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H. C. R. No. 14 As Reported by the Senate Rules and Reference CommitteeAs Reported by the Senate Rules and Reference Committee 129th General Assembly | Regular Session | 2011-2012 |
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Cosponsors:
Representatives Adams, R., Amstutz, Anielski, Antonio, Ashford, Baker, Balderson, Barnes, Beck, Blair, Boose, Brenner, Bubp, Buchy, Budish, Burke, Butler, Carey, Carney, Celeste, Clyde, Coley, Combs, Damschroder, DeGeeter, Derickson, Dovilla, Driehaus, Duffey, Fedor, Fende, Foley, Gardner, Garland, Gentile, Gerberry, Gonzales, Goodwin, Goyal, Grossman, Hackett, Hagan, C., Hagan, R., Hall, Hayes, Heard, Henne, Hollington, Hottinger, Huffman, Johnson, Kozlowski, Landis, Letson, Luckie, Lundy, Maag, Martin, McClain, McGregor, McKenney, Mecklenborg, Milkovich, Murray, Newbold, O'Brien, Okey, Patmon, Phillips, Pillich, Ramos, Reece, Roegner, Rosenberger, Ruhl, Schuring, Sears, Slaby, Sprague, Stautberg, Stebelton, Stinziano, Sykes, Szollosi, Thompson, Uecker, Wachtmann, Weddington, Winburn, Yuko Speaker Batchelder
A CONCURRENT RESOLUTION | To adopt the Legislative Code of Ethics for the
members and employees of both chambers of the
129th General Assembly, employees of any
legislative agency, and candidates for the 130th
General Assembly.
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BE IT RESOLVED BY THE HOUSE OF REPRESENTATIVES OF THE STATE OF OHIO (THE SENATE CONCURRING):
WHEREAS, The Joint Legislative Ethics Committee, appointed by
the Speaker of the House of Representatives and the President of
the Senate pursuant to section 101.34 of the Revised Code, is
required to recommend a Code of Ethics that is consistent with the
law to govern all members and employees of each chamber of the
General Assembly and all candidates for the office of member of
each chamber; and |
WHEREAS, The Joint Legislative Ethics Committee is the
appropriate ethics committee for matters relating to members and
employees of the General Assembly, employees of any legislative
agency, including the Correctional Institution Inspection
Committee, Joint Committee on Agency Rule Review, Legislative
Information Systems, Legislative Inspector General, and
Legislative Service Commission, and candidates for the office of
member of the General Assembly; now therefore be it |
RESOLVED, That the House of Representatives and the Senate of
the 129th General Assembly adopt the following Legislative Code of
Ethics: |
LEGISLATIVE CODE OF ETHICS
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FOR MEMBERS AND EMPLOYEES OF THE
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129th OHIO GENERAL ASSEMBLY,
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EMPLOYEES OF ANY LEGISLATIVE AGENCY,
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AND CANDIDATES FOR THE 130th GENERAL ASSEMBLY
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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. |
SECTION 2. DISCLOSURE STATEMENT |
(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. |
SECTION 3. LICENSE DISCLOSURE |
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. |
SECTION 4. VOTING ABSTENTION |
(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. |
SECTION 6. CONFIDENTIAL INFORMATION |
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. |
SECTION 7. IMPROPER INFLUENCE |
(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. |
SECTION 9. SEPARATION OF FUNDS |
(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. |
SECTION 10. HONORARIA AND TESTIMONIALS |
(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. |
SECTION 11. IMPROPER INDUCEMENT |
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. |
SECTION 12. ADVISORY BODY |
(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. |
SECTION 13. CONSIDERATION AND HEARING OF COMPLAINTS |
(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. |
SECTION 14. AMENDMENTS TO THE ETHICS CODE |
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. |
SECTION 15. DISTRIBUTION OF ETHICS CODE |
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. |
SECTION 16. APPLICATION TO 129th130th GENERAL ASSEMBLY |
The Code of Ethics for the 128th129th General Assembly shall
be effective until the 129th130th General Assembly adopts the
Code of Ethics for the 129th130th General Assembly. |
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