Chapter 102-1 Definitions and Operating Procedures

102-1-01 Definitions.

For purposes of Chapter 102. of the Administrative Code:

(A) "Advisory opinion" means an opinion rendered by the commission or staff in response to a question concerning ethics, conflicts of interest, financial disclosure, or any other topic covered by Chapter 102. or section 2921.42 or 2921.43 of the Revised Code.

(1) "Formal advisory opinion" means an opinion reviewed and voted upon by the commission at an open meeting that includes the elements described in paragraph (B)(1) of rule 102-3-01 of the Administrative Code.

(2) "Informal advisory opinion" means an opinion written to an individual under the authority of the commission and reviewed and voted upon by the commission at an open meeting that includes the elements described in paragraph (B)(2) of rule 102-3-01 of the Administrative Code.

(3) "Staff advisory opinion" means an opinion written by a staff member, not reviewed or voted on by the commission, that is based on prior formal or informal opinions of the commission and includes the elements described in paragraph (B)(3) of rule 102-3-01 of the Administrative Code.

(B) "Chair" or "chairman" means the member of the commission elected as chairman pursuant to section 102.05 of the Revised Code.

(C) "Charge" means any allegation or other information, from any source, which alleges or indicates that a violation of Chapter 102. or section 2921.42 or 2921.43 of the Revised Code may have occurred.

(D) "Commission" means the Ohio ethics commission created pursuant to section 102.05 of the Revised Code.

(E) "Complainant" means any person, including the commission, a member of the commission, or an employee of the commission, who has filed a complaint with the commission.

(F) "Complaint" means a formal complaint filed with or initiated by the commission in accordance with section 102.06 of the Revised Code, concerning conduct alleged to be in violation of Chapter 102. or section 2921.42 or 2921.43 of the Revised Code.

(G) "Designee" means any person who is designated to serve in the place of another public official or employee for a board, commission, council, agency, department, or other such entity.

(H) "Executive Director" means the executive director appointed by the commission pursuant to section 102.05 of the Revised Code.

(I) "Mail" means regular United States first class mail, unless specified otherwise.

(J) "Party" means the commission, the respondent, or their representatives.

(K) "Representative" means any person whom the commission has authorized to appear or act on its behalf, or any person whom the complainant, respondent, or a witness has authorized to appear or act, on his or her behalf, as counsel before the commission.

(L) "Respondent" means a person against whom a complaint or charge has been filed with the commission.

(M) "Staff" means the executive director and any other employee of the commission.

R.C. 119.032 review dates: 05/28/2013 and 11/29/2016
Promulgated Under: 111.15
Statutory Authority: 102.05
Rule Amplifies: 102.05 , 102.06 , 102.08
Prior Effective Dates: 2/23/76, 7/16/77, 6/8/82, 1/1/02, 2/26/12

102-1-02 Jurisdiction.

The jurisdiction of the commission is derived from Chapter 102, and sections 2921.42 and 2921.43 of the Revised Code.

Replaces: 102-7-02

R.C. 119.032 review dates: 01/13/2012 and 11/29/2016
Promulgated Under: 111.15
Statutory Authority: 102.05
Rule Amplifies: 102., 2921.42 , 2921.43
Prior Effective Dates: 6/8/81, 1/1/02

102-1-03 Commission and staff.

Duties described in Chapter 102. of the Administrative Code will be performed by the commission and/or staff as authorized by the commission.

R.C. 119.032 review dates: 01/13/2012 and 11/29/2016
Promulgated Under: 111.15
Statutory Authority: 102.05
Rule Amplifies: 102., 2921.42 , 2921.43
Prior Effective Dates: 1/1/02

102-1-04 Notice procedure for rule-making.

This rule is adopted in accordance with division (A) of section 119.03 of the Revised Code.

The commission, in giving public notice as to the adoption, amendment, or rescission of any rule required to be adopted under Chapter 119. of the Revised Code, must publish a notice, at least once, in the register of Ohio, and in such other publications as the commission may determine from time to time. The notice must appear at least thirty days prior to the date set for the hearing of the proposed action on any such rule. The notice must meet the requirements of division (A) of section 119,03 of the Revised Code.

Replaces: 102-3-01

R.C. 119.032 review dates: 01/13/2012 and 11/29/2016
Promulgated Under: 119.03
Statutory Authority: 102.05 , 119
Rule Amplifies: 102.02 , 102.03 , 102.05
Prior Effective Dates: 1/25/74, 1/1/02

102-1-05 Commission meetings; notice of meetings.

(A) Meetings; quorum; action

The commission will act only at a meeting conducted in accordance with this rule. Four members of the commission constitutes a quorum. No action will be taken by the commission without the concurrence of four members of the commission. Where necessary, Robert's Rules of Order Newly Revised will be used as a guide to the proceedings of the commission.

(B) Notice of meetings

(1) Meetings of the commission shall be:

(a) Held in accordance with a schedule adopted by the commission; or

(b) Scheduled at a previous meeting of the commission; or

(c) Called by the chair or a majority of the members with written notice to each member at least five days prior to the meeting, in the case of notice by mail, or at least one day prior to the meeting, in the case of notice by telephone, facsimile, electronic mail, or other communication method used by the commission. Notice of meetings will specify the time and place of the meeting.

(2) Notice of a meeting may be waived by a commission member either before or after the meeting. Attendance at a meeting will constitute waiver of notice by a commission member, unless the member objects to holding the meeting on the ground of lack of notice or insufficiency of notice, either during the meeting or within a reasonable time thereafter.

(C) Public notice of meetings

(1) Authority: This rule is adopted in accordance with division (F) of section 121.22 of the Revised Code.

(2) The commission may post meeting notices on its web site.

(3) Any person may obtain notice of the time and place of any regularly scheduled meeting, and the time, place, and purpose of any special or emergency meeting, by requesting notice before the close of the business day prior to the meeting from the commission in one of these ways:

(a) Writing to: "Ohio Ethics Commission, 30 West Spring Street L3, Columbus, Ohio 43215;"

(b) Calling the office of the commission, during normal business hours, at the following telephone number: (614) 466-7090;

(c) Sending a facsimile to the office of the commission at the following facsimile number: (614) 466-8368; or

(d) Sending an electronic mail request to the following electronic mail address: ethics@ethics.ohio.gov.

(4) Any person may obtain notice of all scheduled meetings by sending a written request to the commission via mail, facsimile or electronic mail to the mailing address, facsimile number, or electronic mail address provided in paragraph (C)(2) of this rule. The request must include sufficient information such that the commission may contact the person under the provisions of this rule. Notice to a publication or radio or television station will be limited to one representative. The commission will maintain a list of persons who have requested notice of all meetings.

(a) In the event of a meeting not of an emergency nature, the commission will notify all persons who have requested notice in accordance with the provisions in this rule by at least one of the following means:

(i) Written notice mailed at least four calendar days prior to the day of the meeting;

(ii) Notification by telephone at least twenty-four hours prior to the meeting. Such telephone notice will be considered completed if a message has been left for the person, or if the commission has made a reasonable effort but been unable to provide such telephone notice;

(iii) Notice by facsimile at least twenty-four hours prior to the meeting;

(iv) Notification by electronic mail at least twenty-four hours prior to the meeting.

(b) In the event of an emergency meeting, the commission will notify all listed persons by the means outlined in paragraph (C)(3)(a) of this rule.

In the case of such an emergency meeting, the notice must be given as soon as possible after the emergency meeting is scheduled.

(D) Agenda:

The chair in consultation with the executive director will prepare an agenda for each regularly scheduled meeting. The agenda will be distributed to the commission members at least five days prior to each scheduled meeting. In the event of a special or emergency meeting, the chair, commission member, or executive director who calls the meeting of the commission will prepare an agenda for the meeting and include a copy of the agenda with the notice of the meeting distributed to commission members.

R.C. 119.032 review dates: 05/28/2013 and 11/29/2016
Promulgated Under: 111.15
Statutory Authority: 121.22 , 102.05
Rule Amplifies: 102.05
Prior Effective Dates: 2/23/76, 7/16/77, 6/8/81, 1/1/02, 11/29/07, 2/26/12

102-1-06 Officers and committees.

(A) A chair and vice chair will be elected at the first annual meeting of each calendar year, and will serve for one year or until a successor is elected. The vice chair will preside at any meeting of the commission at which the chair is not present. In the absence of the chair and vice chair, the members present will designate a member as the presiding officer.

(B) The commission or chair may establish, abolish, or modify, or appoint members or chairs of committees to assist in performing its statutory authority. No committee will make decisions that require the full vote of the commission. Meetings of committees will be subject to the same notice requirements as commission meetings, set forth in rule 102-1-05 of the Administrative Code.

R.C. 119.032 review dates: 05/28/2013 and 11/29/2016
Promulgated Under: 111.15
Statutory Authority: 102.05
Rule Amplifies: 102.05
Prior Effective Dates: 1/1/02, 2/26/12

102-1-07 Personal Information records.

(A) Except as otherwise provided in sections 102.02 , 102.06 , and 102.07 of the Revised Code and Chapters 102-7 and 102-9 of the Administrative Code, all personal information records of the commission will be maintained in accordance with Chapter 1347. of the Revised Code.

(B) The executive director will designate a staff member to be directly responsible for the personal information system. Such person will maintain all personal records In accordance with Chapters 102. and 1347. of the Revised Code, and shall:

(1) Inform each employee who has any responsibility for the operation or maintenance of the system, or for the use of personal information maintained in the system, of the applicable provisions of Chapter 1347. of the Revised Code and of all rules adopted In accordance with that chapter.

(2) Specify disciplinary measures to be applied to any employee who initiates or otherwise contributes to any disciplinary or other punitive action against any individual who brings to the attention of appropriate authorities, the press, or any member of the public, evidence of unauthorized use of information contained in the system.

(3) Inform a person who is asked to supply personal information for a system whether the person is legally required to, or may refuse to, supply the information.

(4) Monitor the accuracy, relevance, timeliness, and completeness of the personal information in the system and, in accordance with the procedures, maintain the personal information in the system with the accuracy, relevance, timeliness, and completeness that is necessary to assure fairness in any determination made with respect to a person on the basis of the information.

(5) Take reasonable precautions to protect personal information in the system from unauthorized modification, destruction, use, or disclosure.

(6) Assure the collection, maintenance and use of only personal information which is necessary and relevant to the functions the commission is required or authorized to perform by statute, ordinance, code, or rule and the elimination of such information when it is no longer necessary and relevant to those functions.

(7) Provide a person, who is asked to supply personal information that will be placed in an interconnected or combined system, with information relevant to the system, including the identity of the other agencies or organizations that have access to the information In the system.

R.C. 119.032 review dates: 01/13/2012 and 11/29/2016
Promulgated Under: 111.15
Statutory Authority: 1347.05 , 1347.071
Rule Amplifies: 102.02 , 102.03 , 102.05 , 102.07 , Chapter 1347.
Prior Effective Dates: 2/23/76, 7/16/77, 6/8/81, 1/1/02

102-1-08 Definitions.

For the purposes of administrative rules promulgated in accordance with section 1347.15 of the Revised Code, the following definitions apply:

(A) "Access" as a noun means an instance of copying, viewing, or otherwise perceiving whereas "access" as a verb means to copy, view, or otherwise perceive.

(B) "Acquisition of a new computer system" means the purchase of a "computer system,"as defined in this rule, that is not a computer system currently in place nor one for which the acquisition process has been initiated as of the effective date of the agency rule addressing requirements in section 1347.15 of the Revised Code.

(C) "Computer system" means a "system," as defined by section 1347.01 of the Revised Code, that stores, maintains, or retrieves personal information using electronic data processing equipment.

(D) "Confidential personal information" (CPI) has the meaning as defined by division (A)(1) of section 1347.15 of the Revised Code and identified by rules promulgated by the agency in accordance with division (B)(3) of section 1347.15 of the Revised Code that reference the federal or state statutes or administrative rules that make personal information maintained by the agency confidential.

(E) "Employee of the state agency" means each employee of a state agency regardless of whether he/she holds an elected or appointed office or position within the state agency. "Employee of the state agency" is limited to the specific employing state agency.

(F) "Incidental contact" means contact with the information that is secondary or tangential to the primary purpose of the activity that resulted in the contact.

(G) "Individual" means a natural person or the natural person's authorized representative, legal counsel, legal custodian, or legal guardian.

(H) "Information owner" means the individual appointed in accordance with division (A) of section 1347.05 of the Revised Code to be directly responsible for a system.

(I) "Person" means a natural person.

(J) "Personal information" has the same meaning as defined in division (E) of section 1347.01 of the Revised Code.

(K) "Personal information system" means a "system" that "maintains" "personal information" as those terms are defined in section 1347.01 of the Revised Code. "System" includes manual and computer systems.

(L) "Research" means a methodical investigation into a subject.

(M) "Routine" means commonplace, regular, habitual, or ordinary.

(N) "Routine information that is maintained for the purpose of internal office administration, the use of which would not adversely affect a person" as that phrase is used in division (F) of section 1347.01 of the Revised Code means personal information relating to employees and maintained by the agency for internal administrative and human resource purposes.

(O) "System" has the same meaning as defined by division (F) of section 1347.01 of the Revised Code.

(P) "Upgrade" means a substantial redesign of an existing computer system for the purpose of providing a substantial amount of new application functionality, or application modifications that would involve substantial administrative or fiscal resources to implement, but would not include maintenance, minor updates and patches, or modifications that entail a limited addition of functionality due to changes in business or legal requirements.

Effective: 09/30/2010
R.C. 119.032 review dates: 09/30/2015
Promulgated Under: 119.03
Statutory Authority: R.C. 102.05 , 1347.15
Rule Amplifies: R.C. 102.02 , 102.022 , 102.05 , 102.06 , 102.07 , 1347.06 , and 1347.15

102-1-09 Procedures for accessing confidential personal information.

For manual or computer personal information systems that contain confidential personal information, the Ohio ethics commission shall do the following:

(A) Criteria for accessing confidential personal information. Personal information systems of the Ohio ethics commission are managed on a "need-to-know" basis whereby the information owner determines the level of access required for an employee of the ethics commission to fulfill his/her job duties. The determination of access to confidential personal information shall be approved by the employee's supervisor and the information owner prior to providing the employee with access to confidential personal information within a personal information system. The ethics commission shall establish procedures for determining a revision to an employee's access to confidential personal information upon a change to that employee's job duties including, but not limited to, transfer or termination. Whenever an employee's job duties no longer require access to confidential personal information in a personal information system, the employee's access to confidential personal information shall be removed.

(B) Individual's request for a list of confidential personal information. Upon the signed written request of any individual for a list of confidential personal information about the individual maintained by the Ohio ethics commission, the ethics commission shall do all of the following:

(1) Verify the identity of the individual by a method that provides safeguards commensurate with the risk associated with the confidential personal information;

(2) Provide to the individual the list of confidential personal information that does not relate to an investigation about the individual or is otherwise not excluded from the scope of Chapter 1347. of the Revised Code; and.

(3) If all information relates to an investigation about that individual, inform the individual that the ethics commission has no confidential personal information about the individual that is responsive to the individual's request.

(C) Notice of invalid access.

(1) Upon discovery or notification that confidential personal information of a person has been accessed by an employee for an invalid reason, the Ohio ethics commission shall notify the person whose information was invalidly accessed as soon as practical and to the extent known at the time. However, the ethics commission shall delay notification for a period of time necessary to ensure that the notification would not delay or impede an investigation or jeopardize homeland or national security. Additionally, the ethics commission may delay the notification consistent with any measures necessary to determine the scope of the invalid access, including which individuals' confidential personal information invalidly was accessed, and to restore the reasonable integrity of the system.

"Investigation" as used in this paragraph means the investigation of the circumstances and involvement of an employee surrounding the invalid access of the confidential personal information. Once the ethics commission determines that notification would not delay or impede an investigation, the ethics commission shall disclose the access to confidential personal information made for an invalid reason to the person.

(2) Notification provided by the ethics commission shall inform the person of the type of confidential personal information accessed and the date(s) of the invalid access.

(3) Notification may be made by any method reasonably designed to accurately inform the person of the invalid access, including written, electronic, or telephone notice.

(D) Appointment of a data privacy point of contact. The Ohio ethics Commission executive director shall designate an employee of the ethics commission to serve as the data privacy point of contact. The data privacy point of contact shall work with the chief privacy officer within the office of information technology to assist the ethics commission with both the implementation of privacy protections for the confidential personal information that the ethics commission maintains and compliance with section 1347.15 of the Revised Code and the rules adopted pursuant to the authority provided by that chapter.

(E) Completion of a privacy impact assessment. The ethics commission executive director shall designate an employee of the ethics commission to serve as the data privacy point of contact who shall timely complete the privacy impact assessment form developed by the office of information technology.

Effective: 09/30/2010
R.C. 119.032 review dates: 09/30/2015
Promulgated Under: 119.03
Statutory Authority: R.C. 102.05 , 1347.15
Rule Amplifies: R.C. 102.02 , 102.022 , 102.05 , 102.06 , 102.07 , and 1347.15(B)

102-1-10 Valid reasons for accessing confidential person information.

Pursuant to the requirements of division (B)(2) of section 1347.15 of the Revised Code, this rule contains a list of valid reasons, directly related to the Ohio ethics commission's exercise of its powers or duties, for which only employees of the Ohio ethics commission may access confidential personal information (CPI) regardless of whether the personal information system is a manual system or computer system:

(A) Performing the following functions constitute valid reasons for authorized employees of the Ohio ethics commission to access confidential personal information:

(1) Responding to a public records request;

(2) Responding to a request from an individual for the list of CPI the ethics commission maintains on that individual;

(3) Administering a constitutional provision or duty;

(4) Administering a statutory provision or duty;

(5) Administering an administrative rule provision or duty;

(6) Complying with any state or federal program requirements;

(7) Processing or payment of claims or otherwise administering a program with individual participants or beneficiaries;

(8) Auditing purposes;

(9) Filing processes;

(10) Investigation or law enforcement purposes;

(11) Administrative hearings;

(12) Litigation, complying with an order of the court, or subpoena;

(13) Human resource matters (e.g., hiring, promotion, demotion, discharge, salary/compensation issues, leave requests/issues, time card approvals/issues);

(14) Complying with an executive order or policy;

(15) Complying with an ethics commission policy or a state administrative policy issued by the department of administrative services, the office of budget and management or other similar state agency; or

(16) Complying with a collective bargaining agreement provision.

(B) To the extent that the general processes described in paragraph (A) of this rule do not cover the following circumstances, for the purpose of carrying out specific duties of the Ohio ethics commission, authorized employees would also have valid reasons for accessing CPI in these following circumstances:

(1) Employees and members of the ethics commission may review CPI of individuals who are required to file confidential financial disclosure statements with the ethics commission in connection with administrative hearings or enforcement proceedings related to the filing of financial disclosure statements;

(2) Employees and members of the ethics commission may review CPI of individuals who are subject to the Ohio ethics law and related statutes (public officials and employees, candidates for public office, private and nonprofit corporations and organizations doing business with, seeking to do business with, or regulated by public agencies) in connection with the statutory authority, administrative rules, or a duty of the ethics commission; and

(3) Employees and members of the ethics commission may review CPI of individuals who are required to file confidential financial disclosure statements with the ethics commission in connection with implementing the process the ethics commission has approved to respond to requests from the Auditor of State pursuant to division (B) of R.C. 102.02 of the Revised Code to receive copies of confidential financial disclosure statements.

Effective: 09/30/2010
R.C. 119.032 review dates: 09/30/2015
Promulgated Under: 119.03
Statutory Authority: R.C. 102.05 , 1347.15
Rule Amplifies: R.C. 102.02 , 102.022 , 102.05 , 102.06 , 102.07 , and 1347.15(B)(3)

102-1-11 Confidentiality statutes.

The following state statutes and administrative rules make personal information maintained by the Ohio ethics commission confidential and identify the confidential personal information within the scope of rules promulgated by the ethics commission in accordance with section 1347.15 of the Revised Code:

(A) Confidential financial disclosure statements: division (B) of section 102.02 of the Revised Code and rules 102-5-05 and 102-5-08 of the Administrative Code.

(B) Documents collected in connection with investigative activity of the Ohio ethics commission: section 102.06 and Chapters 102-7, 102-9, and 102-11 of the Administrative Code.

Effective: 09/30/2010
R.C. 119.032 review dates: 09/30/2015
Promulgated Under: 119.03
Statutory Authority: R.C. 102.05 , 1347.15
Rule Amplifies: R.C. 102.02 , 102.022 , 102.05 , 102.06 , 102.07 , and 1347.15(B)(3)

102-1-12 Restricting and logging access to confidential personal information in computerized personal information systems.

For personal information systems that are computer systems and contain confidential personal information, the Ohio ethics commission shall do the following:

(A) Access restrictions. Access to confidential personal information that is kept electronically shall require a password or other authentication measure.

(B) Acquisition of a new computer system. When the Ohio ethics commission acquires a new computer system that stores, manages or contains confidential personal information, the ethics commission shall include a mechanism for recording specific access by employees of the ethics commission to confidential personal information in the system.

(C) Upgrading existing computer systems. When the Ohio ethics commission modifies an existing computer system that stores, manages or contains confidential personal information, the ethics commission shall make a determination whether the modification constitutes an upgrade. Any upgrades to a computer system shall include a mechanism for recording specific access by employees of the ethics commission to confidential personal information in the system.

(D) Logging requirements regarding confidential personal information in existing computer systems.

(1) The Ohio ethics commission shall require employees of the ethics commission who access confidential personal information within computer systems to maintain a log that records that access.

(2) Access to confidential information is not required to be entered into the log under the following circumstances:

(a) The employee of the ethics commission is accessing confidential personal information for official agency purposes, including research, and the access is not specifically directed toward a specifically named individual or a group of specifically named individuals.

(b) The employee of the ethics commission is accessing confidential personal information for routine office procedures and the access is not specifically directed toward a specifically named individual or a group of specifically named individuals.

(c) The employee of the ethics commission comes into incidental contact with confidential personal information and the access of the information is not specifically directed toward a specifically named individual or a group of specifically named individuals.

(d) The employee of the ethics commission accesses confidential personal information about an individual based upon a request made under either of the following circumstances:

(i) The individual requests confidential personal information about himself/herself.

(ii) The individual makes a request that the ethics commission takes some action on that individual's behalf and accessing the confidential personal information is required in order to consider or process that request.

(3) For purposes of this paragraph, the ethics commission may choose the form or forms of logging, whether in electronic or paper formats.

(E) Log management. The Ohio ethics commission shall issue a policy that specifies the following:

(1) Who shall maintain the log;

(2) What information shall be captured in the log;

(3) How the log is to be stored; and

(4) How long information kept in the log is to be retained.

Nothing in this rule limits the ethics commission from requiring logging in any circumstance that it deems necessary.

Effective: 09/30/2010
R.C. 119.032 review dates: 09/30/2015
Promulgated Under: 119.03
Statutory Authority: R.C. 102.05 , 1347.15
Rule Amplifies: R.C. 102.02 , 102.022 , 102.05 , 102.06 , 102.07 , and 1347.15(B)(4) and (B)(9)