Investigation

OVERVIEW

Any information indicating that a public official or employee may have violated provisions of the Ethics Law can be referred to the ethics agency that has jurisdiction over the public official or employee in question. Allegation forms are available from the Ethics Commission to refer potential violations of the Ethics Law by public officials and employees.

INVESTIGATION CONFIDENTIALITY AT THE OHIO ETHICS COMMISSION

The Ohio Ethics Commission is often asked why the Commission’s investigations are confidential. Under state law, the Commission may share information with other law enforcement authorities when relevant and necessary to the conduct of an investigation. Otherwise, the statute deems any complaints, charges, or investigations handled by the Ohio Ethics Commission private and confidential. (See statutory language below.)

The Commission is likewise prohibited from commenting on the merit of its findings. Only upon the dismissal of a complaint and the request of the accused, may the Ohio Ethics Commission report its findings and/or make public the evidence and record. The confidentiality protects those accused, the accusers, and the integrity of the investigative process. See R.C. sections 102.07; 102.06(F).

INVESTIGATIVE PROCESS

When a charge or allegation of unethical conduct is received by the Ethics Commission, staff first reviews the allegation to determine whether the alleged misconduct, if true, falls within the investigative authority of the Ethics Commission. If the allegation is not within the Commission’s authority, then staff will contact the sender and make whatever referrals are appropriate. If the allegation is within the Commission’s jurisdiction, staff will review the matter with the Commission which may direct the staff to conduct a confidential investigation.

After a thorough investigation, Commission staff reviews the results with the Commission to determine how the case should be resolved. Possible outcomes include closing the matter due to insufficient evidence to support a violation of the Ethics Law; resolving the case under the Commission’s settlement authority; or sharing the results with the appropriate prosecuting authority.

COMPLAINT HEARINGS

A citizen may also file a sworn complaint by submitting a sworn affidavit alleging facts that support a specific violation of the Ethics Law. However, Commission rules require that the affiant demonstrate specific personal knowledge of all of the facts and evidence that support each element of a violation. In most instances, it is not necessary to file a formal complaint in order to submit an allegation to the Commission. Please call the Ethics Commission for further guidance.

Commission staff also may file a formal, sworn complaint, based upon information and belief, before the Ethics Commission, alleging that a public official or employee has violated the Ethics Law. These complaints typically involve persons who have knowingly failed to comply with the financial disclosure filing requirement. The Ethics Commission reviews the complaint and determines whether there is reasonable cause to believe that the facts constitute a violation. If so, the Commission then schedules a confidential hearing before the Commission or a designated hearing examiner. If the Commission schedules a hearing, the public official or employee has an opportunity to defend himself or herself and may be represented by a lawyer. All hearings are closed to the public.

After a hearing, the Commission decides by a preponderance of the evidence whether the facts stated in the complaint constitute a violation of the Ethics Law. If the Commission finds that a violation has occurred, it then determines whether this finding should be referred to the appropriate prosecutor for criminal prosecution. The referral will remain confidential unless the prosecutor fails to act on the referral within 90 days. If the prosecutor fails to take any action with respect to the referral, the Commission may publicly comment that the referral was made.

If the Commission finds that a violation of the law is not supported by the evidence, it will dismiss the complaint. All information concerning the complaint will remain confidential unless the person charged in the complaint requests that it be made public.

Financial Disclosure

Failing to file a financial disclosure statement in violation of R.C. section 102.02(C) is a fourth-degree misdemeanor criminal offense, punishable by a fine of up to $250 and/or a maximum of 30 days in jail. See R.C. sections 102.99(A); 2929.21.

In addition, the Ethics Commission is required to assess a late filing fee equal to $10 per day, up to a maximum late fee of $250. See R.C. section 102.02(F).

Filing a false financial disclosure statement in violation of R.C. section 102.02(D) is a first-degree misdemeanor criminal offense, punishable by a fine of up to $1000 and/or a maximum of 6 months in jail. See R.C. sections 102.99(A); 2929.21.

Conflict of Interest

Violations of R.C. sections 102.03, 102.04 and 102.07 are first-degree misdemeanor criminal offenses, punishable by a fine of up to $1000 and/or a maximum of 6 months in jail. See R.C. sections 102.99(B); 2929.21.

In addition, any person who violates division (F) of section 102.03 may be prohibited from participating in public contracts with any public agency in this state for two years and the court may order a fine equal to the amount of the thing of value given in violation of this section of the Revised Code. See R.C. sections 102.99(B); 2929.21.

Unlawful Interest in a Public Contract

Violations of R.C. sections 2921.42(A)(1) and 2921.42(A)(2) are fourth-degree felony criminal offenses, punishable by a fine of up to $5000 and/or a maximum of 18 months in prison. See R.C. sections 2921.42(E); 2929.14; 2929.18.

Violations of R.C. sections 2921.42(A)(3) through (A)(5) are first degree misdemeanor criminal offenses, punishable by a fine of up to $1000 and/or a maximum of 6 months in jail. See R.C. sections 2921.42(E); 2929.21.

Soliciting or Receiving Improper Compensation

Violations of R.C. section 2921.43 are first-degree misdemeanor criminal offenses, punishable by a fine of up to $1000 and/or a maximum of 6 months in jail. See R.C. sections 2921.43(D); 2929.21.

In addition, a public servant who is convicted of a violation of R.C. section 2921.43 is disqualified from holding any public office, employment, or position of trust in this state for a period of seven years from the date of conviction. See R.C. section 2921.43(E).

The Ohio Ethics Law promotes the general public interest and supports confidence by prohibiting public officials and employees from:

• Participating in their public role in any action that involves the direct interests of the official, or those of a family member, or another with whom the official has an ongoing private business relationship;
• Authorizing, or using a public position to secure, a public contract or the investment of public funds in any security that benefits the official, a family member, or a business associate;
• Improperly profiting from a public contract;
• Soliciting or accepting substantial and improper things of value, including, outside employment or consultation fees, gifts, or travel, meals and lodging, from those dealing with the public agency;
• Unauthorized disclosure or use of information deemed confidential by law;
• Representing others before any public agency in a matter in which the official or employee was involved, both during, and for a period of time (at least one year) after, leaving public service.

The Ohio Ethics Commission does investigate public officials or employees who:

• Use his/her public position to benefit:
  • himself/herself
  • his/her family member or
  • his/her business associate
• Award, discuss, or recommend public contracts in which any of the following has a financial interest:
  • The public official or employee
  • his/her family member or
  • his/her business associate
• Hire family members into public positions (commonly referred to as “nepotism”)
• Engage in prohibited revolving-door/post-employment behaviors
• Solicit or accept substantial and improper things of value, including: outside employment, gifts, travel, meals, lodging, and entertainment
• Engage in the unauthorized disclosure or use of confidential information
• File false or incomplete Financial Disclosure Statements
• Receive improper supplemental compensation
• Misuse public equipment for private business

The Ohio Ethics Commission also may investigate anyone who:

• Provides substantial and improper things of value to public officials or employees, including outside employment, gifts, travel, meals, lodging, and entertainment
• Gives improper supplemental compensation to public officials or employees

Area of Law	Agency to Contact:
Sunshine Law violations(Open Meetings/Public Records)	Ohio Attorney General (800) 282-0515 ohioattorneygeneral.gov or Ohio Auditor of State (866) FRAUD-OH ohioauditor.gov
Lobbying or lobbyists or members or staff of the General Assembly	Joint Legislative Ethics Committee (614) 728-5100 www.jlec-olig.state.oh.us
Judges or judicial employees	Board of Professional Conduct (614) 387-9370 bpc.ohio.gov
Federal officials or employees	U.S. Office of Government Ethics (800) 877-8339 oge.gov
Compatibility of dual public offices	Ohio Attorney General (800) 282-0515 ohioattorneygeneral.gov
Campaign finance or Elections	Ohio Elections Commission (614) 466-3205 elc.ohio.gov
Civil service/labor disputes/contract violations	U.S. Department of Labor (866) 487-2365 dol.gov or your agency/job/company
Codes of Professional Conduct (such as private attorneys, engineers, doctors, accountants, funeral home directors, peace officers, etc.)	Appropriate professional licensing board ohio.gov/help-center/state-directory/
Private industry/ consumer complaints	Better Business Bureau (703) 276-0100 bbb.org or Ohio Attorney General (Consumer Affairs) (800) 282-0515 ohioattorneygeneral.gov
Sexual harassment or Discrimination (age, gender, religion, equal protection, etc.)	Ohio Civil Rights Commission (888) 278-7101 civ.ohio.gov
Poor or substandard government customer service	State agencies: Inspector General’s Office (800) 686-1525 watchdog.ohio.gov Local agencies: mayor's office
Selective enforcement allegations against police, prosecutors, or other government officials/agents	Private cause of action.
Theft in office or bribery or other criminal offenses	State agencies: Inspector General’s Office (800) 686-1525 watchdog.ohio.gov or Ohio Auditor of State (866) Fraud-OH ohioauditor.gov fraudohio@ohioauditor.gov or Ohio State Highway Patrol statepatrol.ohio.gov or Local government: local prosecutor