the application of the law; and
(c) A statement that the staff opinion represents the views of the signing advisory attorney, based on the commission's past advisory opinions.
(C) Formal, informal, and staff opinions will provide the recipient, and any person similarly situated to the recipient, the immunity described in section 102.08 of the Revised Code, provided that the facts are fully disclosed and the recipient or similarly situated person fully complies with the guidance in the opinion.
(D) The commission will maintain a record of all advisory opinions rendered.
Last updated October 10, 2023 at 2:48 PM
History
- Effective: February 11, 2017
- Promulgated Under: 111.15
Ohio Adm.Code 102-3-02 Advisory committee.
(A) The commission may establish an advisory committee to assist in performing its advisory opinion authority. The advisory committee will be composed of fewer than four commission members.
(B) The advisory committee may meet as needed to perform the following activities:
(1) Review the advisory activity report reflecting recent advisory opinion requests;
(2) Review requests for opinions to be answered by the commission;
(3) Review drafts of opinions to be presented to the commission; and
(4) Other duties as assigned by the commission or chair, or as determined by the committee.
(C) The advisory committee will not issue advisory opinions, but may approve content or format changes, as directed by the commission. Drafts reviewed and approved by the advisory committee are not commission advisory opinions until they are approved by the commission.
Last updated October 10, 2023 at 2:49 PM
History
- Effective: February 11, 2017
- Promulgated Under: 111.15
Ohio Adm.Code 102-3-03 Advisory processes; requests.
(A) Within its resources, the commission will answer all written requests for advice related to any topic covered by Chapter 102. of the Revised Code or section 2921.42 or 2921.43 of the Revised Code submitted to the commission.
(B) The commission may acknowledge receipt of requests for advisory opinions.
(C) The commission will record all requests for advisory opinions in an annual log. The log will include:
(1) The date on which the request is received;
(2) The name of the requester;
(3) The public entity or entities involved;
(4) A brief description of the question; and
(5) A brief summary of the response to the question.
(D) The staff will periodically review the list of requests and responses with the advisory committee and/or the commission.
Last updated October 10, 2023 at 2:49 PM
History
- Effective: February 11, 2017
- Promulgated Under: 111.15
Ohio Adm.Code 102-3-04 Advisory processes; telephone and electronic mail guidance.
(A) Within its resources, the commission may provide assistance to any person who requests guidance on questions related to any topic covered by Chapter 102. of the Revised Code or sections 2921.42 and 2921.43 of the Revised Code, including requests made through telephone calls or electronic mail.
(B) Guidance provided by the commission in a telephone call or electronic mail is not an advisory opinion, and does not provide the recipient or other similarly situated person with the immunity of a written advisory opinion described in section 102.08 of the Revised Code.
Last updated October 10, 2023 at 2:49 PM
History
- Effective: February 26, 2012
- Promulgated Under: 111.15
Ohio Adm.Code 102-3-05 Advisory processes; RC section 102.04(D) statements.
(A) The commission will review all statements filed with the commission pursuant to the requirement in division (D) of section 102.04 of the Revised Code. If a statement is incomplete, or appears to be incorrect in any way, the commission will return a copy of the statement for completion or correction by the person who filed it.
(B) A statement is considered filed with the commission for purposes of division (D) of section 102.04 of the Revised Code when a signed statement is received by the commission that contains all of the requirements of that section.
(C) The commission will send an acknowledgment of receipt to every person who files a statement reflecting the information required in division (D) of section 102.04 of the Revised Code. The acknowledgment will remind the filer to send a copy of the statement to the agency the filer serves and to the agency to which the filer is providing goods or services or before which the filer is providing services for compensation.
(D) The commission will maintain a record of all statements filed with it pursuant to division (D) of section 102.04 of the Revised Code.
(E) Consistent with its retention schedule, the commission will retain all statements filed pursuant to division (D) of section 102.04 of the Revised Code.
Last updated October 10, 2023 at 2:49 PM
History
- Effective: February 11, 2017
- Promulgated Under: 111.15
Ohio Adm.Code 102-3-06 Advisory processes; availability and distribution.
(A) The commission will make all of its formal advisory opinions available on its web site.
(B) The commission will provide notice to all individuals who request it whenever an advisory opinion is added to the web site and will provide a link to the opinion.
(C) The commission will maintain an index of formal advisory opinions.
Last updated October 10, 2023 at 2:49 PM
History
- Effective: February 26, 2012
- Promulgated Under: 111.15
Ohio Adm.Code 102-3-07 Advisory opinions; request for reconsideration by recipient of opinion.
(A) Any person who receives an opinion can request that the commission reconsider the matter.
(B) When requesting reconsideration, the person must provide:
(1) Facts that were not before the commission or staff when the original request was considered and that would affect the conclusion reached in the original opinion; or
(2) A reason why the holding in the original opinion should be reversed or revised.
(C) All requests for reconsideration will be reviewed by the commission in an open meeting.
Last updated October 10, 2023 at 2:49 PM
History
- Effective: February 11, 2017
- Promulgated Under: 111.15
Ohio Adm.Code 102-3-08 Travel expenses paid or reimbursed by non-agency sources for travel to conferences, seminars, or similar events.
(A) The purpose of the rule is to set standards and conditions for the furnishing and acceptance of travel, meals, and lodging expenses or reimbursements, to public officials or employees, from sources other than the agency that the official or employee serves, for travel to conferences, seminars, and similar events, as defined in this rule and in appendix 1 to this rule.
(B) This rule applies to any public official or employee who is subject to the jurisdiction of the Ohio ethics commission as provided in division (F) of section 102.01 of the Revised Code. This includes officials or employees of any state department, board, commission, or university, any county, city, village, township, public library, port authority, regional transit authority, or other public agency. It does not include judicial officers and employees, or members or employees of the general assembly, and employees of the legislative service commission.
(C) As used in this rule:
(1) "Travel expenses" are transportation, meal, and lodging expenses paid for or reimbursed to a public official or employee. Travel expenses include, but are not limited to, payments or reimbursements for lodging, meals, food, or beverages, air, train, or cab fare, car rentals, and parking.
(2) "Conference" is a prearranged gathering with a formal agenda, for consultation or exchange of information or discussion that benefits the state or a political subdivision of the state including a meeting of a national, state, or regional organization.
(3) "Seminar" is a meeting on a particular subject or related subjects, usually with one or more instructors or experts, for education, discussion, study, or exchange of information.
(4) "Person" is an individual, corporation, tax-exempt or non-profit organization, business trust, estate, trust, partnership, association, or governmental agency or instrumentality.
(5) A person is "interested in matters before" a public agency if the person has a definite and direct financial interest in a matter that is before the agency.
(D) A public official or employee may accept travel expenses or reimbursements if the travel is connected with a conference, seminar, or similar event that is related to the public official's or employee's official duties and is not of such a character as to manifest a substantial and improper influence on the traveler with respect to that person's duties.
(E) Travel expenses or reimbursements provided under paragraph (D) of this rule are not of such a character as to manifest a substantial and improper influence on a public official or employee if both of these factors are met:
(1) Before the official or employee agrees to travel to the conference, seminar, or similar event, the agency that the official serves or employee works for determines that:
(a) The travel is related to the official's or employee's official duties; and
(b) The travel expenses are ordinary, customary, and necessary. Travel expenses are ordinary, customary, and necessary if they do not exceed the lesser of: (i) the amount of travel expenses that the official's or employee's agency allows to be reimbursed for travel to the destination; or (ii) the per diem rate set by the United States general services administration for travel to the destination that is in effect at the time of the travel.
(2) The source of the payment for or reimbursement of the public official's or employee's travel expenses is one of the following:
(a) A person that is not doing or seeking to do business with, regulated by, or interested in matters before the public agency that the official or employee serves; or
(b) Any governmental agency; or
(c) A statewide, multi-state, or regional consortium or collaborative, of which the public agency is a member, that was created for the purpose of fulfilling or advancing the agency's statutory mandate and that does not receive more than twenty-five per cent of its financial support from any persons that are doing or seeking to do business with, regulated by, or interested in matters before the public agency that the official or employee serves; or
(d) A person using funds that were provided to him or her by grant, contract, or gift, from a person described in paragraph (E)(2)(c) of this rule if the grant or contract agreement states, or gift terms stipulate, that the funds will be used for travel expenses of public officials and employees.
(F) A public official or employee who receives travel expenses or reimbursements under this rule must disclose their source and amount either:
(1) On the annual financial disclosure statement he or she is required to file by section 102.02 of the Revised Code or as a condition of employment if he or she is required to disclose sources and amounts of travel expenses; or
(2) To the public agency he or she serves.
(G) A public official or employee who accepts travel expenses or reimbursements in compliance with division (I) of section 102.03 of the Revised Code and this rule does not violate divisions (D) or (E) of section 102.03 and division (A) of section 2921.43 of the Revised Code.
(H) Any person who provides travel expenses to a public official or employee in compliance with division (I) of section 102.03 of the Revised Code and this rule does not violate division (F) of section 102.03 and division (A) of section 2921.43 of the Revised Code.
View Appendix
Last updated October 10, 2023 at 2:49 PM
History
- Effective: October 31, 2013
- Promulgated Under: 111.15
Chapter 102-5 Financial Disclosure Filing
Ohio Adm.Code 102-5-01 Definitions.
For purposes of Chapter 102-5 of the Administrative Code:
(A) "Assistant director" means an individual appointed by the director, and who acts as director in the absence or disability of the director, and acts as director when the position of director is vacant.
(B) "Chief administrative or executive officer" means an executive director, executive secretary, general manager, president, administrator, or other chief administrative or executive officer.
(C) "Commercial delivery service" means any delivery company that is incorporated in the state of Ohio or holds a certificate of compliance authorizing it to do business in this state and that maintains records of shipping and delivery dates.
(D) "Deputy director" means an individual who serves in a position below that of director and any assistant director, and above the position of division chief.
(E) "Director" means the administrative head of a state department who directs, supervises, and controls the officers and divisions of the department.
(F) "Division chief" means an individual who serves as head of a division or other part of a department established for the convenient performance of one or more of the functions committed to a department.
(G) "Entity" includes a board, commission, agency, institution, council, or other instrumentality of the state.
(H) "Filer" means any person who has filed, or is required to file, a financial disclosure statement with the Ohio ethics commission.
(I) "Person of equivalent rank" means any person who holds a position that is equivalent in rank to the positions of director, assistant director, deputy director, and division chief, as defined in paragraphs (A), (D), (E), and (F) of this rule.
(J) "Voluntary filer" means a person who is not required by division (A) or (B) of section 102.02 of the Revised Code to file a financial disclosure statement, and chooses to voluntarily file a statement with the commission that comports with the requirements of division (A) of section 102.02 of the Revised Code.
Last updated October 10, 2023 at 2:50 PM
History
- Effective: February 11, 2017
- Promulgated Under: 111.15
Ohio Adm.Code 102-5-02 Financial disclosure statements.
(A) The commission shall maintain all financial disclosure statements filed under section 102.02 of the Revised Code pursuant to its retention schedule.
(B) Financial disclosure statements will be stored by the commission in electronic or hard copy form. Statements stored in the commission's office or at a secure storage facility acquired for that purpose will be made available for public inspection at the commission's office. Statements maintained under this paragraph at the Ohio historical society will be available at the society.
(C) A financial disclosure statement that is required to be confidential pursuant to division (B) of section 102.02 of the Revised Code will be maintained by the commission at its office pursuant to the commission's retention schedule. Except as described in division (B) of section 102.02 of the Revised Code and rule 102-5-08 of the Administrative Code, a financial disclosure statement that is required to be confidential is not available for public inspection.
(D) A financial disclosure statement filed by a voluntary filer must comply with the provisions of division (A) of section 102.02 of the Revised Code. A statement filed by a voluntary filer will be maintained in accordance with paragraph (B) of this rule.
Last updated October 10, 2023 at 2:50 PM
History
- Effective: February 11, 2017
- Promulgated Under: 111.15
Ohio Adm.Code 102-5-08
(A) The commission will examine each financial disclosure statement required to be kept confidential to determine whether the potential for a conflict of interest exists for the person who filed the financial disclosure statement.
(B) The potential for a conflict of interest exists if the private interests of the filer, as indicated by the financial disclosure statement, might interfere with the public interests the filer is required to serve in the exercise of the authority and duties of his or her office or position of employment.
(C) The commission will make the final determination of whether any information disclosed represents the potential for a conflict of interest. Upon a final determination by the commission and notification to the filer, any portion of a form reflecting the potential for a conflict of interest will be available for public inspection.
(D) The finding, by the commission, of the potential for a conflict of interest does not represent any finding of wrongdoing. The finding reminds the filer to guide any official actions regarding the interest in question in accordance with the law.
(E) The commission may, pursuant to section 102.06 of the Revised Code, require a filer of a confidential statement to complete a statement of interest, or request other information, disclosing whether the filer received income from, had investments with, or had any personal financial or fiduciary ties to, any person or entity doing or seeking to do business with, regulated by, or interested in matters before the filer's public agency.
Last updated October 10, 2023 at 2:50 PM
History
- Effective: February 11, 2017
- Promulgated Under: 111.15
Ohio Adm.Code 102-5-03 Financial disclosure filing requirement; persons of equivalent rank to directors, assistant directors, deputy directors, or division chiefs of state administrative departments.
(A) Each director, assistant director, deputy director, division chief, and person of equivalent rank, of any administrative department of the state, must file a financial disclosure statement with the commission.
(B) Upon request by an administrative department of the state, the executive director of the commission, after reviewing the duties and responsibilities of a position of any employee or official of the department, may determine whether the employee or official holds a position of equivalent rank to director, assistant director, deputy director, or division chief, and is thereby required to file an annual financial disclosure statement. The executive director will report any determination made under this paragraph at the next commission meeting following such determination.
(C) At its discretion, or upon the request of a filer, the commission may review the decision of the executive director under paragraph (B) of this rule and change or modify that decision.
Last updated October 10, 2023 at 2:50 PM
History
- Effective: November 29, 2007
- Promulgated Under: 111.15
Ohio Adm.Code 102-5-04 Financial disclosure filing requirement; chief administrative or executive officers of sovereign power state boards and commissions.
This rule is adopted pursuant to division (B) of section 102.02 of the Revised Code.
(A) The chief administrative or executive officer of any entity who holds a position that involves a substantial and material exercise of administrative discretion in the formulation of public policy, expenditure of public funds, enforcement of laws, rules, and regulations of state, or the execution of other public trusts, is required to file an annual financial disclosure statement.
(B) The commission must send any person who is required to file a financial disclosure statement under this rule written notice of this requirement not less than thirty days before the applicable filing deadline, unless the person is appointed after that date.
(C) If a person who is required to file a financial disclosure statement under this rule is appointed after that date, the commission will send the person written notice of this requirement within thirty days after the commission is notified of the appointment.
(D) In satisfying the written notice requirement described in paragraphs (B) and (C) of this rule, the commission may send written notice of the financial disclosure filing requirement to the entity with which the person is or was associated during the financial disclosure statement filing period.
Last updated October 10, 2023 at 2:50 PM
History
- Effective: February 11, 2017
- Promulgated Under: 119.03
Ohio Adm.Code 102-5-05 Financial disclosure filing requirement; members of state boards and commissions.
This rule is adopted pursuant to division (B) of section 102.02 of the Revised Code.
(A) The commission, using the rule-making procedures of Chapter 119. of the Revised Code, may require any public official or employee, who holds a position that involves a substantial and material exercise of administrative discretion in the formulation of public policy, expenditure of public funds, enforcement of laws, rules, and regulations of state, or the execution of other public trusts, to file an annual financial disclosure statement.
(B) When the commission determines, pursuant to paragraph (A) of this rule, that the duly appointed board or commission members or their designees of any entity are required to file annual financial disclosure statements, it will add the name of the entity to a list of entities whose members are required to file pursuant to these administrative rules. The commission shall maintain the list on its web site at https://ethics.ohio.gov/fds/filers.
(C) If an entity described in paragraph (B) of this rule changes its name, but members of the entity retain substantially the same powers, duties, or responsibilities under the new name, or if the powers, duties, or responsibilities are increased under the entity's new name, the commission's decision made pursuant to division (B) of section 102.02 of the Revised Code will apply to the members of the newly named board.
(D) Elected and appointed members of a governing board of a joint educational service center with a total student count of twelve thousand or more hold positions that involve a substantial and material exercise of administrative discretion in the formulation of public policy, expenditure of public funds, enforcement of laws, rules, and regulations of state, or the execution of other public trusts. The commission requires the members or their designees of these boards to file an annual financial disclosure statement.
(E) Those required to file a financial disclosure statement pursuant to this rule must do so in compliance with section 102.02 or 102.022 of the Revised Code.
(F) The commission must send any person who is required to file a financial disclosure statement under this rule written notice of this requirement not less than thirty days before the applicable filing deadline, unless the person is appointed after that date.
(G) If a person who is required to file a financial disclosure statement under this rule is appointed after that date, the commission will send the person written notice of this requirement within thirty days after the commission is notified of the appointment.
(H) In satisfying the written notice requirement described in paragraphs (F) and (G) of this rule, the commission may send written notice of the financial disclosure filing requirement to the entity with which the person is or was associated during the financial disclosure statement filing period.
Last updated August 31, 2026 at 4:14 PM
History
- Effective: August 28, 2026
- Promulgated Under: 119.03
Ohio Adm.Code 102-5-06 Financial disclosure filing requirement; public officials subject to multiple filing requirements; voluntary filers.
(A) A person required to file a financial disclosure statement under more than one requirement of Chapter 102. of the Revised Code, because the person holds or held more than one public office or position during the calendar year or financial disclosure filing cycle, will be required to file only one statement for a calendar year.
(B) Generally, the statement required to be filed must meet the highest level of disclosure in accordance with the following:
(1) Whenever there is more than one level of disclosure involved, the statement that must be completed and the questions that must be answered must relate to the public position held or, in the case of a candidate for elective office, the position sought, that require the highest level of disclosure. If the person holds more than one filing position, but all have the same level of disclosure, then paragraph (B)(2) of this rule applies.
(2) If the filer must file for a current position, and a position he or she held in the past, both with the same level of disclosure, the statement that must be completed and the questions that must be answered must relate to the position currently held. If the person is in both filing positions simultaneously, or has left both filing positions, then paragraph (B)(3) of this rule applies.
(3) If the person holds more than one filing position at the same time, where all have the same level of disclosure, and one is an elected position or candidate for elective office, the statement that must be completed and the questions that must be answered must relate to the elective office. If none of the simultaneous positions held is an elective position, then paragraph (B)(4) of this rule applies.
(4) If the person holds more than one non-elective filing position at the same time, where all have the same level of disclosure, and one of the positions is employment, the statement that must be completed and the questions that must be answered must relate to the employment.
(C) The fee to be paid and the person or entity responsible for paying the fee is determined by the statement that is to be filed and the questions that are to be answered.
(D) If a person is required, for any filing year, to file both a confidential and a public statement, the person should file the statement indicated by paragraph (B) of this rule. The statement filed is a public record, regardless of which statement the person completes.
(E) The fee described in division (E)(1) of section R.C. 102.02 of the Revised Code must accompany a statement filed by a voluntary filer.
Last updated October 10, 2023 at 2:50 PM
History
- Effective: February 26, 2012
- Promulgated Under: 111.15
Ohio Adm.Code 102-5-07 Review of filed statements to determine completeness.
(A) Upon receipt of a financial disclosure statement, the commission, within a reasonable period of time, will review the financial disclosure statement to determine whether it is complete.
(B) If a person fails to respond to one or more required questions, the commission will deem the filing incomplete and return the statement, or a copy of the incomplete pages, with instructions for proper completion within fifteen days from the date the incomplete filing is returned to the person.
(C) If the commission does not receive a complete statement within the time designated under this rule, the commission will consider that the financial disclosure statement is not filed as required by law. The commission will send notice to the filer that late fees will be assessed if the statement is not filed within fifteen days of the date of the notice. The commission may handle the statement through its complaint process and ultimately refer persons who fail to comply with this rule for prosecution in accordance with the provisions of Chapter 102. of the Revised Code.
Last updated October 10, 2023 at 2:50 PM
History
- Effective: February 26, 2012
- Promulgated Under: 111.15
Ohio Adm.Code 102-5-09 Financial disclosure statement attachments.
(A) The ethics law requires that a financial disclosure statement must be complete at the time it is filed. A filer may submit additional information and request that the commission attach the information to the filer's statement. The commission will acknowledge receipt of the additional information.
(B) Upon receipt of additional information forwarded by the filer, the commission, or as otherwise delegated to the executive director, will determine whether the information should be attached to the filer's financial disclosure statement. During the course of the determination, the additional information will be kept confidential in accordance with section 102.06 of the Revised Code.
(C) In determining whether the information submitted in accordance with this rule should be attached to a filer's financial disclosure statement, the executive director and/or the commission will consider whether the facts demonstrate that, at the time the original filing was made, the filer inadvertently excluded the information submitted in accordance with this rule, or knowingly failed to provide the information required by sections 102.02 and 102.022 of the Revised Code, or knowingly filed a false statement.
(D) In determining whether good cause to allow the attachment has been shown, the executive director and/or the commission will take into consideration whether the statement is material to a complaint or charge.
(E) If the executive director and/or the commission determine that the information submitted in accordance with this rule should be attached to a filer's financial disclosure statement, the information submitted will be attached to the original filing and will be maintained and retained in the manner described in rule 102-5-02 of the Administrative Code.
Last updated October 10, 2023 at 2:51 PM
History
- Effective: February 11, 2017
- Promulgated Under: 111.15
Ohio Adm.Code 102-5-10 Deadlines; receipt of financial disclosure statements.
(A) General filing deadline:
(1) The general filing deadline is May fifteenth of each year.
(2) If May fifteenth falls on a day that the ethics commission is closed to the public for the entire day, the filing deadline will be determined by section 1.14 of the Revised Code.
(3) If the internal revenue service has extended or changed the April fifteenth filing deadline for federal tax returns in any year, the commission may, by a vote of four members, extend the general financial disclosure filing deadline up to thirty days past that deadline.
(4) The general filing deadline does not apply to any of the following persons:
(a) A candidate for elective office;
(b) A person appointed to an unexpired term of elective office;
(c) A person who holds elective office in a village advanced to city status;
(d) A person appointed to or employed in a non-elective filing position after February fifteenth of any calendar year; or
(e) A state employee serving in a filing position in a temporary working level until he or she has served in the position for more than ninety days.
The appropriate filing deadline for each of these individuals is set forth in this rule.
(B) Filing deadline for a candidate for elective office:
(1) A candidate for elective office must file the financial disclosure statement no later than the thirtieth day before the primary, special, or general election at which the candidate's candidacy is to be voted upon, whichever election occurs first.
(2) A person who is a write-in candidate must file the financial disclosure statement no later than the twentieth day before the earliest election at which the write-in candidate's candidacy is to be voted upon.
(3) For purposes of paragraphs (B)(1) and (B)(2) of this rule, a "candidate" is defined as a person certified by a board of elections for placement on the official ballot of a primary, general, or special election as described in division (H) of section 3501.01 of the Revised Code.
(4) An incumbent who serves in any of the offices for which the filing of a financial disclosure statement with the ethics commission is required, and who, at the time of the general filing deadline for the filing of a financial disclosure statement, is not certified by a board of elections for placement on the official ballot of a primary, special, or general election, is not a "candidate" at the time of the deadline. Therefore, the incumbent is required to file a financial disclosure statement with the Ohio ethics commission on or before the general filing deadline, due to having held office in the prior year, even if the incumbent intends to become a "candidate" later in the year in which the statement is required to be filed.
(C) Filing deadline for a person appointed to an unexpired term of elective office:
(1) A person appointed to fill a vacancy for an unexpired term of elective office must file the financial disclosure statement within fifteen days after the person is sworn into office.
(D) Filing deadline for a person who holds elective office in a village advanced to city status:
(1) A person who holds elective office in a village that has been advanced to a city based on an increase in the population of the municipality is not required to file a financial disclosure statement so long as the person continues in the village position to which the person was elected or appointed prior to the advancement of the municipality;
(2) A person who holds elective office in a village that has been advanced to a city must file a financial disclosure statement consistent with paragraph (B) of this rule if the person is a candidate or write-in candidate for an elective position with the city.
(E) Filing deadline for a person newly appointed to, or employed in, a non-elective filing position after February fifteenth of any calendar year:
(1) A person who is newly appointed to a non-elective position after February fifteenth must file within ninety days of the appointment date or the term start date, whichever is later.
(2) A person who is employed in a non-elective position after February fifteenth must file within ninety days of the employment date.
(F) Filing deadline for a state employee serving in a filing position in a temporary working level:
(1) A state employee serving in a filing position in a temporary working level for fewer than ninety days is not required to file a financial disclosure statement;
(2) A state employee serving in a filing position in a temporary working level for ninety days or more is required to file a financial disclosure statement. The employee must file the statement within one hundred eighty days of the date he or she was appointed or employed in the filing position.
(G) Financial disclosure statements filing date:
(1) The United States post office postmark, the shipping date of a commercial delivery service, or the date on the electronic filing confirmation receipt will be the filing date.
(2) The date a financial disclosure statement is physically received by the commission will be the filing date of any financial disclosure statement without a United States post office postmark, or shipping date of a commercial delivery service.
Last updated October 11, 2023 at 1:05 PM
History
- Effective: February 11, 2017
- Promulgated Under: 111.15
Ohio Adm.Code 102-5-11 Extensions.
(A) The commission and/or the executive director may extend any filing deadline for thirty or sixty days for good cause shown.
(B) A person who requires additional time to complete a financial disclosure statement may submit a written request to the commission for an extension of the applicable deadline.
(C) The extension request must be received prior to the applicable deadline and must include the reason for which the extension is necessary.
(D) The commission and/or the executive director may extend, to the same person for the same filing period, more than one extension for good cause shown.
(E) The filing deadline for any person who is deployed in the military is automatically extended to ninety days after the end of the person's deployment and return home.
Last updated October 11, 2023 at 1:05 PM
History
- Effective: February 11, 2017
- Promulgated Under: 111.15
Ohio Adm.Code 102-5-12 Payment of late fees.
(A) If a statement is not filed on time pursuant to section 102.02 of the Revised Code, as described in rules 102-5-07 and 102-5-10 of the Administrative Code, the commission will assess a fee pursuant to division (F) of section 102.02 of the Revised Code.
(B) The party who is responsible for the filing fee is also responsible for any assessed late fee.
Last updated October 11, 2023 at 1:05 PM
History
- Effective: February 11, 2017
- Promulgated Under: 111.15
Ohio Adm.Code 102-5-13 Financial disclosure statement complaints.
(A) The commission may file a complaint against a person who fails to file a complete financial disclosure statement as required by law pursuant to section 102.06 of the Revised Code.
(B) The commission may file a complaint against a person who filed a financial disclosure statement that contains information that the filer knows, or has reason to know, is false.
Last updated October 11, 2023 at 1:05 PM
History
- Effective: January 1, 2002
- Promulgated Under: 111.15
Ohio Adm.Code 102-5-14 Disposition of financial disclosure statement complaints.
(A) A complaint against a person for failure to file a complete financial disclosure statement may be dismissed when the person files the required complete financial disclosure statement before or after the commission has taken any formal action on the hearing officer's report.
(B) In determining whether any complaint will be dismissed, with or without prejudice to refile, the commission may consider factors including, but not limited to, the following:
(1) Whether the commission has previously filed a complaint against the respondent for failure to file a financial disclosure statement;
(2) Whether the respondent has filed financial disclosure statement(s) late in previous filing cycles;
(3) Whether the commission has formally accepted the hearing officer's report and recommendation to refer the complaint for prosecution or other disposition;
(4) Whether the respondent has paid the required filing and/or late fees; and
(5) Whether the respondent was served with the complaint.
Last updated October 11, 2023 at 1:05 PM
History
- Effective: February 11, 2017
- Promulgated Under: 111.15
Ohio Adm.Code 102-5-15 Waiver of late fees.
The commission may waive a late fee imposed upon a person for failing to file a financial disclosure statement by the applicable filing deadline on a case-by-case basis under circumstances including, but not limited to, the following instances:
(A) The person objectively demonstrates the existence of a serious and compelling medical, legal or other reason that prevented filing by the applicable deadline; or
(B) The person objectively demonstrates that the public agency or appointing authority required by section 102.02 of the Revised Code to provide the financial disclosure statement failed to provide the statement or provided the statement late in the applicable filing period that made it impossible or unlikely for the person to comply with the required filing deadline. In so doing, the commission requires that an independent source must verify that the statutorily responsible agency or appointing authority failed to provide the financial disclosure statement or provided it late, and that such failure is not attributable to the filer's knowing inaction.
Last updated October 11, 2023 at 1:06 PM
History
- Effective: February 11, 2017
- Promulgated Under: 111.15
Ohio Adm.Code 102-5-16 Collection of financial disclosure statement filing and late fees.
(A) A collection notice will be forwarded to the person or entity owing financial disclosure statement filing and/or late fees. The notice will request payment of the amount owed and advise that the matter may be certified to the office of the Ohio attorney general pursuant to section 131.02 of the Revised Code.
(B) The commission may certify any unpaid amounts owed to the office of the Ohio attorney general for recovery pursuant to section 131.02 of the Revised Code.
Last updated October 11, 2023 at 1:06 PM
History
- Effective: February 11, 2017
- Promulgated Under: 111.15
Chapter 102-7 Investigations; Complaints
Ohio Adm.Code 102-7-01 Confidentiality.
Any complaint, charge, inquiry, or investigation relating to the proceedings of the commission will be private and confidential, and all papers, records, affidavits and documents relating to such matters will be kept confidential except as otherwise provided in Chapter 102. of the Revised Code. The retention of all papers, records, affidavits, and documents relating to these matters will be in accordance with section 149.34 of the Revised Code.
Last updated October 11, 2023 at 1:06 PM
History
- Effective: June 29, 2017
- Promulgated Under: 111.15
Ohio Adm.Code 102-7-02 Investigation processes.
(A) The commission shall investigate all complaints and may investigate any charge as defined in paragraph (C) of rule 102-1-01 of the Administrative Code.
(B) The commission may request additional information from any person in its investigation of a complaint or charge.
(C) A person from whom information is requested, by subpoena pursuant to division (D) of section 102.06 of the Revised Code or otherwise, shall furnish the information to the commission except as otherwise provided in section 102.06 of the Revised Code.
(D) The commission may apply to the court of common pleas of Franklin county for an action in contempt of court should a person fail to provide any information requested pursuant to a subpoena.
(E) The executive director, or general counsel in the absence of the executive director, shall have the authority to issue subpoenas pursuant to section 102.06 of the Revised Code subject to the subpoena issuance policy as adopted by the commission on July 23, 2015. This policy and its amendments are available at the office of the commission.
(F) The executive director or designee will report periodically to the commission on each investigation.
Last updated October 11, 2023 at 1:06 PM
History
- Effective: June 29, 2017
- Promulgated Under: 111.15
Ohio Adm.Code 102-1-01
For purposes of Chapter 102. of the Administrative Code:
(A) "Advisory opinion" means an opinion rendered by the commission or staff in response to a question concerning ethics, conflicts of interest, financial disclosure, or any other topic covered by Chapter 102. or section 2921.42 or 2921.43 of the Revised Code.
(1) "Formal advisory opinion" means an opinion reviewed and voted upon by the commission at an open meeting that includes the elements described in paragraph (B)(1) of rule 102-3-01 of the Administrative Code.
(2) "Informal advisory opinion" means an opinion written to an individual under the authority of the commission and reviewed and voted upon by the commission at an open meeting that includes the elements described in paragraph (B)(2) of rule 102-3-01 of the Administrative Code.
(3) "Staff advisory opinion" means an opinion written by a staff member, not reviewed or voted on by the commission, that is based on prior formal or informal opinions of the commission and includes the elements described in paragraph (B)(3) of rule 102-3-01 of the Administrative Code.
(B) "Chair" or "chairman" means the member of the commission elected as chairman pursuant to section 102.05 of the Revised Code.
(C) "Charge" means any allegation or other information, from any source, which alleges or indicates that a violation of Chapter 102. or section 2921.42 or 2921.43 of the Revised Code may have occurred.
(D) "Commission" means the Ohio ethics commission created pursuant to section 102.05 of the Revised Code.
(E) "Complainant" means any person, including the commission, a member of the commission, or an employee of the commission, who has filed a complaint with the commission.
(F) "Complaint" means a formal complaint filed with or initiated by the commission in accordance with section 102.06 of the Revised Code, concerning conduct alleged to be in violation of Chapter 102. or section 2921.42 or 2921.43 of the Revised Code.
(G) "Designee" means any person who is designated to serve in the place of another public official or employee for a board, commission, council, agency, department, or other such entity.
(H) "Executive Director" means the executive director appointed by the commission pursuant to section 102.05 of the Revised Code.
(I) "Mail" means regular United States first class mail, unless specified otherwise.
(J) "Party" means the commission, the respondent, or their representatives.
(K) "Representative" means any person whom the commission has authorized to appear or act on its behalf, or any person whom the complainant, respondent, or a witness has authorized to appear or act, on his or her behalf, as counsel before the commission.
(L) "Respondent" means a person against whom a complaint or charge has been filed with the commission.
(M) "Staff" means the executive director and any other employee of the commission.
Last updated October 10, 2023 at 2:47 PM
History
- Effective: February 26, 2012
- Promulgated Under: 111.15
Ohio Adm.Code 102-7-03 Investigative committee.
(A) The commission may establish an investigative committee to assist in performing its investigative authority. The investigative committee will be composed of fewer than four commission members.
(B) The investigative committee will meet to perform the following activities:
(1) Prioritize pending complaints and charges;
(2) Direct staff in setting investigative priorities based on the list;
(3) Review and prioritize complaints and charges to be opened as inquiries, investigations or settlement referrals;
(4) Review pending investigations; and
(5) Other duties as assigned by the commission.
(C) The investigative committee may recommend to the commission whether to open a matter as an inquiry or investigation or refer the matter for settlement.
Last updated October 11, 2023 at 1:06 PM
History
- Effective: January 1, 2002
- Promulgated Under: 111.15
Ohio Adm.Code 102-7-04 Charges.
(A) On the receipt of a charge, the commission may determine whether the matter is within its investigative authority.
(B) If the matter does not fall under its investigative authority, the commission shall inform the person making the charge and may make any appropriate referrals to other agencies.
(C) If the matter falls within its investigative authority, the commission may review and prioritize the charge and determine whether the charge should be opened as an investigation, inquiry, referred for settlement, or closed.
(D) The commission may authorize staff to share investigation information with any other investigative agency and the appointing or employing authority of the person who is the subject of a charge.
(E) The commission may take formal action against a person who is the subject of a charge by filing a complaint against the person. For purposes of this chapter, "formal action" includes compelling a person to file a statement required to be filed by section 102.02 or 102.021 of the Revised Code, or to provide further information to the commission, including the specific amount of income from a source, from any person filing with the commission a statement required by section 102.02 or 102.021 of the Revised Code.
Last updated October 11, 2023 at 1:07 PM
History
- Effective: June 29, 2017
- Promulgated Under: 111.15
Ohio Adm.Code 102-7-05 Complaints.
(A) The commission will receive and may initiate complaints concerning conduct alleged to be in violation of Chapter 102. or section 2921.42 or 2921.43 of the Revised Code against a person for whom the commission is the "appropriate ethics commission" under division (F)(3) of section 102.01 of the Revised Code.
(B) The commission will take no formal action against any person unless a complaint or charge has been filed against that person. A complaint, unless filed by the commission, must be by affidavit made on personal knowledge of all elements of an offense under section 102.02, 102.03, 102.04, 102.07, 2921.42, or 2921.43 of the Revised Code, subject to the penalties of perjury. A complaint filed by the commission must be by affidavit, based upon reasonable cause to believe that a violation has occurred.
(C) A complaint must be in writing, sworn before a notary public or other person authorized to take oaths, and include the following:
(1) The name, address, and position of the person against whom the complaint is filed;
(2) A citation of the specific provision of Chapter 102. or section 2921.42 or 2921.43 of the Revised Code alleged to have been violated;
(3) A statement of the essential facts constituting the offense charged and include each element of the offense of which the complainant must have personal knowledge;
(4) The name, address, and signature of the person filing the complaint.
(D) A complaint will be considered filed when it is received at the office of the commission. The date and time the complaint is received will be recorded. The executive director or designee will acknowledge receipt of the complaint with signature.
(E) The commission will return complaints not within its jurisdiction, complaints not supported by affidavit made on personal knowledge, and complaints otherwise determined to be incomplete or technically defective, with an explanation of each defect and, if appropriate, a description of the steps necessary to correct any technical defect.
(F) The commission will consider each complaint to determine whether the complaint is frivolous, and whether there is reasonable cause to believe that the facts alleged in the complaint constitute a violation of section 102.02, 102.03, 102.04, 102.07, 2921.42 or 2921.43 of the Revised Code.
(1) If the commission determines the complaint is not frivolous and that there is reasonable cause to believe that the facts alleged in the complaint constitute a violation of section 102.02, 102.03, 102.04, 102.07, 2921.42 or 2921.43 of the Revised Code, it will hold a hearing. The executive director will promptly notify the respondent, in accordance with paragraph (H) of this rule, that a complaint has been filed, and enclose a copy of the complaint.
(2) If the commission does not find that there is reasonable cause to believe that the facts alleged in the complaint constitute a violation of section 102.02, 102.03, 102.04, 102.07, 2921.42, or 2921.43 of the Revised Code, it will dismiss the complaint.
(G) The commission must schedule a hearing within ninety days of the filing of the complaint under paragraph (D) of this rule. If the commission has not scheduled a hearing within ninety days after the complaint is filed, it will dismiss the complaint. Upon the request of the accused, the commission shall make a public report of the dismissal, but all evidence and the record will remain confidential unless the accused person also requests that such evidence and the record be made public. If the commission refers a complaint or a charge factually related to a complaint for settlement under this rule, the time provisions for scheduling a hearing in this section are tolled from the date the commission makes the referral.
(H) The respondent must be given reasonable notice of the date, time, and place of the hearing, a statement of the charges and the law directly involved and notice that the respondent shall be given the opportunity to be represented by counsel and to have counsel appointed if the respondent cannot afford counsel. The notice must include the name of any hearing examiner appointed under rule 102-9-09 of the Administrative Code. Notice must be made under confidential cover by certified mail to the respondent's home address, place of employment, or public entity for which the respondent is required to file; or by delivering a copy to the respondent personally; or by leaving it at the respondent's usual place of residence with some person of suitable age and discretion then residing therein. Notice must be mailed or delivered not later than twenty days prior to the date of the hearing.
(I) Each complaint, except a complaint returned under paragraph (E) of this rule, will be assigned a number. The commission will record the complaint number, the name of the complainant and the respondent, a brief description of the complaint, and any subsequent action on the complaint.
Last updated November 18, 2025 at 1:01 PM
History
- Effective: June 29, 2015
- Promulgated Under: 111.15
Ohio Adm.Code 102-9-09
(A) The commission may establish the qualifications of, appoint, and fix the compensation of, hearing examiners pursuant to section 102.05 of the Revised Code. The commission may authorize the executive director to designate the hearing examiners.
(B) The respondent will be given the opportunity to object to the appointment of a hearing examiner, for good cause shown.
(C) Hearing examiners will have the same power and authority to conduct hearings as the commission.
(D) Within thirty days after the hearing, the hearing examiner must submit to the commission a written report, which must include, but need not be limited to:
(1) Findings of fact;
(2) Conclusions of law; and
(3) Recommendations of action to be taken by the commission.
(E) A copy of the report must be sent to the respondent, who will have twenty days from the date the report is mailed to file written objections to the findings of fact and conclusions of law in the report. The commission will review, approve, modify, or disapprove the recommendations of the hearing officer. No recommendation will become the findings of the commission until ordered by the commission. Findings of the commission have the same effect as if the hearing had been conducted by the commission.
(F) Nothing contained in this rule precludes the commission from appointing a member of the commission to serve as a hearing examiner.
Last updated October 11, 2023 at 1:08 PM
History
- Effective: November 29, 2007
- Promulgated Under: 111.15
Chapter 102-9 Hearings on Complaints
Ohio Adm.Code 102-9-01 General hearing procedures.
(A) The commission shall schedule a hearing within ninety days after the filing of a complaint, but may continue the hearing at the request of any party.
(B) The commission may conduct any inquiry appropriate to determine whether the respondent is unable to afford counsel without undue hardship, including, but not limited to, relying on forms and procedures promulgated by the Ohio Public Defender's Commission regarding indigent status.
(C) All witnesses at any hearing before the commission shall testify under oath or affirmation. A witness may be accompanied and advised by legal counsel. Participation by a witness's counsel will be limited to protection of the client's rights. Counsel for a non-party witness may neither examine nor cross-examine any witness.
(D) If a complaint is dismissed, the commission shall, on the written request of the respondent, make a public report of its findings. In such case, all evidence and the record of the hearing shall remain confidential unless the respondent requests, in writing, that the evidence and record be made available for public inspection.
(E) The filing of a request, motion or notice related to a commission hearing shall comply with the following:
(1) Any notice specifying the date, time, and place for a hearing mailed by the commission shall be served by certified mail. If the certified mail is returned unclaimed, the commission shall serve the notice by regular mail with a certificate of mailing, or by personal service to the accused. Any legal representative of record shall also be served the notice by regular mail at the address on file.
(2) The mailing date of any document mailed by the commission shall be the date appearing on the certified mail receipt or certificate of mailing, or date personal service was made as sworn to by an employee or agent of the commission.
(3) A document may be filed with the commission by hand-delivery, or regular U.S. mail, or encrypted electronic mail. If multiple copies of the same document are filed, only the first to be received by the commission will be time stamped and retained.
(4) A document is filed with the commission when the document is received and time stamped at the commission office located in Columbus, Ohio. Documents received after 4:30 p.m. on a business day will be time stamped as received by the commission the next business day.
Last updated October 11, 2023 at 1:07 PM
History
- Effective: June 29, 2017
- Promulgated Under: 111.15
Ohio Adm.Code 102-9-02 Counsel.
(A) Counsel shall enter their appearances in writing.
(B) A person who has entered an appearance as counsel for the accused shall remain counsel of record until a written withdrawal is filed with, and approved by, the commission.
Last updated October 11, 2023 at 1:07 PM
History
- Effective: June 29, 2017
- Promulgated Under: 111.15
Ohio Adm.Code 102-9-03 Discovery and depositions.
(A) On receiving a written request, the responding party shall provide a list of the witnesses, including name, address, phone number and summary of the expected testimony, and the documents the responding party intends to introduce at the hearing. Any request shall be made at least twenty calendar days before the hearing date. The response shall be filed with the commission and provided to the requesting party within fourteen calendar days after receipt of the request.
(B) A party shall permit the requesting party to examine and copy, at the requesting party's own expense, any evidence and documents intended to be used against the requesting party. Any request shall be made at least twenty calendar days prior to the hearing date. The responding party shall make the records available to the requesting party within fourteen calendar days after receipt of the request.
(C) If a party fails, without good cause, to comply with paragraphs (A) and (B) of this rule, the requested testimony and documents may, upon motion of the adversely affected party, be excluded from the hearing before the commission. The commission will determine whether a party has complied with paragraphs (A) and (B) of this rule.
(D) The commission may continue a hearing on its own motion or the motion of any party, for good cause shown, to permit discovery under paragraphs (A) and (B) of this rule.
(E) All discovery shall be completed at least five calendar days before the hearing date unless extended by the commission.
(F) All discovery matters that should come before the commission shall be decided by the commission chairman, or vice-chairman in the chairman's absence or unavailability, or hearing officer if appointed by the commission.
(G) A legal representative's work product is not subject to discovery.
(H) The executive director, or general counsel in the absence of the executive director, shall have the authority to issue subpoenas pursuant to section 102.06 of the Revised Code subject to the "Subpoena Issuance Policy" as adopted by the commission on July 23, 2015. This policy and its amendments are available at the office of the commission.
Last updated October 11, 2023 at 1:07 PM
History
- Effective: June 29, 2017
- Promulgated Under: 111.15
Ohio Adm.Code 102-9-04 Motions.
(A) The commission chairman, vice-chairman in the chairman's absence or unavailability, or hearing officer if appointed by the commission, shall rule on all motions.
(B) All motions will specifically state both the relief sought by the moving party and the basis for granting such relief.
(C) All motions shall be filed in writing and served at least five business days prior to the hearing date. The commission may waive the five-day requirement for good cause shown. Dispositive motions are not permitted to be filed under this rule.
Last updated October 11, 2023 at 1:07 PM
History
- Effective: June 29, 2017
- Promulgated Under: 111.15
Ohio Adm.Code 102-9-05 Continuances.
(A) Hearings may be continued on the commission's own motion or the motion of any party, for good cause shown.
(1) Requests for continuance shall be in writing and addressed to the chairman of the commission or the hearing officer assigned to the complaint in accordance with rule 102-9-09 of the Administrative Code. The request must be made not later than five calendar days prior to the scheduled date of the hearing. The chairman or hearing officer may waive the five-day requirement for good cause shown.
(2) Each party must contact all of the witnesses subpoenaed by that party and inform them of any continuance.
(B) If a continuance is granted, the commission shall establish a new hearing date. The time within which a hearing must be held shall be extended by the period of any continuance granted.
(C) Absent compelling circumstances, hearings will not be continued due to the unavailability of a subpoenaed witness. The commission may hold the record open or accept a trial deposition in lieu of oral testimony.
Last updated October 11, 2023 at 1:08 PM
History
- Effective: June 29, 2017
- Promulgated Under: 111.15
Ohio Adm.Code 102-9-09
(A) The commission may establish the qualifications of, appoint, and fix the compensation of, hearing examiners pursuant to section 102.05 of the Revised Code. The commission may authorize the executive director to designate the hearing examiners.
(B) The respondent will be given the opportunity to object to the appointment of a hearing examiner, for good cause shown.
(C) Hearing examiners will have the same power and authority to conduct hearings as the commission.
(D) Within thirty days after the hearing, the hearing examiner must submit to the commission a written report, which must include, but need not be limited to:
(1) Findings of fact;
(2) Conclusions of law; and
(3) Recommendations of action to be taken by the commission.
(E) A copy of the report must be sent to the respondent, who will have twenty days from the date the report is mailed to file written objections to the findings of fact and conclusions of law in the report. The commission will review, approve, modify, or disapprove the recommendations of the hearing officer. No recommendation will become the findings of the commission until ordered by the commission. Findings of the commission have the same effect as if the hearing had been conducted by the commission.
(F) Nothing contained in this rule precludes the commission from appointing a member of the commission to serve as a hearing examiner.
Last updated October 11, 2023 at 1:08 PM
History
- Effective: November 29, 2007
- Promulgated Under: 111.15
Ohio Adm.Code 102-9-06 Briefs.
The commission may require briefs from the parties. Within its discretion, the commission may provide page and time limits for the filing of briefs. The commission may grant a motion for an extension of time, for good cause shown, for the filing of a brief. Each party shall serve a copy of the brief on the commission or hearing examiner and the opposing party.
Last updated October 11, 2023 at 1:08 PM
History
- Effective: June 29, 2017
- Promulgated Under: 111.15
Ohio Adm.Code 102-9-07 Subpoenas.
(A) The commission shall issue subpoenas on the written request of any party.
(B) The commission chairman, vice-chairman in the absence or unavailability of the chairman, or hearing officer if appointed by the commission, may grant a motion to quash a subpoena, for good cause shown, at any time.
(C) Requests for subpoenas must be received by the commission at least fifteen calendar days before the date of the hearing.
(D) Subpoenas may be served personally by the commission, its designee, or a designated process server, or by certified mail, return receipt requested, or it may be directed to the sheriff of any county.
Last updated October 11, 2023 at 1:08 PM
History
- Effective: June 29, 2017
- Promulgated Under: 111.15
Ohio Adm.Code 102-9-08 Evidence.
(A) The commission may admit any relevant evidence that it determines to be reliable, probative, and substantial.
(B) The Ohio Rules of Evidence may be taken into consideration in determining the admissibility of evidence, but it shall not be controlling.
Last updated October 11, 2023 at 1:08 PM
History
- Effective: June 29, 2017
- Promulgated Under: 111.15
Chapter 102-11 Settlements
Ohio Adm.Code 102-11-01 Settlement referral pursuant to division (G)(1) of section 102.06 of the Revised Code.
(A) The commission may refer for settlement or compromise any complaint or charge pending before the commission or appropriate prosecuting authority. The commission will consult with the respondent, complainant and any other person the commission or the prosecuting authority considers necessary regarding the settlement referral.
(B) The commission may require the complainant to file a sworn affidavit with the commission setting forth the facts or allegations that the complainant requests the commission to consider during settlement negotiations. The complainant must serve a copy of the sworn affidavit on all parties. The commission may also require the respondent to file a sworn affidavit in response to the complainant's allegations within sixty days of the filing of complainant's affidavit with the commission.
(C) In determining whether a matter will be referred for settlement, the commission will assess the appropriateness of the referral. The commission may consider factors it deems relevant in making its assessment, including, but not limited to, the following factors:
(1) Severity of the alleged conduct including the dollar value involved in the alleged offense;
(2) Whether the alleged conduct is an isolated event or part of a repeated pattern of conduct;
(3) Whether the alleged conduct appears to indicate violations of other state or federal criminal laws;
(4) Complexity of issues or evidence alleged in the complaint or charge;
(5) Involvement of other appropriate agencies in the investigation of the respondent's conduct;
(6) Existence of commission precedent concerning the alleged or similar conduct;
(7) Prior contact of the respondent with the commission;
(8) Scope of investigation necessary to gather information;
(9) Age of the facts alleged in the complaint;
(10) Resources of the commission;
(11) Whether the respondent self-reported the potential violation; and
(12) Any other mitigating circumstances.
Last updated October 11, 2023 at 1:08 PM
History
- Effective: February 26, 2012
- Promulgated Under: 111.15
Ohio Adm.Code 102-11-02 Settlement negotiations.
(A) The settlement procedures may consist of any method decided by the commission and agreed to by the parties, including, but not limited to, mediation, arbitration, negotiation, criminal plea negotiations in conjunction with the appropriate prosecuting authority, and other forms of disposition.
(B) All papers, records, affidavits, and documents filed with the commission or relating to settlement negotiations will be sealed and are private and confidential, except as otherwise provided in section 102.06 of the Revised Code, unless the parties agree otherwise.
(C) The commission, in consultation with the parties, may establish guidelines that regulate the conduct of the settlement negotiations. The guidelines will be binding on all parties. The guidelines may contain requirements that all matters discussed in the settlement negotiations remain confidential after negotiations have ceased and that no party may compel the attendance of any commission member, employee, or agent as a witness regarding any matter discussed pursuant to the settlement negotiations.
(D) The commission may elect to resolve matters by issuing a notice of potential violation(s).
(1) In issuing a notice of potential violation(s), the commission shall forward an initial notice to the respondent reciting the basic facts establishing a potential violation. The initial notice shall provide a timeframe within which the respondent can contact the commission with contradictory information.
(2) After giving the respondent time to refute the allegations, the investigative committee or the commission may direct staff to issue a letter advising the respondent that the reported activity potentially violates the ethics law and should cease immediately. Further, notices of potential violation(s) shall provide notice that continued activity in violation of the ethics law may result in a formal investigation and potential prosecution.
Last updated September 3, 2024 at 3:07 PM
History
- Effective: September 3, 2024
- Promulgated Under: 111.15
Ohio Adm.Code 102-11-03 Failure of settlement.
In the event that the parties are unable to mutually agree to the terms of a settlement, the commission or prosecuting authority, in its discretion, may reinstate any investigation, hearing, or prosecution of the respondent.
Last updated October 11, 2023 at 1:09 PM
History
- Effective: June 29, 2017
- Promulgated Under: 111.15
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