(A) The chief of the division of mineral
resources management shall:
(1) Provide
advice, assistance, and guidance to all employees of the division of mineral
resources management required to file statements pursuant to paragraph (F) of
this rule;
(2) Promptly review the
statement of employment and financial interests and supplements, if any, filed
by each employee, to determine if the employee has correctly identified those
listed employment and financial interests which constitute a direct or indirect
financial interest in a coal mining operation;
(3) Resolve prohibited financial interest
situations by ordering or initiating remedial action or by reporting the
violations to the director of the office
or
of surface mining
reclamation and enforcement;
(4)
Certify on each statement that review has been made, that prohibited financial
interests, if any, have been resolved, and that no other prohibited interests
have been identified from the statement;
(5) Submit to the director of the office of
surface mining reclamation and enforcement such statistics and information as
he or she may request;
(6) Submit
to the director of the office of surface mining reclamation and enforcement the
initial listing and the subsequent annual listings of positions as required by
paragraphs (F)(1) to (F)(3) of this rule;
(7) Furnish a blank statement forty-five days
in advance of the filing date established by paragraph (G)(1) of this rule to
each employee required to file a statement; and
(8) Annually inform each employee required to
file a statement with the chief of the name, address, and telephone number of
the person whom
they
the employee may contact for advice and counseling.
(B) Employees
performing any duties or functions under Chapter 1513. of the Revised Code
shall:
(1) Have no direct or indirect
financial interest in coal mining operations;
(2) File a fully completed statement of
employment and financial interest upon entrance to duty, and annually
thereafter on the specified filing date; and
(3) Comply with directives issued by persons
responsible for approving each statement and comply with directives issued by
those persons responsible for ordering remedial action.
(C) Members of the reclamation commission
shall recuse themselves from proceedings which may affect their direct or
indirect financial interests.
(D)
Definitions. For purposes of this rule:
(1)
"Coal mining operation" means the business of developing, producing, preparing
or loading coal, or of reclaiming the areas upon which such activities occur.
(2) "Employee" as used in this
rule means any person employed by the state who performs any function or duty
under Chapter 1513. of the Revised Code. However, members of the reclamation
commission
and members of the reclamation forfeiture
fund advisory board are not included within the meaning of this
definition.
(3) "Performing any
function or duty under Chapter 1513. of the Revised Code" means those decisions
or actions which, if performed or not performed by an employee, affect the
regulatory program administered under Chapter 1513. of the Revised Code.
(4) "Direct financial interest"
means ownership or part ownership of lands, stocks, bonds, debentures,
warrants, partnership shares, or other holdings and also means any other
arrangement where the employee may benefit from his or her holding in or salary
from coal mining operations. Direct financial interests include employment,
pensions, creditor, real property and other financial relationships.
(5) "Indirect financial interest" means the
same financial relationships as for direct ownership, but where the employee
reaps the benefits of such interests, including interests held by his or her
spouse, minor child and other relatives, including in-laws, residing in the
employee's home. The employee will not be deemed to have an indirect financial
interest if there is no relationship between the employee's functions or duties
and the coal mining operation in which the spouse, minor children or other
resident relatives hold a financial interest.
(6) "Prohibited financial interest," means
any direct or indirect financial interest in any coal mining operation.
(E) An employee who
fails to file the required statement will be considered in violation of the
intended employment provisions of section
1513.04 of the Revised Code and
will be subject to removal from his or her position.
(F) Who shall file.
(1) Any employee who performs any function or
duty under Chapter 1513. of the Revised Code is required to file a statement of
employment and financial interest. Members of the reclamation commission
and members of the reclamation forfeiture fund advisory
board are required to file a statement of employment and financial
interests. An employee who occupies a position which has been determined by the
chief not to involve performance of any function or duty under Chapter 1513. of
the Revised Code or who is no longer employed by the chief at the time a filing
is due, is not required to file a statement.
(2) The chief of the division of mineral
resources management shall:
(a) Prepare a
list of those positions within the division of mineral resources management
that do not involve performance of any functions or duties under Chapter 1513.
of the Revised Code;
(b) Prepare
and submit to the director of the office of surface mining reclamation and
enforcement an initial listing of positions that do not involve performance of
any functions or duties under Chapter 1513. of the Revised Code.
(3) The chief of the division of
mineral resources management shall annually review and update this listing. The
listing must be submitted to the director of the office of surface mining
reclamation and enforcement and must contain a written justification for
inclusion of the positions listed. Proposed revisions or a certification that
revision is not required shall be submitted to the director by no later than
September thirtieth of each year. The chief of the division of mineral
resources management may revise the listing by the addition or deletion of
positions at any time he or she determines such revisions are required to carry
out the purpose of section
1513.04. of the Revised Code or
this rule. Additions to and deletions from the listing of positions are
effective upon notification to the incumbents of the positions added or
deleted.
(G) When to
file.
(1) Employees performing functions or
duties under Chapter 1513. of the Revised Code, and members of the reclamation
commission
and members of the reclamation forfeiture
fund advisory board, shall file annually on February first of each year
or at such other date as may be agreed to by the director of the office of
surface mining reclamation and enforcement.
(2) Employees hired, appointed, or
transferred to perform functions or duties under Chapter 1513. of the Revised
Code
, and members of the reclamation commission and
members of the reclamation forfeiture fund advisory board, shall be
required to file at the time of entrance to duty.
(3)
New employees
are
A new employee, and a new member of the
reclamation commission or the reclamation forfeiture fund advisory board,
is not required to file an annual statement on the subsequent annual
filing date if this date occurs within two months after
their
his or
her initial statement was filed.
(H) Where to file.
The chief of the division of mineral resources management shall
file his or her statement with the director of the office of surface mining
reclamation and enforcement . All other employees, as provided in paragraph
(F)(1) of this rule, and members of the reclamation commission
and members of the reclamation forfeiture fund advisory
board, shall file their statement
statements with the chief of the division of mineral resources management.
(I) What to file.
(1) Each employee
and
member of the reclamation commission and member of the reclamation forfeiture
fund advisory board shall report all information required on the
statement of employment and financial interests of the employee
or member, his or her spouse, minor children, or
other relatives who are full-time residents of the employee's
or member's home. The report shall be on "OSM
Form
705-1
23"
as provided by the office of surface mining reclamation and enforcement. The
statement shall consist of three major parts:
(a) A listing of all financial interests,
including employment, security, real property, creditor, and other financial
interests held during the course of the preceding year;
(b) A certification that none of the listed
financial interests represent a direct or indirect financial interest in a coal
mining operation except as specifically identified and described by the
employee
or member of the reclamation commission or the
reclamation forfeiture fund advisory board as part of the certificate;
and
(c) A certification by the
reviewer that the form was reviewed, that prohibited interests have been
resolved, and that no other prohibited interests have been identified from the
statement.
(2) Listing
of all financial interests. The statement shall set forth the following
information regarding any financial interest:
(a) Employment. Any continuing financial
interests in business entities and nonprofit organizations through a pension or
retirement plan, shared income, salary or other income arrangement as a result
of prior or current employment. The employee
or member
of the reclamation commission or the reclamation forfeiture fund advisory
board, his or her spouse
, or other resident
relative is not required to report a retirement plan from which he or she will
receive a guaranteed income, that is, income which is unlikely to be changed as
a result of actions taken by the division of mineral resources management.
(b) Securities. Any financial
interest in business entities and nonprofit organizations through ownership of
stock, stock options, bonds, securities, or other arrangements including
trusts. An employee
or a member of the reclamation
commission or the reclamation forfeiture fund advisory board is not
required to report holdings in widely diversified mutual funds, investment
clubs, or regulated investment companies not specializing in coal mining
operations.
(c) Real property.
Ownership, lease, royalty, or other interests or rights in lands or minerals.
Employees
or members of the reclamation commission or
the reclamation forfeiture fund advisory board are not required to report
lands developed and occupied for a personal residence.
(d) Creditors. Debts owed to business
entities and nonprofit organizations.
Employees or members of the reclamation
commission or the reclamation forfeiture fund advisory board are not
required to report debts owed to financial institutions (banks, savings and
loan associations, credit unions, and the like) which are chartered to provide
commercial or personal credit. Also excluded are charge accounts and similar
short term debts for current and ordinary household and living expenses.
(3) Employee
certification, and, if applicable, a listing of exceptions.
(a) The statement shall provide for a signed
certification by the employee
or the member of the
reclamation commission or the reclamation forfeiture fund advisory board
that to the best of his or her knowledge:
(i)
None of the listed financial
interest
interests represent an interest in a coal mining
operation except as specifically identified and described as exceptions by the
employee
or the member of the reclamation commission or
the reclamation forfeiture fund advisory board as part of the
certificate; and
(ii) The
information shown on the statement
if
is true, accurate, and complete.
(b) An employee
or a
member of the reclamation commission or the reclamation forfeiture fund
advisory board is expected to:
(i) Have
complete knowledge of his or her personal involvement in business enterprises
such as sole proprietorship and partnership, his or her outside employment, and
the outside employment of the spouse and other covered relatives; and
(ii) Be aware of the information
contained in the annual financial statement or other corporate or business
reports routinely circulated to investors or routinely made available to the
public.
(c) The
exceptions shown in the employee certification of the form must provide enough
information for the chief of the division of
mines
and reclamation
mineral resources
management to determine the existence of a direct or indirect financial
interest and shall include:
(i) A list of
financial interests;
(ii) The
number of shares, estimated value, or annual income of the financial interests;
and
(iii) Any other information
which the
that
an employee believes should be considered in determining whether the
interest represents a prohibited interest
or that a
member of the reclamation commission believes would support recusal of him or
herself from participation in a particular proceeding before the reclamation
commission.
(d) Signing the certification
without listing known prohibited financial interests may be cause for imposing
the penalty prescribed in paragraph (E) of this rule.
(4)
Employees are cautioned to give serious consideration
to their direct and indirect financial interests before signing the statement
of certification pursuant to paragraph (I)(3) of this rule. Signing the
certification without listing known prohibited financial interests may be cause
for imposing on an employee the penalty prescribed in paragraph (E) of this
rule.
(J) Gifts
and gratuities.
(1) Except as provided in
paragraph (J)(2) of this rule, employees shall not solicit or accept, directly
or indirectly, any gift, gratuity, favor, entertainment, loan, or any other
thing of monetary value, from a coal company which:
(a) Conducts or is seeking to conduct,
operations, or activities that are regulated by the division of mineral
resources management; or
(b) Has
interest that may be substantially affected by the performance or
nonperformance of the employee's official duty.
(2) The prohibitions in paragraph (J)(1) of
this rule do not apply in the context of obvious family or personal
relationships, such as those between the parents, children or spouse of the
employee and the employee, when the circumstances make it clear that it is
those relationships rather than the business of the persons concerned which are
the motivating factors. Any employee may accept:
(a) Food and refreshments of nominal value on
infrequent occasions in the ordinary course of a luncheon, dinner, or other
meeting where an employee may properly be in attendance
, provided the nominal value of food, refreshment,
unsolicited advertising or promotional materials accepted from a single coal
company does not exceed twenty dollars in one year; and
(b) Unsolicited advertising or promotional
material, such as pens, pencils, note pads, calendars and other items of
nominal value.
(K) The chief shall take the following
actions to resolve prohibited interests:
(1)
If an employee has a prohibited financial interest, the chief of the division
of mineral resources management shall promptly advise the employee
, in the form of an order, that remedial action which
will resolve the prohibited interest is required within ninety days. Remedial
action may include:
(a) Reassignment of the
employee to a position which performs no function or duty under Chapter 1513.
of the Revised Code; or
(b)
Divestiture of the prohibited financial interest; or
(c) Other appropriate action which either
eliminates the prohibited interest or eliminates the situation which creates
the conflict;
(2)
If
, ninety days after an employee is notified
pursuant to paragraph (K)(1) of this rule to take
remedial action
, that employee is not in
compliance with the requirements of Chapter 1513. of the Revised Code and this
rule, the chief of the division of mineral resources management shall report
the facts to the director of the office of surface mining reclamation and
enforcement. The report to the director shall include the original or a
certified true copy of the employee's statement and any other information
pertinent to the director's determination, including a statement of actions
being taken at the time the report is made.
(L) Appeals procedures. Employees have the
right to appeal an order for remedial action under paragraph (K) of this rule
and shall have thirty days to exercise this right before disciplinary action is
initiated.
(1)
Employees
An employee,
other than the chief of the division of mineral resources management
and members of the reclamation commission and such
commission's hearing officers
or a hearing
officer of the reclamation commission, may file
their
an
appeal in writing with the chief, who will conduct an informal hearing on the
merits.
(2) The chief of the
division of mineral resources management
and members
of the
reclamation commission and such
commission's hearing officers
or a hearing
officer of the reclamation commission may file
their
an appeal in
writing
, with the director of the office of
surface mining reclamation and enforcement, who will refer it to the conflict
of interest appeals board within the United States department of the interior.