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All members of the Senate or the House of
Representatives shall conduct themselves at all times so as to reflect credit
upon the member's respective chamber of the General Assembly, shall obey all
rules of the member's respective chamber of the General Assembly, and shall
conform the member's conduct to this Code of Ethics. All employees of the
Senate or House of Representatives and all employees of any legislative agency
shall conduct themselves at all times so as to reflect credit upon the
employee's respective chamber of the General Assembly or institution of employment,
shall obey all rules of the employee's respective chamber of the General
Assembly or institution of employment, and shall conform the employee's conduct
to this Code of Ethics.
(A) The Office of the Legislative Inspector General
shall accept disclosure statements filed by members and employees of the
General Assembly and employees of any legislative agency pursuant to section
102.02 of the Revised Code and shall maintain a file of all disclosure
statements that are filed pursuant to that section. Every member of the General
Assembly and every employee of the General Assembly and any legislative agency
who is required to file a financial disclosure statement, within the period
prescribed by law, shall file with the Office of the Legislative Inspector
General, a disclosure statement as provided for by section 102.02 of the
Revised Code. Each member and each employee of the General Assembly and
employee of any legislative agency required to file a financial disclosure statement,
within the period and in the manner prescribed by section 102.02 of the Revised
Code, shall receive from the Office of the Legislative Inspector General the
form on which the statement shall be prepared.
(B) Division (A)(2)(c) of section 102.02 of the
Revised Code applies to members of the General Assembly who are attorneys or
physicians or who otherwise engage in the practice of a profession and to the
clients, patients, and other recipients of professional services of members of
the General Assembly who are attorneys or physicians or who otherwise engage in
the practice of a profession, even if those clients, patients, and other
recipients of professional services are legislative agents.
(C) Division (A)(8) of section 102.02 of the Revised
Code requires a member of the General Assembly and an employee of the General
Assembly or any legislative agency required to file a disclosure statement
under section 102.02 of the Revised Code to identify on a disclosure statement
the source and amount of any payment of expenses incurred for travel to
destinations inside or outside this state that the member or employee receives
in the member's or employee's own name or that another person receives for the
member's or employee's use or benefit in connection with the member's or
employee's official duties, except for expenses for travel to meetings or
conventions of a national or state organization to which any state agency,
including, but not limited to, any legislative agency or state institution of
higher education as defined in section 3345.011 of the Revised Code, pays
membership dues, or any political subdivision or any office or agency of a
political subdivision pays membership dues.
(D) Division (A)(9) of section 102.02 of the Revised
Code requires a member of the General Assembly and an employee of the General
Assembly or any legislative agency required to file a disclosure statement
under section 102.02 of the Revised Code to identify on a disclosure statement
the source of payment of expenses for meals and other food and beverages that
are incurred in connection with the person's official duties and that exceed
one hundred dollars aggregated per calendar year, except for expenses for meals
and other food and beverages provided at a meeting at which the member or
employee participated in a panel, seminar, or speaking engagement or at a
meeting or convention of a national or state organization to which a state
agency, including, but not limited to, any legislative agency or state
institution of higher education as defined in section 3345.011 of the Revised
Code, pays membership dues, or any political subdivision or any office or
agency of a political subdivision pays membership dues.
(E)(1) Except as otherwise provided in division (E)(2)
of this section, in accordance with section 102.02 of the Revised Code, every
member of the General Assembly and every employee of the General Assembly or
any legislative agency required to file an annual statement under section
102.02 of the Revised Code shall disclose the source of a gift or gifts, where
the value of the gift or gifts aggregated per calendar year exceeds
seventy-five dollars, except gifts received by will or by virtue of section
2105.06 of the Revised Code, or received from spouses, parents, grandparents,
children, grandchildren, siblings, nephews, nieces, uncles, aunts, cousins,
brothers-in-law, sisters-in-law, sons-in-law, daughters-in-law, fathers-in-law,
mothers-in-law, step-relations, or any person to whom the member or employee of
the General Assembly or employee of any legislative agency stands in loco
parentis, or received by way of distribution from any inter vivos or
testamentary trust established by a spouse or by an ancestor.
(2) In accordance with section 102.02 of the Revised
Code, every member of the General Assembly and every employee of the General
Assembly or any legislative agency required to file an annual statement under
section 102.02 of the Revised Code shall disclose the source of a gift or gifts
from a legislative agent, where the value of the gift or gifts aggregated per
calendar year exceeds twenty-five dollars.
Any member of the General Assembly who engages in the
conduct or practice of a particular business, profession, trade, or occupation
that is subject to licensing or regulation by any branch, department, division,
institution, instrumentality, board, commission, or bureau of the state shall
file a notice that the member is the holder of a particular license, or is
engaged in such activity, as part of the financial disclosure statement
required by section 102.02 of the Revised Code.
(A) A member who has reason to believe that the member
has a substantial personal interest in legislation may request permission of
the chair to abstain from voting on the legislation and may state the member's
reason for the request. The request shall be granted by the chair or the
member's respective chamber of the General Assembly pursuant to the rules of
that chamber. The request and permission to abstain shall be entered in the
House or Senate Journal, as is appropriate.
(B) No member of the General Assembly shall vote on
any legislation that the member knows is then being actively advocated if the
member is one of the following with respect to a legislative agent or employer
that is then actively advocating on that legislation:
(1) An employee, as defined in section 102.031 of the
Revised Code;
(2) A business associate, as defined in section
102.031 of the Revised Code;
(3) A person, other than an employee, who is hired
under contract to perform certain services, and such position involves a
substantial and material exercise of administrative discretion in the
formulation of public policy.
(C) The Joint Legislative Ethics Committee may impose
a fine of not more than one thousand dollars upon a member of the General
Assembly who violates division (B) of this section.
(A) Except as provided in division (D) of section
102.04 of the Revised Code, no person elected to or employed by the General
Assembly or employed by any legislative agency shall receive or agree to
receive, directly or indirectly, compensation other than from the house with
which the person serves or from any legislative agency, if the person is a
legislative agency employee, for any service rendered or to be rendered by the
person personally in any case, proceeding, application, or other matter that is
before the General Assembly or any department, division, institution,
instrumentality, board, commission, or bureau of the state, excluding the
courts.
Division (A) of this section shall not be construed to
prohibit the performance of ministerial functions, including, but not limited
to, the filing or amendment of tax returns, applications for permits and
licenses, incorporation papers, security registrations, and other documents.
Except as provided in division (D) of section 102.04
of the Revised Code, no person elected to or employed by the General Assembly
or employed by any legislative agency shall sell or agree to sell, except
through competitive bidding, any goods or services to the General Assembly or
any department, division, institution, instrumentality, board, commission, or
bureau of the state, excluding the courts.
(B) No member or employee of the General Assembly or
employee of any legislative agency shall knowingly accept any of the following
from a legislative agent:
(1) The payment of any expenses for travel or lodging
except as otherwise authorized by division (H) of section 102.03 of the Revised
Code;
(2) More than seventy-five dollars aggregated per
calendar year as payment for meals and other food and beverages, other than for
those meals and other food and beverages provided to the member or employee at
a meeting at which the member or employee participates in a panel, seminar, or
speaking engagement, at a meeting or convention of a national organization to
which either house of the General Assembly or any state agency, including, but
not limited to, any legislative agency or state institution of higher education
as defined in section 3345.011 of the Revised Code, pays membership dues, or at
a dinner, party, or function to which all members of the General Assembly or
all members of either house of the General Assembly are invited.
(C) No member or employee of the General Assembly or
employee of any legislative agency shall knowingly accept from a legislative
agent a gift of any amount in the form of cash or the equivalent of cash, or a
gift or gifts of any other thing of value where the value of the gift or gifts
aggregated per calendar year exceeds seventy-five dollars. As used in this
division, "gift" does not include any contribution as defined in
section 3517.01 of the Revised Code or any gifts of meals and other food and
beverages or the payment of expenses incurred for travel to destinations either
inside or outside this state that is received by a member of the General
Assembly and that is incurred in connection with the member's official duties.
(D) It is not a violation of division (B)(2) of this
section if, within sixty days after receiving notice pursuant to division
(F)(2) of section 101.73 of the Revised Code from a legislative agent that the
legislative agent has provided a member of the General Assembly or an employee
of the General Assembly or any legislative agency with more than seventy-five
dollars aggregated in a calendar year as payment for meals and other food and
beverages that were purchased for consumption on the premises in which the food
and beverages were sold, the member or employee of the General Assembly or
employee of any legislative agency returns to that legislative agent the amount
received that exceeds seventy-five dollars.
No present or former member or employee of the General
Assembly or present or former employee of any legislative agency shall disclose
or use for the member's or employee's personal profit, without appropriate
authorization, any information acquired by the member or employee in the course
of the member's or employee's official duties that has been clearly designated
to the member or employee as confidential when such confidential designation is
warranted because of the status of the proceedings or the circumstances under
which the information was received and preserving its confidentiality is
necessary to the proper conduct of government business. No present or former
member or employee of the General Assembly or present or former employee of any
legislative agency shall disclose or use, without appropriate authorization,
any information acquired by the member or employee in the course of the
member's or employee's official duties that is confidential because of
statutory provisions, except as provided in section 101.30 of the Revised Code
or Section 12 or 13 of Article II, Ohio Constitution.
(A) No member or employee of the General Assembly or
employee of any legislative agency shall use or attempt to use or authorize the
use of the authority or influence of the member's or employee's office or
employment to secure anything of value or the promise or offer of anything of
value that is of such a character as to manifest a substantial and improper
influence upon the member or employee with respect to the member's or
employee's duties.
(B) No member or employee of the General Assembly or
employee of any legislative agency shall solicit or accept anything of value
that is of such a character as to manifest a substantial and improper influence
upon the member or employee with respect to the member's or employee's duties.
(C) No member of the General Assembly shall solicit or
receive funds from any legislative agent who is registered pursuant to section
101.72 of the Revised Code, for use other than by a political party, campaign
committee, legislative campaign fund, political action committee, or political
contributing entity, as defined in section 3517.01 of the Revised Code, except
that a member may solicit or receive funds from any legislative agent on behalf
of religious and benevolent organizations regulated by Chapter 1716. of the
Revised Code or charitable organizations that have registered with the Attorney
General pursuant to section 109.26 or 1716.02 of the Revised Code.
(D) In the absence of bribery or another offense under
the Revised Code or a purpose to defraud, the receipt of contributions, as
defined in section 3517.01 of the Revised Code, made to a campaign committee,
political party, legislative campaign fund, political action committee, or
political contributing entity on behalf of a member of or candidate for the
General Assembly does not violate divisions (A) and (B) of this section.
(E) A member or employee of the General Assembly and
an employee of any legislative agency may accept travel, meals, and lodging or
expenses or reimbursement of expenses for travel, meals, and lodging in
connection with conferences, seminars, and similar events related to the
member's or employee's official duties if the travel, meals, lodging, expenses,
or reimbursement is not of such a character as to manifest a substantial and
improper influence upon the member or employee with respect to those duties and
if, in relation to expenses or reimbursement for travel or lodging provided to
a member by a legislative agent, the expenses or reimbursement are not made in
violation of division (C)(1) of section 102.031 of the Revised Code. A member
or employee who acts in compliance with this division does not violate division
(A), (B), or (C) of this section.
(A) A member of the General Assembly shall utilize
General Assembly employees only for the official purposes for which they are
employed.
(B)(1) In accordance with section 3517.092 of the
Revised Code, no member of or candidate for the General Assembly, no campaign
committee of a member of or candidate for the General Assembly, no legislative
caucus campaign committee, and no other person or entity shall knowingly
solicit or accept a contribution on behalf of that member or candidate, that
member's or candidate's campaign committee, or a legislative caucus campaign
committee from any of the following:
(a) A state employee whose appointing authority is the
member of the General Assembly;
(b) A state employee whose appointing authority is
authorized or required by law to be appointed by the member of the General
Assembly;
(c) A state employee who functions in or is employed
by the Ohio Senate, the Ohio House of Representatives, or any legislative
agency;
(d) A state employee at the time of the solicitation,
whose appointing authority will be the candidate for the General Assembly, if
elected;
(e) A state employee at the time of the solicitation,
whose appointing authority will be appointed by the candidate for the General
Assembly, if elected, as authorized or required by law;
(f) A state employee at the time of the solicitation,
who will function in or be employed in or by the same public agency,
department, division, or office as the candidate for the General Assembly, if
elected.
(2) As used in this section, "contribution"
does not include services provided by individuals volunteering a portion of
their time on behalf of a campaign.
(C) In addition to any complaint brought or penalty
that may be imposed under sections 3517.152 to 3517.157 of the Revised Code,
the Joint Legislative Ethics Committee may receive and initiate complaints
against members and employees of, and candidates for, the General Assembly and
employees of any legislative agency concerning conduct alleged to be in
violation of this section. Upon a finding of a violation of this section, the
Joint Legislative Ethics Committee may recommend whatever sanction is
appropriate with respect to a particular member, employee, or candidate as will
best maintain in the minds of the public a good opinion of the conduct and
character of members and employees of the General Assembly.
(A) No member of or candidate for the General Assembly
shall convert, receive, or accept for personal or business use anything of
value from the member's or candidate's campaign fund, as defined in section
3517.01 of the Revised Code, including, without limitation, payments to the
member or candidate for services personally performed by the member or
candidate, except as reimbursement for any of the following:
(1) Legitimate and verifiable prior campaign expenses
incurred by the member or candidate;
(2) Legitimate and verifiable, ordinary, and necessary
prior expenses incurred by the member or candidate in connection with duties as
the holder of a public office, including, without limitation, expenses incurred
through participation in nonpartisan or bipartisan events where the
participation of the holder of a public office would normally be expected;
(3) Legitimate and verifiable, ordinary, and necessary
prior expenses incurred by a member or candidate while doing any of the
following:
(a) Engaging in activities in support of or opposition
to another candidate, political party, or ballot issue;
(b) Raising funds for a political party, political
action committee, campaign committee, legislative campaign fund, political
contributing entity, or other candidate;
(c) Participating in the activities of a political
party, political action committee, legislative campaign fund, political
contributing entity, or campaign committee;
(d) Attending a political party convention or other
political meeting.
(B) For purposes of division (A) of this section, an
expense is incurred whenever a member or candidate has either made payment or
is obligated to make payment, as by the use of a credit card or other credit
procedure, or by the use of goods or services received on account.
(C) No member of or candidate for the General Assembly
shall knowingly receive or accept reimbursement for an expense under division
(A) of this section to the extent that the expense previously was reimbursed or
paid from another source of funds. If an expense is reimbursed under division
(A) of this section and is later paid or reimbursed, wholly or in part, from
another source of funds, a member or candidate shall immediately repay the
reimbursement received under division (A) of this section to the extent of the
payment made or reimbursement received from the other source.
(D) A member of the General Assembly may be reimbursed
under division (A)(1) or (3) of this section for expenses incurred for the
member's meals and lodging in Franklin County if the expenses otherwise meet
the requirements for reimbursement under division (A)(1) or (3) of this section
and were not incurred while the member was in Franklin County to attend floor
sessions of the General Assembly or meetings of its committees, except that a
member may be reimbursed under division (A)(1), (2), or (3) of this section for
expenses incurred for the member's meals in Franklin County at any time if the
expenses otherwise meet the requirements for reimbursement under division
(A)(1), (2), or (3) of this section and were incurred for meals at which the
member hosted other persons.
(E) No member of or candidate for the General Assembly
shall accept for personal or business use anything of value from a political
party, political action committee, legislative campaign fund, political
contributing entity, or campaign committee other than the member's or
candidate's own campaign committee, except for the following:
(1) Reimbursement for legitimate and verifiable,
ordinary, and necessary prior expenses not otherwise prohibited by law incurred
by the member or candidate while engaged in any legitimate activity of the
political party, political action committee, legislative campaign fund,
political contributing entity, or such campaign committee. Without limitation,
reimbursable expenses under this division include those incurred while doing
any of the following:
(a) Engaging in activities in support of or opposition
to another candidate, political party, or ballot issue;
(b) Raising funds for a political party, campaign
committee, legislative campaign fund, or another candidate;
(c) Attending a political party convention or other
political meeting.
(2) Compensation not otherwise prohibited by law for
actual and valuable personal services rendered under a written contract to the
political party, political action committee, legislative campaign fund,
political contributing entity, or the member's or candidate's own campaign
committee for any legitimate activity of the political party, political action
committee, legislative campaign fund, political contributing entity, or such
campaign committee.
Reimbursable expenses under this division do not
include, and it is a violation of this division for a member or candidate to
accept from a political party, political action committee, legislative campaign
fund, political contributing entity, or campaign committee other than the
member's or candidate's own campaign committee, anything of value for
activities primarily related to the member's or candidate's own campaign for
election, except for contributions to the member's or candidate's campaign
committee.
For purposes of this division, an expense is incurred
whenever a member or candidate has either made payment or is obligated to make
payment, as by the use of a credit card or other credit procedure, or by the
use of goods or services received on account.
(F)(1) Divisions (A) and (C) of this section do not
prohibit a member's or candidate's campaign committee from making a direct
advance or post payment from the member's or candidate's campaign fund to
vendors for goods and services for which reimbursement is permitted under
division (A) of this section, except that no campaign committee shall pay a
member or candidate for services personally performed by the member or the
candidate.
(2) When any expense that may be reimbursed under
division (A), (C), or (E) of this section is part of other expenses that may
not be paid or reimbursed, the separation of the two types of expenses for the
purpose of allocating for payment or reimbursement those expenses that may be
paid or reimbursed may be by any reasonable accounting method, considering all
of the surrounding circumstances.
(3) For purposes of divisions (A), (C), and (E) of
this section, mileage allowance at a rate not greater than that allowed by the
Internal Revenue Service at the time the travel occurs may be paid instead of
reimbursement for actual travel expenses allowable.
(G) The Joint Legislative Ethics Committee shall
report violations of this section to the Elections Commission pursuant to
division (E)(1) of Section 13 of this Code of Ethics.
(A) No member of the General Assembly, employee of the
General Assembly who is required to file a financial disclosure statement under
section 102.02 of the Revised Code, or employee of any legislative agency who
is required to file a financial disclosure statement under section 102.02 of
the Revised Code shall solicit or accept an honorarium. This division and
divisions (A), (B), and (C) of Section 7 of this Code of Ethics do not prohibit
a member or employee who is required to file a financial disclosure statement
under section 102.02 of the Revised Code from accepting the payment of actual
travel expenses, including any expenses incurred in connection with the travel
for lodging, and meals, food, and beverages provided to the member or employee
at a meeting at which the member or employee participates in a panel, seminar,
or speaking engagement or provided to the member or employee at a meeting or
convention of a national organization to which either house of the General
Assembly, or any state agency, including, but not limited to, any legislative
agency or state institution of higher education as defined in section 3345.011
of the Revised Code, pays membership dues. This division and divisions (A),
(B), and (C) of Section 7 of this Code of Ethics do not prohibit an employee of
the General Assembly or employee of any legislative agency who is not required
to file a financial disclosure statement under section 102.02 of the Revised
Code from accepting an honorarium or the payment of travel, meal, and lodging
expenses if the honorarium, expenses, or both were paid in recognition of
demonstrable business, professional, or esthetic interests of the employee that
exist apart from the employee's public employment, including, but not limited
to, such a demonstrable interest in public speaking and were not paid by any
person or other entity, or by any representative or association of such person
or entities, that is regulated by, doing business with, or seeking to do
business with the General Assembly or any legislative agency.
(B) No member of the General Assembly shall conduct a
public or private fund raising event that seeks to provide money for the
member's personal use.
(C) As used in this section, "honorarium"
means any payment made in consideration for any speech given, article
published, or attendance at any public or private conference, convention,
meeting, social event, meal, or similar gathering. "Honorarium" does
not include ceremonial gifts or awards that have insignificant monetary value;
unsolicited gifts of nominal value or trivial items of informational value; or
earned income from any person, other than a legislative agent, for personal
services that are customarily provided in connection with the practice of a
bona fide business, if that business initially began before the member or
employee conducting that business was elected or appointed to the member's or
employee's office or position of employment.
If any person attempts to induce a member or employee
of or candidate for the General Assembly or employee of any legislative agency
to violate any provision of this Code of Ethics, the member, employee, or
candidate shall report the matter to the Joint Legislative Ethics Committee.
(A) The Joint Legislative Ethics Committee may
recommend legislation relating to ethics, conflicts of interest, and financial
disclosure and, upon a vote of a majority of its members, may render advisory
opinions with regard to questions concerning these matters for members and
employees of and candidates for the General Assembly and for employees of any
legislative agency.
(B) When the Joint Legislative Ethics Committee
renders an advisory opinion that has been publicly sought and that relates to a
special set of circumstances involving ethics, conflicts of interest, or financial
disclosure under Chapter 102. or section 2921.42 or 2921.43 of the Revised
Code, the person to whom the opinion was directed or who was similarly situated
may reasonably rely upon such opinion and shall be immune from criminal
prosecutions, civil suits, or actions for removal from the person's office or
position of employment for a violation of Chapter 102. or section 2921.42 or
2921.43 of the Revised Code based on facts and circumstances covered by the
opinion, if the opinion states that there is no violation of Chapter 102. or
section 2921.42 or 2921.43 of the Revised Code. The committee shall include in
every advisory opinion it renders a statement as to whether the set of
circumstances described in the advisory opinion constitutes a violation of section
2921.42 or 2921.43 of the Revised Code. When the Joint Legislative Ethics
Committee renders an opinion that has been publicly sought, the advisory
opinion is a public record available under section 149.43 of the Revised Code.
(C) When the Joint Legislative Ethics Committee
renders a written opinion that has been privately sought and that relates to a
special set of circumstances involving ethics, conflicts of interest, or
financial disclosure under Chapter 102. or section 2921.42 or 2921.43 of the
Revised Code, the written opinion does not have the legal effect of an advisory
opinion issued under division (B) of this section. When the Joint Legislative
Ethics Committee renders a written opinion that has been privately sought, the
written opinion is not a public record available under section 149.43 of the
Revised Code.
The person to whom a written opinion is issued under
this division may request the committee to issue the written opinion as an
advisory opinion. The person may make the request at any time within thirty
days after the written opinion is issued and prior to committing any proposed
action discussed in the written opinion. Upon receiving a timely request and
with the approval of a majority of the members of the committee, the committee
may issue the written opinion as an advisory opinion. If the committee issues
the written opinion as an advisory opinion, the advisory opinion has the same
legal effect as an advisory opinion issued under division (B) of this section
and is a public record available under section 149.43 of the Revised Code. If
the person commits any proposed action discussed in the written opinion before
the committee issues the written opinion as an advisory opinion, the advisory
opinion grants no immunity to the person regarding any action that is discussed
in the written opinion and that the person commits before the committee issues
the written opinion as an advisory opinion.
(D) The Joint Legislative Ethics Committee shall issue
an advisory opinion under division (B) of this section or a written opinion
under division (C) of this section, whether it is publicly or privately sought,
only at a meeting of the committee and only with the approval of a majority of
the members of the committee.
(E) All requests for an opinion shall be submitted in
writing by the member or employee of or candidate for the General Assembly or
employee of any legislative agency who desires the opinion and shall state in
the request whether the opinion is being publicly or privately sought. If the
request fails to state whether the opinion is being publicly or privately
sought, the committee shall consider the opinion to be privately sought. The
committee shall issue in writing all advisory opinions that have been publicly
sought, appropriately number them, and make them available for public
inspection. The Joint Legislative Ethics Committee shall conduct all of its
proceedings surrounding the rendering of an opinion so as to protect the
confidentiality of those named in the request for the opinion.
(A)(1) The Joint Legislative Ethics Committee shall
receive, and may initiate, complaints concerning breach of privilege and
complaints against members and employees of and candidates for the General
Assembly and employees of any legislative agency concerning conduct alleged to
be misconduct, a violation of Chapter 102. or section 2921.42 or 2921.43 of the
Revised Code, this Code of Ethics, or the House or Senate rules. All complaints
except those by the committee shall be by affidavit made on personal knowledge,
subject to the penalties of perjury. A complaint by the committee shall be by
affidavit, based upon facts that constitute reasonable cause to believe that a
breach of privilege, misconduct, or a violation of the House or Senate rules,
this Code of Ethics, or Chapter 102. or section 2921.42 or 2921.43 of the
Revised Code, has occurred. The complaint shall not contain innuendo,
speculative assertions, or conclusory statements.
At the first meeting of the committee in each calendar
year, the chairperson of the committee for that year shall appoint an
investigation subcommittee. The subcommittee shall consist of the chairperson
of the committee for that year and a member of the committee who is a member of
the chamber and political party of which the chairperson is not a member. This
subcommittee shall have the authority to issue subpoenas regarding complaints
referred to it and approve depositions by the Office of the Legislative
Inspector General.
(2) A complaint other than a complaint by the
committee shall be filed with the executive director of the Office of the
Legislative Inspector General of the Joint Legislative Ethics Committee. Upon
receiving the complaint, the executive director or the executive director's
designee shall gather, if necessary, preliminary facts surrounding the
complaint for presentation to the chairperson or committee. Thereafter, the
executive director shall seal the complaint and deliver it to the chairperson
of the Joint Legislative Ethics Committee. A complaint by the committee shall
be drafted by the legal counsel of the Office of the Legislative Inspector
General, and, if at least eight members of the committee approve the draft
complaint, the draft complaint shall be a complaint by the committee and shall
be filed with the Office of the Legislative Inspector General and delivered to
the chairperson of the committee.
Within fourteen days after the filing of a complaint
by a complainant, the chairperson shall notify the complainant that the
complaint has been filed with the committee, that all further proceedings of
the committee are confidential, that the committee is required to dismiss the
complaint if it is not disposed of within six months after the complaint is
filed, and that, if a report dealing with the complaint has not been published
in the House or Senate Journal, as appropriate, within that time, the complaint
has been dismissed because no violation was found to have been committed by the
accused person. Within fourteen days after the filing of any complaint, the
chairperson shall deliver a copy of the complaint to the accused person and
shall notify the accused person that the accused person may file, within twenty
days after receiving the copy, a written response to the complaint with the
executive director of the Office of the Legislative Inspector General and, if
desired, may file in addition to the written response a request to appear
personally before the committee to answer to the complaint. The executive
director immediately shall seal the written response to the complaint, the
request, or both and deliver the written response, the request, or both to the
chairperson.
Within forty-five days after the filing of any
complaint and at least twenty days after the chairperson has delivered a copy
of the complaint to the accused person, the chairperson shall convene a meeting
of the committee regarding the complaint. If at least eight members of the
committee find that the complaint before the committee is not frivolous and that
the facts alleged constitute on their face a breach of privilege, misconduct, a
violation of this Code of Ethics or the House or Senate Rules, or a violation
of Chapter 102. or section 2921.42 or 2921.43 of the Revised Code, the
committee shall refer the complaint to the Office of the Legislative Inspector
General for further investigation and may delegate to the investigation
subcommittee appointed pursuant to division (A)(1) of this section the
authority to issue subpoenas regarding a given complaint or other matter. The
chairperson of the committee shall notify the accused of the referral. Unless
eight members of the committee find that the complaint before the committee
alleges facts that, on their face, constitute a breach of privilege, misconduct,
a violation of this Code of Ethics or the House or Senate Rules, or a violation
of Chapter 102. or sections 2921.42 or 2921.43 of the Revised Code, the
committee shall dismiss the complaint.
(B) The Office of the Legislative Inspector General
shall investigate each complaint referred to it by the committee and shall
investigate any other matters as directed by the committee. The Office of the
Legislative Inspector General may request further information from the
complainant, any person presenting charges to the committee, the accused person
if the information sought is directly relevant to a complaint or charges
received by the committee pursuant to this section, and any other person it
believes may have information pertaining to the complaint or other matter
referred for investigation to the Office of the Legislative Inspector General.
It may request the committee to issue a subpoena to obtain any necessary
information. Upon the approval of the investigation subcommittee appointed
pursuant to division (A)(1) of this section, the Office of the Legislative
Inspector General may depose any person. Any person interviewed or deposed by
the Office of the Legislative Inspector General may be represented by an
attorney. The substance of any request for further information and the
information provided pursuant to any request are confidential. Except as
otherwise provided in this section, the person from whom information is
requested shall not divulge the substance of the committee's request to any
person other than the person's attorney and shall not divulge the information
provided in response to the request to any person other than the person's
attorney and any person necessary to prepare the information for delivery to
the committee. Except as otherwise provided in this section, no attorney or
person who prepares information for delivery to the committee shall divulge the
substance of the committee's request or the information provided in response to
the request.
Upon the completion of an investigation based on a complaint
referred to the Office of the Legislative Inspector General, the executive
director, or the executive director's designee, shall present to the committee
the executive director's or designee's preliminary findings with respect to the
facts and evidence gathered regarding the complaint. Upon receiving the
preliminary findings, the committee, upon a vote of at least eight members of
the committee, may refer the complaint back to the Office of the Legislative
Inspector General for further investigation, hold a hearing pursuant to
divisions (D) and (G) of this section, order remedial action pursuant to
division (D) of this section, or dismiss the complaint.
Upon the completion of an investigation of any other
matter referred to the Office of the Legislative Inspector General, the
executive director or the executive director's designee shall present to the
committee the executive director's or designee's preliminary findings with
respect to the facts and evidence gathered regarding the matter referred. Upon
receiving the preliminary findings, the committee, upon a vote of at least
eight members of the committee, may refer the matter back to the Office of the
Legislative Inspector General for further investigation, request that a
complaint be drafted by the legal counsel of the Office of the Legislative
Inspector General, terminate the investigation, or hold a hearing pursuant to
division (E) of this section.
Before the fifth day of each month, the executive
director of the Office of the Legislative Inspector General shall make a
report, in writing, to the committee regarding the status of any ongoing
investigation that the committee referred to the Office of the Legislative
Inspector General.
(C) Before the committee takes any formal action
against a person who is the subject of an investigation based upon a complaint
filed with the committee, the committee shall consider the complaint.
(D) The committee may defer action on a complaint
against members and employees of and candidates for the General Assembly and
employees of any legislative agency when the complaint alleges conduct that at
least eight members of the committee find reason to believe is being reviewed
by appropriate law enforcement or regulatory authorities, or when at least
eight members of the committee determine that it is appropriate for the conduct
alleged in the complaint to be reviewed initially by law enforcement or
regulatory authorities.
(E)(1) If, in any case in which a complaint is filed
with the committee, at least eight members of the committee find that the
complaint is not frivolous and there is reasonable cause to believe that the
facts alleged in the complaint constitute a breach of privilege, misconduct, or
a violation of Chapter 102. or section 2921.42 or 2921.43 of the Revised Code,
this Code of Ethics, or the House or Senate Rules, the committee shall hold a
hearing. At the hearing, the legal counsel of the Office of the Legislative
Inspector General shall present to the committee the case against the accused
person, introduce evidence, call witnesses, and cross-examine witnesses. The
chairperson of the committee shall make all rulings regarding procedure and the
admissibility of evidence. The hearing and all related proceedings of the
committee are absolutely confidential as provided under this Code of Ethics and
section 102.06 of the Revised Code. No member or employee of the committee,
person who staffs or otherwise serves the committee, witness, or other person
shall divulge any information about the hearing or related proceedings, except
that a witness and the complainant may consult with an attorney before and
after the hearing and any related proceeding, any witness may be represented by
an attorney while the witness is being examined or cross-examined, the accused
person may be represented by an attorney at all stages of the proceedings, and
the attorney of the accused person may attend all hearings and related
proceedings of the committee.
(2) If, in any case in which a complaint is filed with
the committee, at least eight members of the committee find that the complaint
is frivolous or that there is no reasonable cause to believe that the charge or
complaint constitutes a breach of privilege, misconduct, or a violation of
Chapter 102. or section 2921.42 or 2921.43 of the Revised Code, this Code of
Ethics, or the House or Senate Rules, the committee shall dismiss the complaint
and notify the accused person in writing of the dismissal of the complaint. If
the committee so dismisses the complaint, the committee shall not issue a
report of its findings unless the accused person requests a report. If the
accused person requests a report, the committee shall issue a report in
accordance with division (F)(2) of this section.
(3) If, in any case in which a complaint is filed with
the committee, the committee finds by unanimous concurrence of its membership
that there is reasonable cause to believe that the charges presented constitute
a breach of privilege, misconduct, or a violation of this Code of Ethics or the
House or Senate Rules but do not constitute a violation of Chapter 102. or
section 2921.42 or 2921.43 of the Revised Code and also finds by unanimous
concurrence of its membership that the breach of privilege, misconduct, or
violation was in good faith and without wrongful intent and the person has
taken or will take suitable remedial action, it may order the person to take
any further remedial action it considers necessary and, upon satisfaction that
any order it makes is complied with, terminate the investigation, with the concurrence
of the accused person. If an investigation is so terminated, the committee
shall not issue a report of its findings unless the accused person requests a
report. If the accused person requests a report, the committee shall issue a
report in accordance with division (F)(2) of this section. If the accused
person fails to comply with an order of the committee, the committee, upon
concurrence of at least eight of its members, shall proceed with the original
complaint filed against the person.
(F)(1) If, upon the basis of the hearing, at least
eight members of the committee find, based upon a preponderance of the
evidence, that the facts alleged in the complaint are true and constitute a
violation of Chapter 102. or section 2921.42 or 2921.43 of the Revised Code,
the committee, upon concurrence of at least eight of its members, shall order
the Office of the Legislative Inspector General to prepare a report of the
committee's findings to the appropriate prosecuting authority or other
appropriate body for proceedings in prosecution of the violations and, in
accordance with division (F)(1) of this section, issue a report to the General
Assembly recommending reprimand, censure, expulsion, or other sanction the
committee considers appropriate. Upon acceptance by at least eight members of
the committee of the report to the appropriate prosecuting authority or other
appropriate body, the committee shall report its findings to the appropriate
prosecuting authority, the Elections Commission, or other appropriate body.
This report is the investigative report described in division (E) of section
101.34 of the Revised Code and shall contain any findings of fact and
conclusions of law made by the committee. This report shall not contain any
papers, records, affidavits, or documents upon any complaint, inquiry, or
investigation relating to the proceedings of the committee. If at least eight
members of the committee find, based upon a preponderance of the evidence, that
the facts alleged in the complaint are true and constitute a violation of
division (B) of section 102.031 of the Revised Code, the committee may impose a
fine of not more than one thousand dollars upon the member.
(2) If, upon the basis of the hearing, at least eight
members of the committee find, based upon a preponderance of the evidence, that
a breach of privilege has been committed or that a member or employee of or
candidate for the General Assembly or employee of any legislative agency has
violated a provision of this Code of Ethics or the House or Senate Rules that
is not a violation of Chapter 102. or section 2921.42 or 2921.43 of the Revised
Code, or has committed misconduct, the committee, upon concurrence of at least
eight of its members and in accordance with division (F)(1) of this section,
may issue a report recommending reprimand, censure, expulsion, or other
sanction the committee considers appropriate or, upon a finding by unanimous
concurrence of its membership that the breach of privilege, misconduct, or
violation was in good faith and without wrongful intent and the person has
taken or will take suitable remedial action, may order the person to take any
further remedial action it considers necessary and, upon satisfaction that any
order it makes is complied with, dismiss the complaint without issuing a report
of its findings, unless the accused person requests a report. If the accused
person requests a report, the committee shall issue a report in accordance with
division (F)(2) of this section. If the person fails to comply with an order of
the committee, the committee, upon concurrence of eight of its members, shall
recommend some sanction.
(3) If, upon the basis of the hearing, at least eight
members of the committee do not find, based upon a preponderance of the
evidence, that the facts alleged in a complaint constitute a breach of
privilege, misconduct, or a violation of Chapter 102. or section 2921.42 or
2921.43 of the Revised Code, this Code of Ethics, or the House or Senate Rules,
the committee shall dismiss the complaint. The complaint shall also be
dismissed if the committee has not conducted a hearing within ninety days after
the complaint is filed with the committee, or if the committee has not finally
disposed of the complaint within six months after the complaint is filed with
the committee. The committee shall notify the accused person in writing of the
dismissal of the complaint. The committee shall not issue a report of its
findings unless the accused person requests a report. If the accused person
requests a report, the committee shall issue a report in accordance with
division (F)(2) of this section. If the committee issues the report, all
evidence and the record of the hearing shall remain confidential unless the
accused person also requests that the evidence and record be made public. Upon
request by the accused person, the committee shall make the evidence and the
record available for public inspection.
(G)(1) Any report of the committee that is issued
pursuant to division (E)(1) of this section and contains a finding that the facts
in the complaint are true and constitute a violation of Chapter 102. or section
2921.42 or 2921.43 of the Revised Code, or that is issued pursuant to division
(E)(2) of this section and contains a finding that a breach of privilege,
misconduct, or violation of this Code of Ethics or the House or Senate Rules
has occurred and recommends reprimand, censure, expulsion, or another
appropriate sanction, shall be entered in the House Journal and the Senate
Journal. The House of Representatives and the Senate shall vote on approval of
any report entered in the House or Senate Journal in accordance with this
division. Concurrence of two-thirds of the members of both the House and the
Senate shall be necessary for approval of the report, and, upon approval, any recommended
sanction shall be imposed immediately.
(2) If the investigation of the committee results in a
finding that a complaint that is filed is frivolous or that no misconduct,
breach of privilege, or violation of Chapter 102. or section 2921.42 or 2921.43
of the Revised Code, this Code of Ethics, or the House or Senate Rules has been
committed or if the committee terminates an investigation or dismisses a
complaint pursuant to division (E)(2) or (3) of this section, the committee
shall not issue a report of its findings unless the accused person requests a
report. If the accused person requests a report, the committee shall issue a
report and publish it in the House Journal, if the accused person is a member
or employee of, or candidate for, the House of Representatives, or the Senate
Journal, if the accused person is a member or employee of, or candidate for,
the Senate or an employee of any legislative agency. A report published in the
House or Senate Journal under division (F)(2) of this section does not require
a vote by the House or Senate.
(H) A person against whom a complaint is filed shall
be given by certified mail, return receipt requested, or by personal service
reasonable notice of the date, time, and place of the hearing and a statement
of the charges and the law or provision directly involved, and shall be granted
the following rights: to be represented by counsel, to have counsel appointed
for the person if the person is unable to afford counsel without undue
hardship, to examine the evidence against the person, to have access to all
information relative to the complaint that is in the possession or knowledge of
the committee or the Office of the Legislative Inspector General, to produce
evidence and to call and subpoena witnesses in the person's defense, to
confront the person's accusers, to cross-examine witnesses, to have a
stenographic record made of the hearing, to have the hearing follow the rules
of evidence applicable to the courts of this state, and to have the hearing
closed to the public. A person, with the approval of the committee, may waive
any or all of such rights by executing a written waiver and filing it with the
committee.
(I) The chairperson of the committee and the executive
director and chief legal counsel of the Office of the Legislative Inspector
General may administer oaths, and the committee or the investigation
subcommittee appointed pursuant to division (A)(1) of this section may issue
subpoenas to any person in the state compelling the attendance of witnesses and
the production of relevant papers, books, accounts, and records. The committee
or the investigation subcommittee shall issue subpoenas to compel the
attendance of witnesses and the production of documents upon the request of an
accused person. Section 101.42 of the Revised Code shall govern the issuance of
such subpoenas insofar as applicable. Upon the refusal of any person to obey a
subpoena, be sworn, or answer as a witness, the committee or the investigation
subcommittee may apply to the Court of Common Pleas of Franklin County under
section 2705.03 of the Revised Code. The court shall hold proceedings in
accordance with Chapter 2705. of the Revised Code. The committee, the Office of
the Legislative Inspector General, or the accused person may take the depositions
of witnesses residing within or without the state in the same manner as
prescribed by law for the taking of depositions in civil actions in the court
of common pleas.
(J)(1) All complaints, papers, records, affidavits,
and documents upon any complaint, inquiry, or investigation relating to the
proceedings of the committee shall be sealed and are private and confidential,
except as otherwise provided in this section. The substance of any charges
received by the committee and of any request made by the committee for further
information, any information received by the committee, all testimony and other
evidence presented during a hearing, and all committee discussions are private
and confidential, except as otherwise provided in this section. No person serving
on or employed in the service of the committee, or employee of the Office of
the Legislative Inspector General who staffs or otherwise assists the committee
or the Office of the Legislative Inspector General employee who staffs the
committee shall divulge any of the following:
(a) Any matter concerning a complaint after it is
filed with the executive director of the Office of the Legislative Inspector
General;
(b) In the case of complaints initiated by the
committee, any matter concerning a complaint after the matter is under
investigation by the committee, whether before or after a complaint is filed;
(c) Any other information that is made private and
confidential by this section.
(2) The requirement of confidentiality set forth in
division (I)(1) of this section includes without limitation divulging any
matter to members or employees of the House or Senate or employees of any
legislative agency who are not members of or assigned to the committee or to
any employees of the Office of the Legislative Inspector General who are not
assigned to staff the committee or do not assist any Office of the Legislative
Inspector General employee assigned to staff the committee, but does not
prevent any of the following:
(a) The issuance of a final report by the committee or
any commentary upon the contents of the final report;
(b) Discussion of any complaint, request for an
advisory opinion, charges presented to the committee, information related to a
complaint, to an advisory opinion request, or to charges presented to the
committee, proceedings of the committee, or other papers, records, affidavits,
documents, or proceedings that are made private and confidential by this
section between the members of the committee and any of the following:
(i) Any employees or staff of the committee;
(ii) Any employees of the General Assembly assigned to
serve the committee, and any employee who serves as legal counsel for a caucus
of the General Assembly;
(iii) Any employees of the Office of the Legislative
Inspector General assigned to staff the committee;
(iv) Any other persons employed by or assigned to
serve the committee.
(c) The preparation of any documents necessary for the
operation of the committee by employees of the General Assembly assigned to the
committee chairperson, employees of the General Assembly assigned to staff the
committee, or employees of the Office of the Legislative Inspector General who
assist the Office of the Legislative Inspector General employee assigned to
staff the committee, except that any confidentiality requirements of this
section applicable to the members of the committee shall apply to the employees
of the General Assembly, committee, or Office of the Legislative Inspector
General who prepare those documents.
(K) If a complaint filed with the committee alleges a
violation by a member of the committee, the member against whom the allegation
is made shall not vote on the matter. The committee shall conduct no business
concerning complaints unless a majority of its members are present.
(L) The committee shall deliver all notices and other
documents by certified mail, return receipt requested, or by personal service.
(M) Within fourteen days after the final disposition
of a complaint, either by dismissal or by referral to the appropriate
prosecuting authority, the committee shall notify the complainant of the
dismissal or referral by certified mail, return receipt requested, or by
personal service.
The Joint Legislative Ethics Committee may recommend
amendments to this Code of Ethics at any time by proposing to the General
Assembly a concurrent resolution containing the desired amendments.
Each member and employee of the General Assembly and
each employee of any legislative agency shall be given a copy of this Code of
Ethics within ten days after its adoption.
The Code of Ethics for the 129th General Assembly shall
be effective until the 130th General Assembly adopts the Code of Ethics for the
130th General Assembly.
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