Chapter 102-5 Financial Disclosure Filing

102-5-01 Definitions.

For purposes of Chapter 102-5 of the Administrative Code:

(A) "Assistant director" means an individual appointed by the director, and who acts as director in the absence or disability of the director, and acts as director when the position of director is vacant.

(B) "Chief administrative or executive officer" means an executive director, executive secretary, general manager, president, administrator, or other chief administrative or executive officer.

(C) "Commercial delivery service" means any delivery company that is incorporated in the state ;of Ohio or holds a certificate of compliance authorizing it to do business in this state and that maintains records of shipping and delivery dates.

(D) "Deputy director" means an individual who serves in a position below that of director and any assistant director, and above the position of division chief.

(E) "Director" means the administrative head of a state department who directs, supervises, and controls the officers and divisions of the department.

F "Division chief" means an individual who serves as head of a division or other part of a department established for the convenient performance of one or more of the functions committed to a department.

G "Entity" means a board, commission, agency, Institution, council, or other instrumentality of the state.

(H) "Filer" means any person who has, or Is required to, file a financial disclosure statement with the Ohio ethics commission.

(I) "Person of equivalent rank" means any person who holds a position that is equivalent in rank to the positions of director, assistant director, deputy director, and division chief, as defined In paragraphs (A), (D), (E), and (F) of this rule.

(J) "Voluntary flier" means a person who is not required by division (a) or (b) of section 102.02 of the Revised Code to file a financial disclosure statement, and chooses to voluntarily file a statement with the commission that comports with the requirements of division (a) of section 102.02 of the Revised Code.

R.C. 119.032 review dates: 01/13/2012 and 11/29/2016
Promulgated Under: 111.15
Statutory Authority: 102.05
Rule Amplifies: 102.02 , 102.022 , 102.07
Prior Effective Dates: 1/1/02

102-5-02 Financial disclosure statements.

(A) The commission shall maintain all financial disclosure statements filed under section 102.02 of the Revised Code pursuant to its retention schedule.

(B) Financial disclosure statements will be stored by the commission in electronic or hard copy form. . Statements stored in the commission's office or at a secure storage facility acquired for that purpose will be made available for public inspection at the commission's office. Statements maintained under this paragraph at the Ohio historical society will be available at the society.

(C) A financial disclosure statement that is required to be confidential pursuant to division (B) of section 102.02 of the Revised Code will be maintained by the commission at its office pursuant to the commission's retention schedule. Except as described in division (B) of section 102.02 of the Revised Code and rule 102-5-08 of the Administrative Code, a financial disclosure statement that is required to be confidential is not available for public inspection.

(D) A financial disclosure statement filed by a voluntary filer must comply with the provisions of division (A) of section 102.02 of the Revised Code. A statement filed by a voluntary filer will be maintained in accordance with paragraph (B) of this rule.

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 , 102.022 , 102.07
Prior Effective Dates: 1/1/02, 02/26/2012

102-5-03 Financial disclosure filing requirement; persons of equivalent rank to directors, assistant directors, deputy directors, or division chiefs of state administrative departments.

(A) Each director, assistant director, deputy director, division chief, and person of equivalent rank, of any administrative department of the state, must file a financial disclosure statement with the commission.

(B) Upon request by an administrative department of the state, the executive director of the commission, after reviewing the duties and responsibilities of a position of any employee or official of the department, may determine whether the employee or official holds a position of equivalent rank to director, assistant director, deputy director, or division chief, and is thereby required the employee or official to file an annual financial disclosure statement. The executive director will report any determination made under this paragraph at the next commission meeting following such determination.

(C) At its discretion, or upon the request of a filer, the commission may review the decision of the executive director under paragraph (B) of this rule and change or modify that decision.

R.C. 119.032 review dates: 01/13/2012 and 11/29/2016
Promulgated Under: 111.15
Statutory Authority: 102.05
Rule Amplifies: 102.02 , 102.022 , 102.07
Prior Effective Dates: 102.02 , 102.022 , 102.07

102-5-04 Financial disclosure filing requirement; chief administrative or executive officers of sovereign power state boards and commissions.

This rule is adopted pursuant to division (B) of section 102.02 of the Revised Code.

(A) The chief administrative or executive officer of any entity who holds a position that involves a substantial and material exercise of administrative discretion in the formulation of public policy, expenditure of public funds, enforcement of laws, rules, and regulations of state, or the execution of other public trusts, is required to file an annual financial disclosure statement.

(B) The commission must send any person who is required to file a financial disclosure statement under this rule written notice of this requirement by the fifteenth day of February of each year the filing is required, unless the person is appointed after the fifteenth day of February.

(C) If a person who is required to file a financial disclosure statement under this rule Is appointed after the fifteenth day of February in a given calendar year, the commission will send the person written notice of this requirement within thirty days after the commission is notified of the appointment. A person who is required to file a financial disclosure statement under this rule, and who is appointed after the fifteenth day of February, shall have ninety days from the date of appointment to file the financial disclosure statement.

(D) In satisfying the written notice requirement described in paragraphs (B) and (C) of this rule, the commission may send written notice of the financial disclosure filing requirement to the entity with which the person Is or was associated during the financial disclosure statement filing period.

Replaces: 102-5-01

R.C. 119.032 review dates: 01/13/2012 and 11/29/2016
Promulgated Under: 119.03
Statutory Authority: 102.02
Rule Amplifies: 102.02
Prior Effective Dates: 1/1/76, 1/1/02

102-5-05 Financial disclosure filing requirement; members of state boards and commissions.

This rule is adopted pursuant to division (B) of section 102.02 of the Revised Code.

(A) The commission, by vote, may require any public official or employee, who holds a position that involves a substantial and material exercise of administrative discretion in the formulation of public policy, expenditure of public funds, enforcement of laws, rules, and regulations of state, or the execution of other public trusts, to file an annual financial disclosure statement.

(B) When the commission determines, pursuant to paragraph (A) of this rule, that the duly appointed board or commission members or their designees of any entity are required to file annual financial disclosure statements, it will add the name of the entity to a list of entities whose members are required to file pursuant to these administrative rules. The commission shall maintain the list in its office and on its web site.

(C) If an entity described in paragraph (B) of this rule changes its name, but members of the entity retain substantially the same powers, duties, or responsibilities under the new name, or if the powers, duties, or responsibilities are increased under the entity's new name, the commission's decision made pursuant to division (B) of section 102.02 of the Revised Code will apply to the members of the newly named board.

(D) Elected and appointed members of a governing board of a joint educational service center with a total student count of twelve thousand or more hold positions that involve a substantial and material exercise of administrative discretion in the formulation of public policy, expenditure of public funds, enforcement of laws, rules, and regulations of state, or the execution of other public trusts. The commission requires the members or their designees of these boards to file an annual financial disclosure statement.

(E) Those required to file a financial disclosure statement pursuant to this rule must do so in compliance with section 102.02 or 102.022 of the Revised Code.

(F) The commission must send any person who is required to file a financial disclosure statement under this rule written notice of this requirement by the fifteenth day of February of each year the filing is required, unless the person is appointed after the fifteenth day of February.

(G) If a person who is required to file a financial disclosure statement under this rule is appointed after the fifteenth day of February in a given calendar year, the commission will send the person written notice of this requirement within thirty days after the commission is notified of the appointment. A person who is required to file a financial disclosure statement under this rule, and who is appointed after the fifteenth day of February, shall have ninety days from the date of appointment to file the financial disclosure statement.

(H) In satisfying the written notice requirement described in paragraphs (F) and (G) of this rule, the commission may send written notice of the financial disclosure filing requirement to the entity with which the person is or was associated during the financial disclosure statement filing period.

Effective: 02/26/2012
R.C. 119.032 review dates: 11/30/2011 and 11/29/2016
Promulgated Under: 119.03
Statutory Authority: 102.02
Rule Amplifies: 102.02
Prior Effective Dates: 4/1/77, 2/14/80, 5/27/85, 1/1/02

102-5-06 Financial disclosure filing requirement; public officials subject to multiple filing requirements; voluntary filers.

(A) A person required to file a financial disclosure statement under more than one requirement of Chapter 102. of the Revised Code, because the person holds or held more than one public office or position during the calendar year or financial disclosure filing cycle, will be required to file only one statement for a calendar year.

(B) Generally, the statement required to be filed must meet the highest level of disclosure in accordance with the following:

(1) Whenever there is more than one level of disclosure involved, the statement that must be completed and the questions that must be answered must relate to the public position held or, in the case of a candidate for elective office, the position sought, that require the highest level of disclosure. If the person holds more than one filing position, but all have the same level of disclosure, then paragraph (B)(2) of this rule applies.

(2) If the filer must file for a current position, and a position he or she held in the past, both with the same level of disclosure, the statement that must be completed and the questions that must be answered must relate to the position currently held. If the person is in both filing positions simultaneously, or has left both filing positions, then paragraph (B)(3) of this rule applies.

(3) If the person holds more than one filing position at the same time, where all have the same level of disclosure, and one is an elected position or candidate for elective office, the statement that must be completed and the questions that must be answered must relate to the elective office. If none of the simultaneous positions held is an elective position, then paragraph (B)(4) of this rule applies.

(4) If the person holds more than one non-elective filing position at the same time, where all have the same level of disclosure, and one of the positions is employment, the statement that must be completed and the questions that must be answered must relate to the employment.

(C) The fee to be paid and the person or entity responsible for paying the fee is determined by the statement that is to be filed and the questions that are to be answered.

(D) If a person is required, for any filing year, to file both a confidential and a public statement, the person should file the statement indicated by paragraph (B) of this rule. The statement filed is a public record, regardless of which statement the person completes.

(E) The fee described in division (E)(1) of section R.C. 102.02 of the Revised Code must accompany a statement filed by a voluntary filer.

R.C. 119.032 review dates: 05/28/2013 and 11/29/2016
Promulgated Under: 111.15
Statutory Authority: 102.05
Rule Amplifies: 102.02 , 102.022
Prior Effective Dates: 1/1/02, 2/26/2012

102-5-07 Review of filed statements to determine completeness.

(A) Upon receipt of a financial disclosure statement, the commission, within a reasonable period of time, will review the financial disclosure statement to determine whether it is complete.

(B) If a person fails to respond to one or more required questions, the commission will deem the filing incomplete and return the statement, or a copy of the incomplete pages, with instructions for proper completion within fifteen days from the date the incomplete filing is returned to the person.

(C) If the commission does not receive a complete statement within the time designated under this rule, the commission will consider that the financial disclosure statement is not filed as required by law. The commission will send notice to the filer that late fees will be assessed if the statement is not filed within fifteen days of the date of the notice. The commission may handle the statement through its complaint process and ultimately refer persons who fail to comply with this rule for prosecution in accordance with the provisions of Chapter 102. of the Revised Code.

R.C. 119.032 review dates: 05/28/2013 and 11/29/2016
Promulgated Under: 111.15
Statutory Authority: 102.05
Rule Amplifies: 102.02 , 102.022 , 102.05 , 102.07
Prior Effective Dates: 1/1/02. 02/26/12

102-5-08 Review of filed statements kept confidential by statute.

(A) The commission will examine each financial disclosure statement required to be kept confidential to determine whether the potential for a conflict of interest exists for the person who filed the financial disclosure statement.

(B) The potential for a conflict of Interest exists if the private interests of the filer, as indicated by the financial disclosure statement, might interfere with the public interests the flier Is required to serve in the exercise of the authority and duties of his or her office or position of employment.

(C) The commission will make the final determination of whether any information disclosed represents the potential for a conflict of interest, Upon a final determination by the commission and notification to the filer, any portion of a form reflecting the potential for a conflict of Interest will be available for public inspection.

(D) The finding, by the commission, of the potential for a conflict of Interest does not represent any finding of wrongdoing. The finding reminds the filer to guide any official actions regarding the Interest In question In accordance with the law.

(E) The commission may, pursuant to section 102.06 of the Revised Code, require a filer of a confidential statement to complete a statement of Interest, or request other information, disclosing whether the filer received Income from, had investments with, or had any personal financial or fiduciary ties to, any person doing or seeking to do business with, regulated by, or interested in matters before the filer's public agency.

R.C. 119.032 review dates: 01/13/2012 and 11/29/2016
Promulgated Under: 111.15
Statutory Authority: 102.05
Rule Amplifies: 102.02 , 102.022 , 102.06
Prior Effective Dates: 1/1/02

102-5-09 Financial disclosure statement attachments.

(A) The ethics law requires that a financial disclosure statement must be complete at the time it is filed. A filer may submit additional information and request that the commission attach the information to the filer's statement. The commission will acknowledge receipt of the additional information.

(B) Upon receipt of additional information forwarded by the filer, the commission, or as otherwise delegated to the executive director, will determine whether the information should be attached to the flier's financial disclosure statement. During the course of the determination, the additional Information will be kept confidential in accordance with section 102.06 of the Revised Code.

(C) In determining whether the information submitted in accordance with this rule should be attached to a filer's financial disclosure statement, the executive director and/or the commission will consider whether the facts demonstrate that, at the time the original filing was made, the filer inadvertently excluded the information submitted in accordance with this rule, or knowingly failed to provide the Information required by sections 102.02 and 102.022 of the Revised Code, or knowingly filed a false statement.

(D) In determining whether good cause to allow the attachment has been shown, the executive director and/or the commission will take into consideration whether the statement is material to a complaint or charge.

(E) If the executive director and/or the commission determine that the Information submitted in accordance with this rule should be attached to a filer's financial disclosure statement, the information submitted will be attached to the original filing and will be maintained and retained in the manner described in rule 102-5-01 of the Administrative Code.

R.C. 119.032 review dates: 01/13/2012 and 11/29/2016
Promulgated Under: 111.15
Statutory Authority: 102.05
Rule Amplifies: 102.02
Prior Effective Dates: 1/1/02

102-5-10 Deadlines; receipt of financial disclosure statements.

(A) General filing deadline:

(1) The general filing deadline is April fifteenth of each year.

(2) If April fifteenth falls on a day that the ethics commission is closed to the public for the entire day, the filing deadline will be determined by section 1.14 of the Revised Code.

(3) If the internal revenue service has extended or changed the April fifteenth filing deadline for federal tax returns in any year, the commission may, by a vote of four members, extend the general financial disclosure filing deadline to the same date.

(4) The general filing deadline does not apply to any of the following persons:

(a) A candidate for elective office;

(b) A person appointed to an unexpired term of elective office;

(c) A person who holds elective office in a village advanced to city status;

(d) A person appointed to or employed in a non-elective filing position after February fifteenth of any calendar year; or

(e) A state employee serving in a filing position in a temporary working level until he or she has served in the position for more than ninety days.

The appropriate filing deadline for each of these individuals is set forth in this rule.

(B) Filing deadline for a candidate for elective office:

(1) A candidate for elective office must file the financial disclosure statement no later than the thirtieth day before the primary, special, or general election at which the candidate's candidacy is to be voted upon, whichever election occurs first.

(2) A person who is a write-in candidate must file the financial disclosure statement no later than the twentieth day before the earliest election at which the write-in candidate's candidacy is to be voted upon.

(3) For purposes of paragraphs (B)(1) and (B)(2) of this rule, a "candidate" is defined as a person certified by a board of elections for placement on the official ballot of a primary, general, or special election as described in division (H) of section 3501.01 of the Revised Code.

(4) An incumbent who serves in any of the offices for which the filing of a financial disclosure statement with the ethics commission is required, and who, at the time of the annual april deadline for the filing of a financial disclosure statement, is not certified by a board of elections for placement on the official ballot of a primary, special, or general election, is not a "candidate" at the time of the deadline. Therefore, the incumbent is required to file a financial disclosure statement with the Ohio ethics commission on or before April fifteenth, due to having held office in the prior year, even if the incumbent intend to become a "candidate" later in the year in which the statement is required to be filed.

(C) Filing deadline for a person appointed to an unexpired term of elective office:

(1) A person appointed to fill a vacancy for an unexpired term of elective office must file the financial disclosure statement within fifteen days after the person is sworn into office.

(D) Filing deadline for a person who holds elective office in a village advanced to city status:

(1) A person who holds elective office in a village that has been advanced to a city based on an increase in the population of the municipality is not required to file a financial disclosure statement so long as the person continues in the village position to which the person was elected or appointed prior to the advancement of the municipality;

(2) A person who holds elective office in a village that has been advanced to a city must file a financial disclosure statement consistent with paragraph (B) of this rule if the person is a candidate or write-in candidate for an elective position with the city.

(E) Filing deadline for a person appointed to or employed in, a non-elective filing position after february fifteenth of any calendar year:

A person who is appointed to, or employed in, a non-elective position after February fifteenth must file within ninety days of the appointment or employment date.

(F) Filing deadline for a state employee serving in a filing position in a temporary working level:

(1) A state employee serving in a filing position in a temporary working level for fewer than ninety days is not required to file a financial disclosure statement;

(2) A state employee serving in a filing position in a temporary working level for ninety days or more is required to file a financial disclosure statement. The employee must file the statement within one hundred eighty days of the date he or she was appointed or employed in the filing position.

(G) Financial disclosure statements filing date:

(1) The United States post office postmark, or shipping date of a commercial delivery service, will be the filing date.

(2) The date a financial disclosure statement is physically received by the commission will be the filing date of any financial disclosure statement without a United States post office postmark, or shipping date of a commercial delivery service.

R.C. 119.032 review dates: 05/28/2013 and 11/29/2016
Promulgated Under: 111.15
Statutory Authority: 102.05
Rule Amplifies: 102.02 , 102.022 , 102.05 , 102.07
Prior Effective Dates: 1/1/02, 02/26/12

102-5-11 Extensions.

(A) The commission may extend any filing deadline for thirty or sixty days for good cause shown.

(B) A person who requires additional time to complete a financial disclosure statement may submit a written request to the commission for an extension of the applicable deadline.

(C) The extension request must include the reason for which the extension is necessary.

(D) The commission may extend, to the same person for the same filing period, more than one extension for good cause shown.

(E) The filing deadline for any person who is deployed in the military is automatically extended to ninety days after the end of the person's deployment and return home.

R.C. 119.032 review dates: 05/28/2013 and 11/29/2016
Promulgated Under: 111.15
Statutory Authority: 102.05
Rule Amplifies: 102.02 , 102.022 , 102.05 , 102.07
Prior Effective Dates: 1/1/02, 11/29/07, 02/26/12

102-5-12 Payment of late fees.

(A) If a statement is not filed on time pursuant to 102.02 of the Revised Code, as described in rules 102-5-07 and 102-5-10 of the Administrative Code, the commission will assess a fee pursuant to division (F) of section 102.02 of the Revised Code.

(B) The party who is responsible for the filing fee is also responsible for any assessed late fee.

R.C. 119.032 review dates: 01/13/2012 and 11/29/2016
Promulgated Under: 111.15
Statutory Authority: 102.05
Rule Amplifies: 102.02 , 102.022
Prior Effective Dates: 1/1/02, 1/19/04

102-5-13 Financial disclosure statement complaints.

(A) The commission may file a complaint against a person who fails to file a complete financial disclosure statement as required by law pursuant to section 102.06 of the Revised Code.

(B) The commission may file a complaint against a person who filed a financial disclosure statement that contains information that the filer knows, or has reason to know, is false.

R.C. 119.032 review dates: 01/13/2012 and 11/29/2016
Promulgated Under: 111.15
Statutory Authority: 102.05
Rule Amplifies: 102.03 , 102.06
Prior Effective Dates: 1/1/02

102-5-14 Disposition of financial disclosure statement complaints.

(A) A complaint against a person for failure to file a complete financial disclosure statement may be dismissed when the person files the required complete financial disclosure statement and all filing and late fees have been paid prior to a hearing on the matter.

(B) A complaint against a person for failure to file a complete financial disclosure statement may be dismissed when the person files the required complete financial disclosure statement and all filing and late fees have been paid prior to the commission taking any formal action on the hearing officer's report.

(C) A complaint against a person for failure to file a financial disclosure statement may be dismissed without prejudice If the person cannot be located or service of the complaint cannot be made.

(D) In determining whether any complaint will be dismissed, the commission may consider factors Including, but not limited to, the following:

(1) Whether the commission has previously filed a complaint against the respondent for failure to file a financial disclosure statement;

(2) Whether the respondent has filed financial disclosure statement(s) late in previous filing cycles; or

(3) Whether the commission has formally accepted the hearing officer's report and recommendation to refer the complaint for prosecution or other disposition.

R.C. 119.032 review dates: 01/13/2012 and 11/29/2016
Promulgated Under: 111.15
Statutory Authority: 102.05
Rule Amplifies: 102.02 , 102.05 , 102.06
Prior Effective Dates: 1/1/02

102-5-15 Waiver of late fees.

(A) The commission may waive a late fee imposed upon a person for failing to file a financial disclosure statement by the applicable filing deadline on a case-by-case basis under circumstances including, but not limited to, the following instances:

(1) The person objectively demonstrates the existence of a serious and compelling medical, legal or other reason that prevented filing by the applicable deadline; or

(2) The person objectively demonstrates that the public agency required by section 102.02 of the Revised Code to provide the financial disclosure statement failed to provide the statement or provided the statement late in the applicable filing period that made it impossible or unlikely for the person to comply with the required filing deadline. In so doing, the commission requires that an independent source must verify that the statutorily responsible agency failed to provide the financial disclosure statement or provided it late, and that such failure is not attributable to the filer's knowing inaction.

R.C. 119.032 review dates: 01/13/2012 and 11/29/2016
Promulgated Under: 111.15
Statutory Authority: 102.05
Rule Amplifies: 102.02 , 102.022 , 102.05 , 102.07
Prior Effective Dates: 1/1/02

102-5-16 Collection of financial disclosure statement filing and late fees.

(A) A collection notice will be forwarded to the person or entity owing financial disclosure statement filing and/or late fees. The notice will request payment of tine amount owed and advise that the matter may be certified to the office of the Ohio attorney general pursuant to section 131.02 of the Revised Code

(B) If the amount owed is not paid within thirty days of the mailing of the notice, the commission may certify the matter to the office of the Ohio attorney general for recovery pursuant to section 131.02 of the Revised Code.

R.C. 119.032 review dates: 01/13/2012 and 11/29/2016
Promulgated Under: 111.15
Statutory Authority: 102.05
Rule Amplifies: 102.02
Prior Effective Dates: 1/1/02