WHEREAS, The Joint Legislative Ethics Committee is the | 13 |
appropriate ethics committee for matters relating to members and | 14 |
employees of the General Assembly, employees of any legislative | 15 |
agency, including the Correctional Institution Inspection | 16 |
Committee, Joint Committee on Agency Rule Review, Legislative | 17 |
Information Systems, Legislative Inspector General, and | 18 |
Legislative Service Commission, and candidates for the office of | 19 |
member of the General Assembly; now therefore be it | 20 |
All members of the Senate or the House of Representatives | 30 |
shall conduct themselves at all times so as to reflect credit upon | 31 |
the member's respective chamber of the General Assembly, shall | 32 |
obey all rules of the member's respective chamber of the General | 33 |
Assembly, and shall conform the member's conduct to this Code of | 34 |
Ethics. All employees of the Senate or House of Representatives | 35 |
and all employees of any legislative agency shall conduct | 36 |
themselves at all times so as to reflect credit upon the | 37 |
employee's respective chamber of the General Assembly or | 38 |
institution of employment, shall obey all rules of the employee's | 39 |
respective chamber of the General Assembly or institution of | 40 |
employment, and shall conform the employee's conduct to this Code | 41 |
of Ethics. | 42 |
(A) The Office of the Legislative Inspector General shall | 44 |
accept disclosure statements filed by members and employees of the | 45 |
General Assembly and employees of any legislative agency pursuant | 46 |
to section 102.02 of the Revised Code and shall maintain a file of | 47 |
all disclosure statements that are filed pursuant to that section. | 48 |
Every member of the General Assembly and every employee of the | 49 |
General Assembly and any legislative agency who is required to | 50 |
file a financial disclosure statement, within the period | 51 |
prescribed by law, shall file with the Office of the Legislative | 52 |
Inspector General, a disclosure statement as provided for by | 53 |
section 102.02 of the Revised Code. Each member and each employee | 54 |
of the General Assembly and employee of any legislative agency | 55 |
required to file a financial disclosure statement, within the | 56 |
period and in the manner prescribed by section 102.02 of the | 57 |
Revised Code, shall receive from the Office of the Legislative | 58 |
Inspector General the form on which the statement shall be | 59 |
prepared. | 60 |
(B) Division (A)(2)(c) of section 102.02 of the Revised Code | 61 |
applies to members of the General Assembly who are attorneys or | 62 |
physicians or who otherwise engage in the practice of a profession | 63 |
and to the clients, patients, and other recipients of professional | 64 |
services of members of the General Assembly who are attorneys or | 65 |
physicians or who otherwise engage in the practice of a | 66 |
profession, even if those clients, patients, and other recipients | 67 |
of professional services are legislative agents. | 68 |
(C) Division (A)(8) of section 102.02 of the Revised Code | 69 |
requires a member of the General Assembly and an employee of the | 70 |
General Assembly or any legislative agency required to file a | 71 |
disclosure statement under section 102.02 of the Revised Code to | 72 |
identify on a disclosure statement the source and amount of any | 73 |
payment of expenses incurred for travel to destinations inside or | 74 |
outside this state that the member or employee receives in the | 75 |
member's or employee's own name or that another person receives | 76 |
for the member's or employee's use or benefit in connection with | 77 |
the member's or employee's official duties, except for expenses | 78 |
for travel to meetings or conventions of a national or state | 79 |
organization to which any state agency, including, but not limited | 80 |
to, any legislative agency or state institution of higher | 81 |
education as defined in section 3345.011 of the Revised Code, pays | 82 |
membership dues, or any political subdivision or any office or | 83 |
agency of a political subdivision pays membership dues. | 84 |
(D) Division (A)(9) of section 102.02 of the Revised Code | 85 |
requires a member of the General Assembly and an employee of the | 86 |
General Assembly or any legislative agency required to file a | 87 |
disclosure statement under section 102.02 of the Revised Code to | 88 |
identify on a disclosure statement the source of payment of | 89 |
expenses for meals and other food and beverages that are incurred | 90 |
in connection with the person's official duties and that exceed | 91 |
one hundred dollars aggregated per calendar year, except for | 92 |
expenses for meals and other food and beverages provided at a | 93 |
meeting at which the member or employee participated in a panel, | 94 |
seminar, or speaking engagement or at a meeting or convention of a | 95 |
national or state organization to which a state agency, including, | 96 |
but not limited to, any legislative agency or state institution of | 97 |
higher education as defined in section 3345.011 of the Revised | 98 |
Code, pays membership dues, or any political subdivision or any | 99 |
office or agency of a political subdivision pays membership dues. | 100 |
(E)(1) Except as otherwise provided in division (E)(2) of | 101 |
this section, in accordance with section 102.02 of the Revised | 102 |
Code, every member of the General Assembly and every employee of | 103 |
the General Assembly or any legislative agency required to file an | 104 |
annual statement under section 102.02 of the Revised Code shall | 105 |
disclose the source of a gift or gifts, where the value of the | 106 |
gift or gifts aggregated per calendar year exceeds seventy-five | 107 |
dollars, except gifts received by will or by virtue of section | 108 |
2105.06 of the Revised Code, or received from spouses, parents, | 109 |
grandparents, children, grandchildren, siblings, nephews, nieces, | 110 |
uncles, aunts, cousins, brothers-in-law, sisters-in-law, | 111 |
sons-in-law, daughters-in-law, fathers-in-law, mothers-in-law, | 112 |
step-relations, or any person to whom the member or employee of | 113 |
the General Assembly or employee of any legislative agency stands | 114 |
in loco parentis, or received by way of distribution from any | 115 |
inter vivos or testamentary trust established by a spouse or by an | 116 |
ancestor. | 117 |
Any member of the General Assembly who engages in the conduct | 126 |
or practice of a particular business, profession, trade, or | 127 |
occupation that is subject to licensing or regulation by any | 128 |
branch, department, division, institution, instrumentality, board, | 129 |
commission, or bureau of the state shall file a notice that the | 130 |
member is the holder of a particular license, or is engaged in | 131 |
such activity, as part of the financial disclosure statement | 132 |
required by section 102.02 of the Revised Code. | 133 |
(A) Except as provided in division (D) of section 102.04 of | 160 |
the Revised Code, no person elected to or employed by the General | 161 |
Assembly or employed by any legislative agency shall receive or | 162 |
agree to receive, directly or indirectly, compensation other than | 163 |
from the house with which the person serves or from any | 164 |
legislative agency, if the person is a legislative agency | 165 |
employee, for any service rendered or to be rendered by the person | 166 |
personally in any case, proceeding, application, or other matter | 167 |
that is before the General Assembly or any department, division, | 168 |
institution, instrumentality, board, commission, or bureau of the | 169 |
state, excluding the courts. | 170 |
Except as provided in division (D) of section 102.04 of the | 176 |
Revised Code, no person elected to or employed by the General | 177 |
Assembly or employed by any legislative agency shall sell or agree | 178 |
to sell, except through competitive bidding, any goods or services | 179 |
to the General Assembly or any department, division, institution, | 180 |
instrumentality, board, commission, or bureau of the state, | 181 |
excluding the courts. | 182 |
(2) More than seventy-five dollars aggregated per calendar | 189 |
year as payment for meals and other food and beverages, other than | 190 |
for those meals and other food and beverages provided to the | 191 |
member or employee at a meeting at which the member or employee | 192 |
participates in a panel, seminar, or speaking engagement, at a | 193 |
meeting or convention of a national organization to which either | 194 |
house of the General Assembly or any state agency, including, but | 195 |
not limited to, any legislative agency or state institution of | 196 |
higher education as defined in section 3345.011 of the Revised | 197 |
Code, pays membership dues, or at a dinner, party, or function to | 198 |
which all members of the General Assembly or all members of either | 199 |
house of the General Assembly are invited. | 200 |
(C) No member or employee of the General Assembly or employee | 201 |
of any legislative agency shall knowingly accept from a | 202 |
legislative agent a gift of any amount in the form of cash or the | 203 |
equivalent of cash, or a gift or gifts of any other thing of value | 204 |
where the value of the gift or gifts aggregated per calendar year | 205 |
exceeds seventy-five dollars. As used in this division, "gift" | 206 |
does not include any contribution as defined in section 3517.01 of | 207 |
the Revised Code or any gifts of meals and other food and | 208 |
beverages or the payment of expenses incurred for travel to | 209 |
destinations either inside or outside this state that is received | 210 |
by a member of the General Assembly and that is incurred in | 211 |
connection with the member's official duties. | 212 |
(D) It is not a violation of division (B)(2) of this section | 213 |
if, within sixty days after receiving notice pursuant to division | 214 |
(F)(2) of section 101.73 of the Revised Code from a legislative | 215 |
agent that the legislative agent has provided a member of the | 216 |
General Assembly or an employee of the General Assembly or any | 217 |
legislative agency with more than seventy-five dollars aggregated | 218 |
in a calendar year as payment for meals and other food and | 219 |
beverages that were purchased for consumption on the premises in | 220 |
which the food and beverages were sold, the member or employee of | 221 |
the General Assembly or employee of any legislative agency returns | 222 |
to that legislative agent the amount received that exceeds | 223 |
seventy-five dollars. | 224 |
No present or former member or employee of the General | 226 |
Assembly or present or former employee of any legislative agency | 227 |
shall disclose or use for the member's or employee's personal | 228 |
profit, without appropriate authorization, any information | 229 |
acquired by the member or employee in the course of the member's | 230 |
or employee's official duties that has been clearly designated to | 231 |
the member or employee as confidential when such confidential | 232 |
designation is warranted because of the status of the proceedings | 233 |
or the circumstances under which the information was received and | 234 |
preserving its confidentiality is necessary to the proper conduct | 235 |
of government business. No present or former member or employee of | 236 |
the General Assembly or present or former employee of any | 237 |
legislative agency shall disclose or use, without appropriate | 238 |
authorization, any information acquired by the member or employee | 239 |
in the course of the member's or employee's official duties that | 240 |
is confidential because of statutory provisions, except as | 241 |
provided in section 101.30 of the Revised Code or Section 12 or 13 | 242 |
of Article II, Ohio Constitution. | 243 |
(C) No member of the General Assembly shall solicit or | 258 |
receive funds from any legislative agent who is registered | 259 |
pursuant to section 101.72 of the Revised Code, for use other than | 260 |
by a political party, campaign committee, legislative campaign | 261 |
fund, political action committee, or political contributing | 262 |
entity, as defined in section 3517.01 of the Revised Code, except | 263 |
that a member may solicit or receive funds from any legislative | 264 |
agent on behalf of religious and benevolent organizations | 265 |
regulated by Chapter 1716. of the Revised Code or charitable | 266 |
organizations that have registered with the Attorney General | 267 |
pursuant to section 109.26 or 1716.02 of the Revised Code. | 268 |
(D) In the absence of bribery or another offense under the | 269 |
Revised Code or a purpose to defraud, the receipt of | 270 |
contributions, as defined in section 3517.01 of the Revised Code, | 271 |
made to a campaign committee, political party, legislative | 272 |
campaign fund, political action committee, or political | 273 |
contributing entity on behalf of a member of or candidate for the | 274 |
General Assembly does not violate divisions (A) and (B) of this | 275 |
section. | 276 |
(E) A member or employee of the General Assembly and an | 277 |
employee of any legislative agency may accept travel, meals, and | 278 |
lodging or expenses or reimbursement of expenses for travel, | 279 |
meals, and lodging in connection with conferences, seminars, and | 280 |
similar events related to the member's or employee's official | 281 |
duties if the travel, meals, lodging, expenses, or reimbursement | 282 |
is not of such a character as to manifest a substantial and | 283 |
improper influence upon the member or employee with respect to | 284 |
those duties and if, in relation to expenses or reimbursement for | 285 |
travel or lodging provided to a member by a legislative agent, the | 286 |
expenses or reimbursement are not made in violation of division | 287 |
(C)(1) of section 102.031 of the Revised Code. A member or | 288 |
employee who acts in compliance with this division does not | 289 |
violate division (A), (B), or (C) of this section. | 290 |
(B)(1) In accordance with section 3517.092 of the Revised | 295 |
Code, no member of or candidate for the General Assembly, no | 296 |
campaign committee of a member of or candidate for the General | 297 |
Assembly, no legislative caucus campaign committee, and no other | 298 |
person or entity shall knowingly solicit or accept a contribution | 299 |
on behalf of that member or candidate, that member's or | 300 |
candidate's campaign committee, or a legislative caucus campaign | 301 |
committee from any of the following: | 302 |
(C) In addition to any complaint brought or penalty that may | 324 |
be imposed under sections 3517.152 to 3517.157 of the Revised | 325 |
Code, the Joint Legislative Ethics Committee may receive and | 326 |
initiate complaints against members and employees of, and | 327 |
candidates for, the General Assembly and employees of any | 328 |
legislative agency concerning conduct alleged to be in violation | 329 |
of this section. Upon a finding of a violation of this section, | 330 |
the Joint Legislative Ethics Committee may recommend whatever | 331 |
sanction is appropriate with respect to a particular member, | 332 |
employee, or candidate as will best maintain in the minds of the | 333 |
public a good opinion of the conduct and character of members and | 334 |
employees of the General Assembly. | 335 |
(A) No member of or candidate for the General Assembly shall | 337 |
convert, receive, or accept for personal or business use anything | 338 |
of value from the member's or candidate's campaign fund, as | 339 |
defined in section 3517.01 of the Revised Code, including, without | 340 |
limitation, payments to the member or candidate for services | 341 |
personally performed by the member or candidate, except as | 342 |
reimbursement for any of the following: | 343 |
(C) No member of or candidate for the General Assembly shall | 370 |
knowingly receive or accept reimbursement for an expense under | 371 |
division (A) of this section to the extent that the expense | 372 |
previously was reimbursed or paid from another source of funds. If | 373 |
an expense is reimbursed under division (A) of this section and is | 374 |
later paid or reimbursed, wholly or in part, from another source | 375 |
of funds, a member or candidate shall immediately repay the | 376 |
reimbursement received under division (A) of this section to the | 377 |
extent of the payment made or reimbursement received from the | 378 |
other source. | 379 |
(D) A member of the General Assembly may be reimbursed under | 380 |
division (A)(1) or (3) of this section for expenses incurred for | 381 |
the member's meals and lodging in Franklin County if the expenses | 382 |
otherwise meet the requirements for reimbursement under division | 383 |
(A)(1) or (3) of this section and were not incurred while the | 384 |
member was in Franklin County to attend floor sessions of the | 385 |
General Assembly or meetings of its committees, except that a | 386 |
member may be reimbursed under division (A)(1), (2), or (3) of | 387 |
this section for expenses incurred for the member's meals in | 388 |
Franklin County at any time if the expenses otherwise meet the | 389 |
requirements for reimbursement under division (A)(1), (2), or (3) | 390 |
of this section and were incurred for meals at which the member | 391 |
hosted other persons. | 392 |
(1) Reimbursement for legitimate and verifiable, ordinary, | 399 |
and necessary prior expenses not otherwise prohibited by law | 400 |
incurred by the member or candidate while engaged in any | 401 |
legitimate activity of the political party, political action | 402 |
committee, legislative campaign fund, political contributing | 403 |
entity, or such campaign committee. Without limitation, | 404 |
reimbursable expenses under this division include those incurred | 405 |
while doing any of the following: | 406 |
(2) Compensation not otherwise prohibited by law for actual | 413 |
and valuable personal services rendered under a written contract | 414 |
to the political party, political action committee, legislative | 415 |
campaign fund, political contributing entity, or the member's or | 416 |
candidate's own campaign committee for any legitimate activity of | 417 |
the political party, political action committee, legislative | 418 |
campaign fund, political contributing entity, or such campaign | 419 |
committee. | 420 |
Reimbursable expenses under this division do not include, and | 421 |
it is a violation of this division for a member or candidate to | 422 |
accept from a political party, political action committee, | 423 |
legislative campaign fund, political contributing entity, or | 424 |
campaign committee other than the member's or candidate's own | 425 |
campaign committee, anything of value for activities primarily | 426 |
related to the member's or candidate's own campaign for election, | 427 |
except for contributions to the member's or candidate's campaign | 428 |
committee. | 429 |
(A) No member of the General Assembly, employee of the | 458 |
General Assembly who is required to file a financial disclosure | 459 |
statement under section 102.02 of the Revised Code, or employee of | 460 |
any legislative agency who is required to file a financial | 461 |
disclosure statement under section 102.02 of the Revised Code | 462 |
shall solicit or accept an honorarium. This division and divisions | 463 |
(A), (B), and (C) of Section 7 of this Code of Ethics do not | 464 |
prohibit a member or employee who is required to file a financial | 465 |
disclosure statement under section 102.02 of the Revised Code from | 466 |
accepting the payment of actual travel expenses, including any | 467 |
expenses incurred in connection with the travel for lodging, and | 468 |
meals, food, and beverages provided to the member or employee at a | 469 |
meeting at which the member or employee participates in a panel, | 470 |
seminar, or speaking engagement or provided to the member or | 471 |
employee at a meeting or convention of a national organization to | 472 |
which either house of the General Assembly, or any state agency, | 473 |
including, but not limited to, any legislative agency or state | 474 |
institution of higher education as defined in section 3345.011 of | 475 |
the Revised Code, pays membership dues. This division and | 476 |
divisions (A), (B), and (C) of Section 7 of this Code of Ethics do | 477 |
not prohibit an employee of the General Assembly or employee of | 478 |
any legislative agency who is not required to file a financial | 479 |
disclosure statement under section 102.02 of the Revised Code from | 480 |
accepting an honorarium or the payment of travel, meal, and | 481 |
lodging expenses if the honorarium, expenses, or both were paid in | 482 |
recognition of demonstrable business, professional, or esthetic | 483 |
interests of the employee that exist apart from the employee's | 484 |
public employment, including, but not limited to, such a | 485 |
demonstrable interest in public speaking and were not paid by any | 486 |
person or other entity, or by any representative or association of | 487 |
such person or entities, that is regulated by, doing business | 488 |
with, or seeking to do business with the General Assembly or any | 489 |
legislative agency. | 490 |
(C) As used in this section, "honorarium" means any payment | 494 |
made in consideration for any speech given, article published, or | 495 |
attendance at any public or private conference, convention, | 496 |
meeting, social event, meal, or similar gathering. "Honorarium" | 497 |
does not include ceremonial gifts or awards that have | 498 |
insignificant monetary value; unsolicited gifts of nominal value | 499 |
or trivial items of informational value; or earned income from any | 500 |
person, other than a legislative agent, for personal services that | 501 |
are customarily provided in connection with the practice of a bona | 502 |
fide business, if that business initially began before the member | 503 |
or employee conducting that business was elected or appointed to | 504 |
the member's or employee's office or position of employment. | 505 |
(B) When the Joint Legislative Ethics Committee renders an | 520 |
advisory opinion that has been publicly sought and that relates to | 521 |
a special set of circumstances involving ethics, conflicts of | 522 |
interest, or financial disclosure under Chapter 102. or section | 523 |
2921.42 or 2921.43 of the Revised Code, the person to whom the | 524 |
opinion was directed or who was similarly situated may reasonably | 525 |
rely upon such opinion and shall be immune from criminal | 526 |
prosecutions, civil suits, or actions for removal from the | 527 |
person's office or position of employment for a violation of | 528 |
Chapter 102. or section 2921.42 or 2921.43 of the Revised Code | 529 |
based on facts and circumstances covered by the opinion, if the | 530 |
opinion states that there is no violation of Chapter 102. or | 531 |
section 2921.42 or 2921.43 of the Revised Code. The committee | 532 |
shall include in every advisory opinion it renders a statement as | 533 |
to whether the set of circumstances described in the advisory | 534 |
opinion constitutes a violation of section 2921.42 or 2921.43 of | 535 |
the Revised Code. When the Joint Legislative Ethics Committee | 536 |
renders an opinion that has been publicly sought, the advisory | 537 |
opinion is a public record available under section 149.43 of the | 538 |
Revised Code. | 539 |
(C) When the Joint Legislative Ethics Committee renders a | 540 |
written opinion that has been privately sought and that relates to | 541 |
a special set of circumstances involving ethics, conflicts of | 542 |
interest, or financial disclosure under Chapter 102. or section | 543 |
2921.42 or 2921.43 of the Revised Code, the written opinion does | 544 |
not have the legal effect of an advisory opinion issued under | 545 |
division (B) of this section. When the Joint Legislative Ethics | 546 |
Committee renders a written opinion that has been privately | 547 |
sought, the written opinion is not a public record available under | 548 |
section 149.43 of the Revised Code. | 549 |
The person to whom a written opinion is issued under this | 550 |
division may request the committee to issue the written opinion as | 551 |
an advisory opinion. The person may make the request at any time | 552 |
within thirty days after the written opinion is issued and prior | 553 |
to committing any proposed action discussed in the written | 554 |
opinion. Upon receiving a timely request and with the approval of | 555 |
a majority of the members of the committee, the committee may | 556 |
issue the written opinion as an advisory opinion. If the committee | 557 |
issues the written opinion as an advisory opinion, the advisory | 558 |
opinion has the same legal effect as an advisory opinion issued | 559 |
under division (B) of this section and is a public record | 560 |
available under section 149.43 of the Revised Code. If the person | 561 |
commits any proposed action discussed in the written opinion | 562 |
before the committee issues the written opinion as an advisory | 563 |
opinion, the advisory opinion grants no immunity to the person | 564 |
regarding any action that is discussed in the written opinion and | 565 |
that the person commits before the committee issues the written | 566 |
opinion as an advisory opinion. | 567 |
(E) All requests for an opinion shall be submitted in writing | 573 |
by the member or employee of or candidate for the General Assembly | 574 |
or employee of any legislative agency who desires the opinion and | 575 |
shall state in the request whether the opinion is being publicly | 576 |
or privately sought. If the request fails to state whether the | 577 |
opinion is being publicly or privately sought, the committee shall | 578 |
consider the opinion to be privately sought. The committee shall | 579 |
issue in writing all advisory opinions that have been publicly | 580 |
sought, appropriately number them, and make them available for | 581 |
public inspection. The Joint Legislative Ethics Committee shall | 582 |
conduct all of its proceedings surrounding the rendering of an | 583 |
opinion so as to protect the confidentiality of those named in the | 584 |
request for the opinion. | 585 |
(A)(1) The Joint Legislative Ethics Committee shall receive, | 587 |
and may initiate, complaints concerning breach of privilege and | 588 |
complaints against members and employees of and candidates for the | 589 |
General Assembly and employees of any legislative agency | 590 |
concerning conduct alleged to be misconduct, a violation of | 591 |
Chapter 102. or section 2921.42 or 2921.43 of the Revised Code, | 592 |
this Code of Ethics, or the House or Senate rules. All complaints | 593 |
except those by the committee shall be by affidavit made on | 594 |
personal knowledge, subject to the penalties of perjury. A | 595 |
complaint by the committee shall be by affidavit, based upon facts | 596 |
that constitute reasonable cause to believe that a breach of | 597 |
privilege, misconduct, or a violation of the House or Senate | 598 |
rules, this Code of Ethics, or Chapter 102. or section 2921.42 or | 599 |
2921.43 of the Revised Code, has occurred. The complaint shall not | 600 |
contain innuendo, speculative assertions, or conclusory | 601 |
statements. | 602 |
At the first meeting of the committee in each calendar year, | 603 |
the chairperson of the committee for that year shall appoint an | 604 |
investigation subcommittee. The subcommittee shall consist of the | 605 |
chairperson of the committee for that year and a member of the | 606 |
committee who is a member of the chamber and political party of | 607 |
which the chairperson is not a member. This subcommittee shall | 608 |
have the authority to issue subpoenas regarding complaints | 609 |
referred to it and approve depositions by the Office of the | 610 |
Legislative Inspector General. | 611 |
(2) A complaint other than a complaint by the committee shall | 612 |
be filed with the executive director of the Office of the | 613 |
Legislative Inspector General of the Joint Legislative Ethics | 614 |
Committee. Upon receiving the complaint, the executive director or | 615 |
the executive director's designee shall gather, if necessary, | 616 |
preliminary facts surrounding the complaint for presentation to | 617 |
the chairperson or committee. Thereafter, the executive director | 618 |
shall seal the complaint and deliver it to the chairperson of the | 619 |
Joint Legislative Ethics Committee. A complaint by the committee | 620 |
shall be drafted by the legal counsel of the Office of the | 621 |
Legislative Inspector General, and, if at least eight members of | 622 |
the committee approve the draft complaint, the draft complaint | 623 |
shall be a complaint by the committee and shall be filed with the | 624 |
Office of the Legislative Inspector General and delivered to the | 625 |
chairperson of the committee. | 626 |
Within fourteen days after the filing of a complaint by a | 627 |
complainant, the chairperson shall notify the complainant that the | 628 |
complaint has been filed with the committee, that all further | 629 |
proceedings of the committee are confidential, that the committee | 630 |
is required to dismiss the complaint if it is not disposed of | 631 |
within six months after the complaint is filed, and that, if a | 632 |
report dealing with the complaint has not been published in the | 633 |
House or Senate Journal, as appropriate, within that time, the | 634 |
complaint has been dismissed because no violation was found to | 635 |
have been committed by the accused person. Within fourteen days | 636 |
after the filing of any complaint, the chairperson shall deliver a | 637 |
copy of the complaint to the accused person and shall notify the | 638 |
accused person that the accused person may file, within twenty | 639 |
days after receiving the copy, a written response to the complaint | 640 |
with the executive director of the Office of the Legislative | 641 |
Inspector General and, if desired, may file in addition to the | 642 |
written response a request to appear personally before the | 643 |
committee to answer to the complaint. The executive director | 644 |
immediately shall seal the written response to the complaint, the | 645 |
request, or both and deliver the written response, the request, or | 646 |
both to the chairperson. | 647 |
Within forty-five days after the filing of any complaint and | 648 |
at least twenty days after the chairperson has delivered a copy of | 649 |
the complaint to the accused person, the chairperson shall convene | 650 |
a meeting of the committee regarding the complaint. If at least | 651 |
eight members of the committee find that the complaint before the | 652 |
committee is not frivolous and that the facts alleged constitute | 653 |
on their face a breach of privilege, misconduct, a violation of | 654 |
this Code of Ethics or the House or Senate Rules, or a violation | 655 |
of Chapter 102. or section 2921.42 or 2921.43 of the Revised Code, | 656 |
the committee shall refer the complaint to the Office of the | 657 |
Legislative Inspector General for further investigation and may | 658 |
delegate to the investigation subcommittee appointed pursuant to | 659 |
division (A)(1) of this section the authority to issue subpoenas | 660 |
regarding a given complaint or other matter. The chairperson of | 661 |
the committee shall notify the accused of the referral. Unless | 662 |
eight members of the committee find that the complaint before the | 663 |
committee alleges facts that, on their face, constitute a breach | 664 |
of privilege, misconduct, a violation of this Code of Ethics or | 665 |
the House or Senate Rules, or a violation of Chapter 102. or | 666 |
sections 2921.42 or 2921.43 of the Revised Code, the committee | 667 |
shall dismiss the complaint. | 668 |
(B) The Office of the Legislative Inspector General shall | 669 |
investigate each complaint referred to it by the committee and | 670 |
shall investigate any other matters as directed by the committee. | 671 |
The Office of the Legislative Inspector General may request | 672 |
further information from the complainant, any person presenting | 673 |
charges to the committee, the accused person if the information | 674 |
sought is directly relevant to a complaint or charges received by | 675 |
the committee pursuant to this section, and any other person it | 676 |
believes may have information pertaining to the complaint or other | 677 |
matter referred for investigation to the Office of the Legislative | 678 |
Inspector General. It may request the committee to issue a | 679 |
subpoena to obtain any necessary information. Upon the approval of | 680 |
the investigation subcommittee appointed pursuant to division | 681 |
(A)(1) of this section, the Office of the Legislative Inspector | 682 |
General may depose any person. Any person interviewed or deposed | 683 |
by the Office of the Legislative Inspector General may be | 684 |
represented by an attorney. The substance of any request for | 685 |
further information and the information provided pursuant to any | 686 |
request are confidential. Except as otherwise provided in this | 687 |
section, the person from whom information is requested shall not | 688 |
divulge the substance of the committee's request to any person | 689 |
other than the person's attorney and shall not divulge the | 690 |
information provided in response to the request to any person | 691 |
other than the person's attorney and any person necessary to | 692 |
prepare the information for delivery to the committee. Except as | 693 |
otherwise provided in this section, no attorney or person who | 694 |
prepares information for delivery to the committee shall divulge | 695 |
the substance of the committee's request or the information | 696 |
provided in response to the request. | 697 |
Upon the completion of an investigation based on a complaint | 698 |
referred to the Office of the Legislative Inspector General, the | 699 |
executive director, or the executive director's designee, shall | 700 |
present to the committee the executive director's or designee's | 701 |
preliminary findings with respect to the facts and evidence | 702 |
gathered regarding the complaint. Upon receiving the preliminary | 703 |
findings, the committee, upon a vote of at least eight members of | 704 |
the committee, may refer the complaint back to the Office of the | 705 |
Legislative Inspector General for further investigation, hold a | 706 |
hearing pursuant to divisions (D) and (G) of this section, order | 707 |
remedial action pursuant to division (D) of this section, or | 708 |
dismiss the complaint. | 709 |
Upon the completion of an investigation of any other matter | 710 |
referred to the Office of the Legislative Inspector General, the | 711 |
executive director or the executive director's designee shall | 712 |
present to the committee the executive director's or designee's | 713 |
preliminary findings with respect to the facts and evidence | 714 |
gathered regarding the matter referred. Upon receiving the | 715 |
preliminary findings, the committee, upon a vote of at least eight | 716 |
members of the committee, may refer the matter back to the Office | 717 |
of the Legislative Inspector General for further investigation, | 718 |
request that a complaint be drafted by the legal counsel of the | 719 |
Office of the Legislative Inspector General, terminate the | 720 |
investigation, or hold a hearing pursuant to division (E) of this | 721 |
section. | 722 |
(E)(1) If, in any case in which a complaint is filed with the | 741 |
committee, at least eight members of the committee find that the | 742 |
complaint is not frivolous and there is reasonable cause to | 743 |
believe that the facts alleged in the complaint constitute a | 744 |
breach of privilege, misconduct, or a violation of Chapter 102. or | 745 |
section 2921.42 or 2921.43 of the Revised Code, this Code of | 746 |
Ethics, or the House or Senate Rules, the committee shall hold a | 747 |
hearing. At the hearing, the legal counsel of the Office of the | 748 |
Legislative Inspector General shall present to the committee the | 749 |
case against the accused person, introduce evidence, call | 750 |
witnesses, and cross-examine witnesses. The chairperson of the | 751 |
committee shall make all rulings regarding procedure and the | 752 |
admissibility of evidence. The hearing and all related proceedings | 753 |
of the committee are absolutely confidential as provided under | 754 |
this Code of Ethics and section 102.06 of the Revised Code. No | 755 |
member or employee of the committee, person who staffs or | 756 |
otherwise serves the committee, witness, or other person shall | 757 |
divulge any information about the hearing or related proceedings, | 758 |
except that a witness and the complainant may consult with an | 759 |
attorney before and after the hearing and any related proceeding, | 760 |
any witness may be represented by an attorney while the witness is | 761 |
being examined or cross-examined, the accused person may be | 762 |
represented by an attorney at all stages of the proceedings, and | 763 |
the attorney of the accused person may attend all hearings and | 764 |
related proceedings of the committee. | 765 |
(2) If, in any case in which a complaint is filed with the | 766 |
committee, at least eight members of the committee find that the | 767 |
complaint is frivolous or that there is no reasonable cause to | 768 |
believe that the charge or complaint constitutes a breach of | 769 |
privilege, misconduct, or a violation of Chapter 102. or section | 770 |
2921.42 or 2921.43 of the Revised Code, this Code of Ethics, or | 771 |
the House or Senate Rules, the committee shall dismiss the | 772 |
complaint and notify the accused person in writing of the | 773 |
dismissal of the complaint. If the committee so dismisses the | 774 |
complaint, the committee shall not issue a report of its findings | 775 |
unless the accused person requests a report. If the accused person | 776 |
requests a report, the committee shall issue a report in | 777 |
accordance with division (F)(2) of this section. | 778 |
(3) If, in any case in which a complaint is filed with the | 779 |
committee, the committee finds by unanimous concurrence of its | 780 |
membership that there is reasonable cause to believe that the | 781 |
charges presented constitute a breach of privilege, misconduct, or | 782 |
a violation of this Code of Ethics or the House or Senate Rules | 783 |
but do not constitute a violation of Chapter 102. or section | 784 |
2921.42 or 2921.43 of the Revised Code and also finds by unanimous | 785 |
concurrence of its membership that the breach of privilege, | 786 |
misconduct, or violation was in good faith and without wrongful | 787 |
intent and the person has taken or will take suitable remedial | 788 |
action, it may order the person to take any further remedial | 789 |
action it considers necessary and, upon satisfaction that any | 790 |
order it makes is complied with, terminate the investigation, with | 791 |
the concurrence of the accused person. If an investigation is so | 792 |
terminated, the committee shall not issue a report of its findings | 793 |
unless the accused person requests a report. If the accused person | 794 |
requests a report, the committee shall issue a report in | 795 |
accordance with division (F)(2) of this section. If the accused | 796 |
person fails to comply with an order of the committee, the | 797 |
committee, upon concurrence of at least eight of its members, | 798 |
shall proceed with the original complaint filed against the | 799 |
person. | 800 |
(F)(1) If, upon the basis of the hearing, at least eight | 801 |
members of the committee find, based upon a preponderance of the | 802 |
evidence, that the facts alleged in the complaint are true and | 803 |
constitute a violation of Chapter 102. or section 2921.42 or | 804 |
2921.43 of the Revised Code, the committee, upon concurrence of at | 805 |
least eight of its members, shall order the Office of the | 806 |
Legislative Inspector General to prepare a report of the | 807 |
committee's findings to the appropriate prosecuting authority or | 808 |
other appropriate body for proceedings in prosecution of the | 809 |
violations and, in accordance with division (F)(1) of this | 810 |
section, issue a report to the General Assembly recommending | 811 |
reprimand, censure, expulsion, or other sanction the committee | 812 |
considers appropriate. Upon acceptance by at least eight members | 813 |
of the committee of the report to the appropriate prosecuting | 814 |
authority or other appropriate body, the committee shall report | 815 |
its findings to the appropriate prosecuting authority, the | 816 |
Elections Commission, or other appropriate body. This report is | 817 |
the investigative report described in division (E) of section | 818 |
101.34 of the Revised Code and shall contain any findings of fact | 819 |
and conclusions of law made by the committee. This report shall | 820 |
not contain any papers, records, affidavits, or documents upon any | 821 |
complaint, inquiry, or investigation relating to the proceedings | 822 |
of the committee. If at least eight members of the committee find, | 823 |
based upon a preponderance of the evidence, that the facts alleged | 824 |
in the complaint are true and constitute a violation of division | 825 |
(B) of section 102.031 of the Revised Code, the committee may | 826 |
impose a fine of not more than one thousand dollars upon the | 827 |
member. | 828 |
(2) If, upon the basis of the hearing, at least eight members | 829 |
of the committee find, based upon a preponderance of the evidence, | 830 |
that a breach of privilege has been committed or that a member or | 831 |
employee of or candidate for the General Assembly or employee of | 832 |
any legislative agency has violated a provision of this Code of | 833 |
Ethics or the House or Senate Rules that is not a violation of | 834 |
Chapter 102. or section 2921.42 or 2921.43 of the Revised Code, or | 835 |
has committed misconduct, the committee, upon concurrence of at | 836 |
least eight of its members and in accordance with division (F)(1) | 837 |
of this section, may issue a report recommending reprimand, | 838 |
censure, expulsion, or other sanction the committee considers | 839 |
appropriate or, upon a finding by unanimous concurrence of its | 840 |
membership that the breach of privilege, misconduct, or violation | 841 |
was in good faith and without wrongful intent and the person has | 842 |
taken or will take suitable remedial action, may order the person | 843 |
to take any further remedial action it considers necessary and, | 844 |
upon satisfaction that any order it makes is complied with, | 845 |
dismiss the complaint without issuing a report of its findings, | 846 |
unless the accused person requests a report. If the accused person | 847 |
requests a report, the committee shall issue a report in | 848 |
accordance with division (F)(2) of this section. If the person | 849 |
fails to comply with an order of the committee, the committee, | 850 |
upon concurrence of eight of its members, shall recommend some | 851 |
sanction. | 852 |
(3) If, upon the basis of the hearing, at least eight members | 853 |
of the committee do not find, based upon a preponderance of the | 854 |
evidence, that the facts alleged in a complaint constitute a | 855 |
breach of privilege, misconduct, or a violation of Chapter 102. or | 856 |
section 2921.42 or 2921.43 of the Revised Code, this Code of | 857 |
Ethics, or the House or Senate Rules, the committee shall dismiss | 858 |
the complaint. The complaint shall also be dismissed if the | 859 |
committee has not conducted a hearing within ninety days after the | 860 |
complaint is filed with the committee, or if the committee has not | 861 |
finally disposed of the complaint within six months after the | 862 |
complaint is filed with the committee. The committee shall notify | 863 |
the accused person in writing of the dismissal of the complaint. | 864 |
The committee shall not issue a report of its findings unless the | 865 |
accused person requests a report. If the accused person requests a | 866 |
report, the committee shall issue a report in accordance with | 867 |
division (F)(2) of this section. If the committee issues the | 868 |
report, all evidence and the record of the hearing shall remain | 869 |
confidential unless the accused person also requests that the | 870 |
evidence and record be made public. Upon request by the accused | 871 |
person, the committee shall make the evidence and the record | 872 |
available for public inspection. | 873 |
(G)(1) Any report of the committee that is issued pursuant to | 874 |
division (E)(1) of this section and contains a finding that the | 875 |
facts in the complaint are true and constitute a violation of | 876 |
Chapter 102. or section 2921.42 or 2921.43 of the Revised Code, or | 877 |
that is issued pursuant to division (E)(2) of this section and | 878 |
contains a finding that a breach of privilege, misconduct, or | 879 |
violation of this Code of Ethics or the House or Senate Rules has | 880 |
occurred and recommends reprimand, censure, expulsion, or another | 881 |
appropriate sanction, shall be entered in the House Journal and | 882 |
the Senate Journal. The House of Representatives and the Senate | 883 |
shall vote on approval of any report entered in the House or | 884 |
Senate Journal in accordance with this division. Concurrence of | 885 |
two-thirds of the members of both the House and the Senate shall | 886 |
be necessary for approval of the report, and, upon approval, any | 887 |
recommended sanction shall be imposed immediately. | 888 |
(2) If the investigation of the committee results in a | 889 |
finding that a complaint that is filed is frivolous or that no | 890 |
misconduct, breach of privilege, or violation of Chapter 102. or | 891 |
section 2921.42 or 2921.43 of the Revised Code, this Code of | 892 |
Ethics, or the House or Senate Rules has been committed or if the | 893 |
committee terminates an investigation or dismisses a complaint | 894 |
pursuant to division (E)(2) or (3) of this section, the committee | 895 |
shall not issue a report of its findings unless the accused person | 896 |
requests a report. If the accused person requests a report, the | 897 |
committee shall issue a report and publish it in the House | 898 |
Journal, if the accused person is a member or employee of, or | 899 |
candidate for, the House of Representatives, or the Senate | 900 |
Journal, if the accused person is a member or employee of, or | 901 |
candidate for, the Senate or an employee of any legislative | 902 |
agency. A report published in the House or Senate Journal under | 903 |
division (F)(2) of this section does not require a vote by the | 904 |
House or Senate. | 905 |
(H) A person against whom a complaint is filed shall be given | 906 |
by certified mail, return receipt requested, or by personal | 907 |
service reasonable notice of the date, time, and place of the | 908 |
hearing and a statement of the charges and the law or provision | 909 |
directly involved, and shall be granted the following rights: to | 910 |
be represented by counsel, to have counsel appointed for the | 911 |
person if the person is unable to afford counsel without undue | 912 |
hardship, to examine the evidence against the person, to have | 913 |
access to all information relative to the complaint that is in the | 914 |
possession or knowledge of the committee or the Office of the | 915 |
Legislative Inspector General, to produce evidence and to call and | 916 |
subpoena witnesses in the person's defense, to confront the | 917 |
person's accusers, to cross-examine witnesses, to have a | 918 |
stenographic record made of the hearing, to have the hearing | 919 |
follow the rules of evidence applicable to the courts of this | 920 |
state, and to have the hearing closed to the public. A person, | 921 |
with the approval of the committee, may waive any or all of such | 922 |
rights by executing a written waiver and filing it with the | 923 |
committee. | 924 |
(I) The chairperson of the committee and the executive | 925 |
director and chief legal counsel of the Office of the Legislative | 926 |
Inspector General may administer oaths, and the committee or the | 927 |
investigation subcommittee appointed pursuant to division (A)(1) | 928 |
of this section may issue subpoenas to any person in the state | 929 |
compelling the attendance of witnesses and the production of | 930 |
relevant papers, books, accounts, and records. The committee or | 931 |
the investigation subcommittee shall issue subpoenas to compel the | 932 |
attendance of witnesses and the production of documents upon the | 933 |
request of an accused person. Section 101.42 of the Revised Code | 934 |
shall govern the issuance of such subpoenas insofar as applicable. | 935 |
Upon the refusal of any person to obey a subpoena, be sworn, or | 936 |
answer as a witness, the committee or the investigation | 937 |
subcommittee may apply to the Court of Common Pleas of Franklin | 938 |
County under section 2705.03 of the Revised Code. The court shall | 939 |
hold proceedings in accordance with Chapter 2705. of the Revised | 940 |
Code. The committee, the Office of the Legislative Inspector | 941 |
General, or the accused person may take the depositions of | 942 |
witnesses residing within or without the state in the same manner | 943 |
as prescribed by law for the taking of depositions in civil | 944 |
actions in the court of common pleas. | 945 |
(J)(1) All complaints, papers, records, affidavits, and | 946 |
documents upon any complaint, inquiry, or investigation relating | 947 |
to the proceedings of the committee shall be sealed and are | 948 |
private and confidential, except as otherwise provided in this | 949 |
section. The substance of any charges received by the committee | 950 |
and of any request made by the committee for further information, | 951 |
any information received by the committee, all testimony and other | 952 |
evidence presented during a hearing, and all committee discussions | 953 |
are private and confidential, except as otherwise provided in this | 954 |
section. No person serving on or employed in the service of the | 955 |
committee, or employee of the Office of the Legislative Inspector | 956 |
General who staffs or otherwise assists the committee or the | 957 |
Office of the Legislative Inspector General employee who staffs | 958 |
the committee shall divulge any of the following: | 959 |
(b) Discussion of any complaint, request for an advisory | 980 |
opinion, charges presented to the committee, information related | 981 |
to a complaint, to an advisory opinion request, or to charges | 982 |
presented to the committee, proceedings of the committee, or other | 983 |
papers, records, affidavits, documents, or proceedings that are | 984 |
made private and confidential by this section between the members | 985 |
of the committee and any of the following: | 986 |
(c) The preparation of any documents necessary for the | 995 |
operation of the committee by employees of the General Assembly | 996 |
assigned to the committee chairperson, employees of the General | 997 |
Assembly assigned to staff the committee, or employees of the | 998 |
Office of the Legislative Inspector General who assist the Office | 999 |
of the Legislative Inspector General employee assigned to staff | 1000 |
the committee, except that any confidentiality requirements of | 1001 |
this section applicable to the members of the committee shall | 1002 |
apply to the employees of the General Assembly, committee, or | 1003 |
Office of the Legislative Inspector General who prepare those | 1004 |
documents. | 1005 |