R.C. 102.04(D) Statement

What is the purpose of Ohio Revised Code 102.04(D)?

This part of the Ohio Ethics Law provides an exception to prohibitions regarding public employees or officials who receive compensation from anyone, including clients, to represent or personally perform services on any matter that is before other public agencies. Specifically:

  • R.C. 102.04 (A) prohibits state employees or officials from representing others before any state agency and
  • R.C. 102.04 (C) prohibits local government employees or officials from representing others before any division or unit of their own local agency

What is meant by “representing or personally performing services”?

Even though this restriction is sometimes called the “representation” restriction, it applies to more than representing. Representation or performing services would include activities such as negotiating or discussing matters with agency personnel or contractors; appearing at an agency meeting or hearing; or preparing pleadings or documents to be filed with or submitted to an agency.

Again, a public official or employee cannot be paid by a client to perform any services on a matter that is being reviewed or decided by a public agency, even if he will not personally appear before the agency.

Are there any other restrictions of note?

There is one other restriction specifically for state officials or employees. R.C. 102.04(B) prohibits a state official or employee from selling goods or services to any state agency, except through competitive bidding.

For example, a person employed by a state department is prohibited from selling a computer to another state agency, unless the contract is competitively bid or he or she can meet the exceptions in R.C. 102.04(D).

What is the R.C. 102.04(D) Exception?

R.C. 102.04(D) is an exception to the previously described prohibitions for non-elected public officials and employees. The exception applies to a state or local employee or appointed official if two requirements can be met:

  1. The agency before which the matter that involves the rendering of his or her services is pending, is an agency other than the one with which he or she serves; and
  2. Prior to rendering the personal services, he or she files a 102.4(D) statement with:
    1. the Ohio Ethics Commission,
    2. the public agency with which he or she serves, and
    3. the public agency before which the matter is pending.

On the R.C. 102.04(D) document, the public official or employee states that he or she is representing someone before a public agency and that he or she will disqualify himself or herself from any matter involving any public official or employee of that agency.

Is there any other information that would be helpful?

Yes; please review  Advisory Opinion 2007 – 03 for additional information regarding the R.C. 102.04(D) statement. You may also contact the Ohio Ethics Commission if you have questions regarding this provision of the Ohio Ethics Law.