OHIO ETHICS COMMISSION

William Green Building

30 Niehaus Spring Street, L3
Columbus, Ohio 43215-2256
Telephone: (614) 466-7090
Fax: (614)466-8368

SETTLEMENT AGREEMENT .

in the Matter of Thomas E. Niehaus

Inquiry No. 19-Q-1018-055
September 16, 2020

This agreement is entered into between the Ohio Ethics Commission (Commission) and

Thomas E. Niehaus pursuant to the Commission’s authority under Ohio Revised Code Section

1 02.06(G)( I).

SUMMARY: The Commission opened an investigation into potential ethics violations by

Thomas E. Niehaus, former Board Member of the Ohio Air Quality Development Authority

(AQDA). Specifically, after requesting and receiving an advisory opinion from the Commission

on the potential for a conflict involving recently passed legislation, and 60 days before any official

action by the AQDA on that legislation, Niehaus self-reported that he may have violated R.C.

102.04 because he had not filed R.C. 102.04(D) Statements related to his representation of clients

before other state agencies.

FACTS: Thomas Niehaus was appointed to the AQDA in March 2013. Niehaus is

Principal to Vorys Advisors LLC. In this role, he provides business, strategic, and government

relations counsel to the clients of Vorys Advisors, LLC and other businesses and organizations.

Prior to that, he served in the Ohio General Assembly as a state representative, state senator, and

President of the Ohio Senate. On August 12, 2019, Niehaus sent a letter to the Commission

requesting an advisory opinion asking if he could continue to serve as an Ohio AQDA Board

Member while also lobbying for Vistra Energy and the Alliance for Energy Choice. On August
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Settlement Agreement
September 16, 2020

14, 2019, Commission staff sent an opinion to Niehaus stating, in part, that to continue to serve on

the AQDA Board he needed to comply with R.C. 102.04(D) prior to performing any compensated

services for his lobbying clients.

After receiving this staff advisory opinion, Niehaus contacted the Executive Director of the

Commission and asked for a meeting. On October 2, 2019, Niehaus self-reported that on numerous

occasions since 2013, he appeared before multiple agencies on behalf of lobbying clients

including: the General Assembly, Governor’s Office, Attorney General’s Office, the Department

of Agriculture, the Office of Budget and Management, the Department of Higher Education, the

Ohio Public Utilities Commission, the Casino Control Commission, the Department of Commerce,

the Department of Medicaid, Jobs Ohio, and the Development Services Agency.

Niehaus provided to the Commission 184 R.C. 102.04(D) statements that identified each

of these instances. He stated that all of these lobbying matters were identified in his public

lobbying activity reports filed quarterly with the Joint Legislative Ethics Committee. After

reviewing these statements and comparing them to the ILEC filings made by Niehaus for the years

in question, Commission Staff identified additional lobbying activity for which Niehaus may have

needed to file statements with OEC. Niehaus was provided a list of these additional contacts.

When interviewed, Niehaus stated that his attempt to be all inclusive with his initial filing of 184

Statements obviously missed some contacts. At the time of interview, Niehaus provided 17

additional R.C. 102.04(D) statements. Niehaus resigned from the AQDA effective October 4,

2019, rather than recuse himself from what likely would have been numerous board discussions

and likely votes where a conflict might exist. As he stated in his resignation letter, he resigned to

avoid any appearance of a conifict and to ensure there would be a quorum of members available

to vote.

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Settlement Agreement
September 16, 2020

Staff reviewed the results of its investigation with the Commission at its regularly

scheduled meeting, in executive session, on May 29, 2020. The Commission found that the facts

support a violation of R.C. 102.03(A) because Niehaus failed to file the required R.C. 102.04(D)

statements for lobbying multiple clients before several different State boards, commissions, and

agencies from March 2013, when he was first appointed to the AQDA, until his resignation from

the AQDA in October 2019. The Commission determined that this matter should be addressed

through its settlement authority under R.C. 102.06(G) based upon the following factors in

mitigation.

MITIGATION: In mitigation of any violation, Niehaus filed the appropriate lobbyist

reporting documents with the Joint Legislative Ethics Commission, which otherwise publicly

disclosed his representation of clients before other public agencies. He self-reported to the Ethics

Commission his failure to file the required R.C. 102.04(D) statements. The investigation found

no evidence that he acted in his official capacity concerning any client; and, in fact, when it

occurred on one occasion, he actively recused himself by leaving the meeting and not just

abstaining from participating. Niehaus was cooperative with the investigation, he recognized his

oversight in not being in compliance with the reporting requirements, and he made efforts to

correct the situation through self-reporting and submission of the statements. In addition, Niehaus

made no excuses for the oversight and stated he should have been more aware of the filing

requirements.

RESOLUTION: Per the terms of this Settlement Agreement, Niehaus acknowledges that

he violated R.C. 102.03(A) when he failed to file the required R.C. 102.04(D) statements for

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Settlement Agreement
September 16, 2020

lobbying multiple clients before several different State boards, commissions, and agencies from

March 2013, when he was first appointed to the AQDA, until his resignation from the AQDA in

October 2019. In lieu of a referral of this matter to the local prosecuting attorney, Niehaus accepts

a reprimand from the Commission. Niehaus further agrees he will not make any public argument

in defense of the acknowledgement contained in this settlement agreement by stating that he did

not do anything wrong, that the facts do not support a potential violation of the Ohio Ethics Law,

or that the resolution of this matter is legally or factually deficient for any reason due to the

investigation or processes of the Ethics Commission. A copy of this Settlement Agreement will

be shared with the Columbus City Attorney, the AQDA, and the Governor’s Office of Boards and

Commissions. This Settlement Agreement will be a public record. Finally, Niehaus acknowledges

that any future alleged violations brought to the Commission or Prosecutor’s office will be fully

investigated and, if warranted by the facts, recommended to be prosecuted to the full extent of the

law.

Pursuant to R.C. 102.06(G)(3), if Thomas Niehaus breaches this settlement agreement, the

commission or prosecuting authority, in the commission’s or prosecuting authority’s discretion,

may rescind the agreement and reinstitute any investigation, hearing, or prosecution of Niehaus.

No information obtained from Niehaus in reaching the settlement that is not otherwise discoverable

from Niehaus shall be used in any proceeding before the commission or by the appropriate

prosecuting authority in prosecuting the violation. Notwithstanding any other section of the

Revised Code, if a settlement agreement is breached, any statute of limitations for a violation of

this chapter or R.C. 2921.42 or R.C. 2921.43 is tolled from the date the complaint or charge is filed

until the date the settlement agreement is breached.

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Settlement Agreement
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Per the terms of this Settlement Agreement, the Commission will hereby close its review

of this matter in lieu of any referral of this matter for prosecution.

Thomas E. Niehaus
Respondent

/ A4.4t
OHIO ETHICS COM ISSI
By Paul M. Nick, Executive Director
I
Date