Investigative Process

The Investigative Process

When the Ohio Ethics Commission receives an allegation of unethical conduct, staff first reviews the information to determine whether the alleged conduct, if true, falls within the Commission’s authority under Ohio Ethics Law.

If the allegation appears to fall within the Commission’s authority, the matter is presented to the Commission. The Commission may then direct staff to conduct a confidential investigation.

After the investigation is complete, staff presents the results to the Commission for review. The Commission determines how the matter will be resolved. Possible outcomes include:

• Closing the matter due to insufficient evidence
• Resolving the matter under the Commission’s statutory alternative dispute resolution (settlement authority and Notice of Potential Violation)
• Referring the matter to the appropriate prosecuting authority

Confidentiality of Investigations

Under Ohio law, complaints, charges, and investigations handled by the Ohio Ethics Commission are confidential.

The Commission may share information with other law enforcement authorities when relevant and necessary to an investigation. Otherwise, state law requires that these matters remain private. See R.C. 102.06(F) and R.C. 102.07.

The Commission is generally prohibited from publicly commenting on the merits of investigations or findings.

Confidentiality protects:

• The integrity of the investigative process
• Individuals who are accused
• Individuals who submit allegations

If a complaint is dismissed, the person charged may request that the Commission make the findings and related materials public.

Notice of Potential Violation

The Commission occasionally receives referrals from other agencies detailing facts that either are not in dispute or are of a less serious nature than other cases under investigations. To address those concerns in an efficient manner, the Commission may issue a Notice of Potential Violation, advising the accused that the reported activity potentially violates the Ethics Law and should cease immediately and that continued activity in violation of the Ethics Law may result in a formal investigation and potential prosecution.

The Notice of Potential Violation process enables the Commission to address less severe violations that it might not otherwise prioritize as an investigation in a timely manner and without devoting extensive investigative resources.

Settlement Agreements

Although any violation of the Ethics Law is serious, sometimes, significant mitigating factors exist which do not warrant a criminal referral that probably will not be prosecuted.

Resolving these cases with public settlement agreements holds the public servants accountable for their actions while also serving to deter similar misconduct in the future.

See R.C. 102.05 and R.C. 102.06.

Complaint Hearings

In certain circumstances, a sworn complaint may be filed with the Commission.

A citizen may submit a sworn affidavit alleging facts that support a specific violation of the Ohio Ethics Law. The affiant must have personal knowledge of the facts supporting each element of the alleged violation. In most cases, it is not necessary to file a sworn complaint in order to submit an allegation. Individuals are encouraged to contact the Commission for guidance before filing.

Commission staff may also file a formal sworn complaint, often in matters involving failure to comply with financial disclosure requirements.

When a sworn complaint is filed, the Commission determines whether there is reasonable cause to believe a violation has occurred. If reasonable cause is found, the Commission may schedule a confidential hearing before the Commission or a designated hearing examiner.

The charged public official or employee may respond to the complaint and may be represented by legal counsel. All hearings are closed to the public.

After the hearing, the Commission determines whether a violation is supported by a preponderance of the evidence. If a violation is found, the Commission may refer the matter to the appropriate prosecutor. Referrals remain confidential unless the prosecutor declines to act within 90 days, at which point the Commission may publicly acknowledge that a referral was made.

If the Commission determines that the evidence does not support a violation, the complaint is dismissed. The matter remains confidential unless the charged individual requests that it be made public.