Compliance Connections

In its 2022 Annual Report, the Ohio Ethics Commission provides statistics and lists on several of the Commission’s activities for the year including a breakdown of the top five categories for investigations last year.

The top five investigation categories are:

• Conflicts of interest, including securing things of value
• Outside business/employment
• Nepotism
• Gifts/prizes/donations
• Property matters

The Commission stated it saw several trends through its investigations. These trends include:

• Acting on matters that benefit an outside business or job
• Nepotism
• Regulators inspecting their own family’s businesses
• Public school district coaches, teachers and board members selling goods or services to the school district

Both public and private entities should review their internal policies and procedures to ensure these common situations are being handled appropriately.

As the world emerges from the COVID-19 pandemic and returns to the new normal, in-person conferences have also returned from their hiatus. Accordingly, it is an appropriate time to review ethics laws regarding public officials and employees at conferences. For more, read the full article.

In its 2021 Annual Report, the Ohio Ethics Commission provides statistics and lists on several of the Commission’s activities for the year including a breakdown of the top five categories for investigations last year. For more, read the full article. 

In its January 26, 2022, press release, the Ohio Ethics Commission is urging the Ohio General Assembly to enact enhanced penalties for persons or entities convicted of giving unlawful gifts or payments to any public official or employee in Ohio state or local government. 

For more, read the full article. 

If you’ve been out shopping, you’ve likely noticed stores are decking their halls and preparing for the holidays (holiday creep is a topic for another time). Many companies like to send small holiday gifts or tokens of appreciation to valued customers, clients and contacts. The question is, does your company’s list of recipients include any public officials or employees? Then you better watch out (and maybe consider checking that list twice).

Ohio law prohibits giving a gift of “substantial value” to a public official or employee if the giver is a “prohibited source.” A prohibited source is anyone that is regulated by, doing business with or seeking to do business with/interested in matters before the official/employee’s agency or political subdivision. While substantial value is not defined, the Ohio Ethics Commission has provided guidance that acceptable gifts should be of a nominal value. Think of promotional items or small food items and snacks. The Ohio Ethics Commission provides helpful guidance and you can always consult with your legal counsel for advice. That way you don’t end up on the naughty list.

Governor Mike DeWine signed Ohio House Bill (H.B.) 2 into law on Monday, May 17, 2021. H.B. 2 was drafted similarly to H.B. 13 from the last general assembly. H.B. 2 creates the Ohio Residential Broadband Expansion Grant Program. The grant program will be housed under the Ohio Development Services Agency (DSA), which is likely to become the Ohio Department of Development again under H.B. 110, the budget bill. DSA will receive and review applications for program grants and send completed applications to the Broadband Expansion Program Authority. The Authority will consist of the Director of Development Services (DSA Director) and the Director of InnovateOhio or their designees, along with three appointed members, to serve four-year terms with reappointments permitted, with the Speaker of the House, the Senate President and the Governor making one appointment each. For more, read the full article.

On October 2, 2020, the Ohio Ethics Commission issued formal Advisory Opinion No. 2020 – 03, addressing ethics questions about public officials attending ceremonial events. The opinion states that state or local public officials or employees many not solicit, accept or use their position “to secure an invitation to an event of substantial value from any party that is doing or seeking to do business with, interested in matters before, or regulated by his or her public agency.” Officials are also prohibited from accepting compensation (outside of what is allowed by law) for performing official duties or any act in their public capacity.

However, Ohio law does not prohibit a public official or employee from attending a ceremonial event, such as the opening of a new exhibit, ground-breaking or ribbon-cutting, or other similar event, in his or her official capacity where the official or employee is performing a ceremonial or honorary function appropriate to his or her public position. The Commission provides a list of criteria to determine if an event is objectively related to the public official’s or employee’s public position.

The opinion went into effect when it was accepted by the Commission.

The Ohio Ethics Commission recently issued Advisory Opinion No. 2020-02 outlining prohibitions under the Ohio Ethics Law related to confidential information and executive sessions. The opinion answers whether ORC 102.03(B) prohibits a present or former public official from disclosing information discussed during executive session without appropriate authorization.

The commission found that the use of executive session does not by itself create confidentiality, but that the “application of the Ethics Laws is dependent upon the facts and circumstances of each individual situation.” Matters discussed in executive session that are expressly required to be kept confidential by federal and state laws or regulation would be considered confidential. However, documents that are “public record” and not otherwise exempt under one of the exemptions to the Public Records Act “may still be subject to public disclosure even if the public body appropriately discussed it in executive session.”

Advisory Opinion 2020-02 notes “it would be unreasonable to hold that everything discussed in an executive session is statutorily confidential, absent other provisions of state or federal law expressly making the information confidential.”