Bill No.
39-14
Concerning: Ethics - Amendments
Revised: Julv 21. 2015
Draft No.
_L_
Introduced:
July 29. 2014
Enacted:
July 21. 2015
Executive: - - - - - - - - -
Effective: - - - - - - - - -
Sunset Date:
_N~o--.n
e_ _ _ _ __
....
Ch. _ _ , Laws of Mont. Co. _ __
COUNTY COUNCIL
FOR MONTGOMERY COUNTY, MARYLAND
By: Council President at the request of the Ethics Commission
AN ACT
to:
(1)
(2)
revise certain provisions of the County ethics law governing :financial disclosure and
solicitation and acceptance of gifts to meet certain requirements of state law; and
generally update and amend the County ethics law.
By amending
Montgomery County Code
Chapter 19A, Ethics
Sections 19A-4, 19A-11, 19A-14, 19A-16, 19A-l 7, 19A-18, 19A-19, and 19A-20
Boldface
Underlining
[Single boldface brackets]
Double undedining
.[[Double boldface brackets]]
* * *
Heading or defined term.
Added to existing law
by
original bill.
Deletedfrom existing law by original bill.
Added by amendment.
Deletedfrom existing law or the bill by amendment.
Existing law unaffected by bill.
The County Council for Montgomery County, Maryland approves the following Act.·
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BILL
No. 39-14
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Sec.1. Sections 19A-4, 19A-11, 19A-14,
19A-16~
19A-17, 19A-18, 19A-19,
and 19A-20 are amended as follows:
19A-4.
Definitions.
2
3
4
Unless the context clearly indicates otherwise, the following words have the
following meanings:
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6
7
*
G)
*
*
Interest
or
economic interest
means any source of income or any other
legal or equitable economic interest, whether or not the interest is subject
to an encumbrance or a condition, which is owned or held in whole or in
part, jointly or severally, and directly or indirectly. Interest does not
include:
( 1)
an interest in a time deposit or demand deposit in a financial
institution or in a money market fund with assets of at least
$10,000,000;
(2)
an interest in an insurance policy, endowment policy, or annuity
contract under which an insurance company promises to pay a
fixed number of dollars either in a lump sum or periodically for life
or some other specified period; [or]
(3)
an interest in a deferred compensation plan that:
(A)
(B)
has more than 25 participants; and
the Internal Revenue Service has determined qualifies under
section 457 of the Internal Revenue Code; [or]
( 4)
an interest in a common trust fund or a trust that forms part of a
pension plan or profit-sharing plan that:
(A)
(B)
has more than 25 participants; and
the Internal Revenue Service has determined to be a
qualified trust or college savings plan under the Internal
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Revenue Code; [and] or
( 5)
an interest in a mutual fund. exchange-traded fund. closed-end
fund. or unit investment trust [(including a closed-end fund and a
unit investment trust) regulated by the Securities and Exchange
Commission, in which the investor does not control the purchase
or sale of the individual securities the fund holds] that:
(A)
[fu
publicly traded on
~
national
scale unless the mutual
fund is composed primarily of holdings of stocks and
interests in
~
specific sector or area that is regulated
!2y
the
individual's governmental unit]] has more than 25
participants:
is regulated by the Securities and Exchange Commission:
and
the investor does not control the purchase [[of]] or sale of
the individual securities held by the fund.
*
(ill
*
*
Restricted donor
means a person or [[organization]] business that:
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ill
a)
is registered or must register as a lobbvist under Section 19A-21;
does business with the County agency with which the public
employee is affiliated:
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Ul
is engaged in an activity regulated or controlled by the County
agency with which the public employee is affiliated: or
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ill
has a financial interest that may be substantially and materially
affected in a manner distinguishable from the public generally by
the performance or nonperformance of the public employee's
duties.
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[[(
o)]]
(Itl
Year
means calendar year.
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19A-11. Participation of public employees.
(a)
Prohibitions.
Unless permitted by a waiver, a public employee must not
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participate in:
*
(2)
*
*
any matter if the public employee knows or reasonably should
know that any party to the matter is:
(A)
any business in which the public employee has an economic
interest or is an officer, director, trustee, partner, or
employee;
(B)
any business in which a relative has an economic interest, if
the public employee knows about the interest;
· (C)
any business with which the public employee has an active
application. is negotiatin& or has any arrangement [[about]]
for prospective employment;
(D)
any business that is considering an aoolication from.
negotiating with,,, [[a relative]] or has an arrangement with a
relative about prospective employment, if the public
employee knows about the aoolication. negotiations,,, or the
arrangement;
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* ' *
(c)
means:
(1)
*
Thresholds.
In
this section, interest or economic interest [[only includes]]
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any source of income, direct or indirect, if the employee:
(A)
received more than $1,000 from that source of income in
any of the last 3 years;
(B)
is currently receiving more than $1,000 per year from that
source of
income[[:]]~
or
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(C)
is entitled to receive at least $1,000 in any year in the future
from that source of income;
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(2)
a
busin~ss
in which the public employee or a relative owns more
than 3 percent;
(3)
securities that represent ownership or can be converted into
ownership of more than 3 percent of a business; [[and]] or
(4)
any other economic interest worth more than $1,000.
19A-14. Misuse of prestige of office; harassment; improper influence.
(a)
Unless expressly authorized by regulation or as may be permitted under
Section 19A-16.
[[A]]~
public employee must not intentionally use the
prestige of office for private gain or the gain of another. Performing usual
and customary constituent services, without additional compensation, is
not prohibited by this subsection.
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*
19A-16.
(a)
*
*
Soliciting or accepting gifts.
[[A]] Except as permitted by Subsection
(b)
or by Commission
regulation. a public employee must not solicit [a] any gift to the employee
or for another person from a restricted donor or another public employee.
[[to the employee or another person or organization]]
In
addition. a public
employee must not solicit a gift from any person to the employee or
another person:
[[( 1) from any business or person who:
(A)
(B)
is registered or must register as a lobbyist;
does business with the County agency with which the public
employee is affiliated; or
(C)
is, or owns or operates a business that is, regulated by the
County agency with which the public employee is affiliated;
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[(b)
(2)
during official work hours, or at a County agency, or from any
other public employee who is supervised directly or indirectly by
the public employee;
(3)
while wearing all or part of an official uniform of a County agency,
or while otherwise identifiable as a public employee;
(4)
for the employee's own benefit, unless the Ethics Commission
approves the solicitation; or
(5)
with the intent of affecting or offering to affect any action by a
County agency]]
ill
al
Q)
during official work hours. or at a County agency:
while wearing all or part of an official uniform of a County agency.
or while otherwise identifiable as a public employee: or
with the intent of affecting or offering to affect any action by a
County agency.
However, a public employee may solicit a gift:
(1)
from public employees during official work hours, or at a County
agency, for a charitable drive that is approved by the County
Executive or (for public employees of the legislative branch) the
President of the Council, when the solicitation is part of the public
employee's official duties;
(2)
from any person to a charitable organization, as defined
in
the state
law regulating public charities, or a. municipality, if the public
employee does not solicit gifts primarily from those persons who
do business with or are regulated by the county agency with which
the public employee is affiliated, or from other employees who are
supervised directly or indirectly by the public employee;
(3)
from any person, during official work hours, while identifiable as
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(5)
(4)
a public employee, or at a County agency, for the benefit of a
County agency or a nonprofit organization formally cooperating ·
on a program with a County agency if the solicitation is authorized
by the County Executive or (for public employees ofthe legislative
branch) the President of the Council in an order printed in the
County Register that designates:
(A)
the public employee authorized to solicit the gift;
the purpose for which the gift is sought;
the manner in which the gift may be solicited;
the persons or class of persons from whom gifts may be
solicited; and
(E)
the type of gifts that may be solicited;
(B)
(C)
(D)
while wearing all or part of a uniform of the corporation, to a
nonprofit fire or rescue corporation of which the public employee
is a member; or
from any person to a charitable organization, as defined in the state
law regulating public charities, while identifiable as an elected
official, if the employee lists
in
a supplement to each annual
financial disclosure statement each organization to which the
employee solicited a contribution during that year.]
@
UA
public employee must not directly solicit or facilitate the solicitation
of
~
gift, on behalf of another person, from an individual regulated
lobbyist]] A public employee may solicit a gift:
ill
from a public employee for a charitable drive that is approved by
the County Executive or (for public employees of the legislative
branch) the President of the Council. when the solicitation is part
of the public employee's official duties;
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~
from any person to a charitable organization. as defined in the state
law regulating public charities. or a municipality. if the public
employee does not solicit gifts primarily from a restricted donor or
from other employees who are supervised directly or indirectly by
the public employee:
ill
from any person. during official work hours. while identifiable as
a public employee. or at a County agency. for the benefit of a
County agency or a nonprofit organization formally cooperating
on a program with a County agency if the solicitation is authorized
by the County Executive or (for public employees of the legislative
branch) the President of the Council in an order printed in the
County Register that designates:
(A)
the public employee authorized to solicit the gift:
the purpose for which the gift is sought:
the manner in which the gift may be solicited:
the persons or class of persons from whom gifts may be
solicited: and
Oil
il:l
(Ill
(fil
,(1)
the type of gifts that may be solicited;
while wearing all or part of a uniform of the comoration. to a
nonprofit fire or rescue comoration of which the public employee
is a member; or
ill
from any person to a charitable organization. as defined in the state
law regulating public charities. while identifiable as an elected
official. if the employee lists in a supplement to each annual
:financial disclosure statement each organization to which the
employee solicited a contribution during that year.
(c)
A public employee must not knowingly accept a direct or indirect gift
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from [[any individual or organization that the public employee knows or
reasonably should know:
(1)
is registered, or must register, as a lobbyist on a matter that is or
could be considered by the County agency with which the public
employee is affiliated;
(2)
does or seeks to do business,,, regardless of amount, with the County
agency with which the public employee is affiliated;
(3)
owns or operates a business that is regulated by the County agency
with which the public employee is affiliated; or
(4)
has an identifiable economic interest that is different from that of
the general public, which the public employee may substantially
affect in performing the public employee's official duties]]
restricted donor.
(d)
~
Subsection (c) does not apply to:
( 1)
meals and beverages consumed in the presence of the restricted
donor or sponsoring entity at
~
:function attended
.Qy
at least 20
persons
~
if fewer than 20 persons attend, meals and beverages
consumed in the presence of the restricted donor or sponsoring
entity which do not exceed $50 in value from the same source in
any calendar year;
(2)
ceremonial gifts or awards [with a resale] that have insignificant
monetary value [of $100 or less, if the gift or award commemorates
an event or achievement associated with the public employee];
(3)
[items of personal property, other than cash, worth less than $10;]
unsolicited gifts of nominal value that do not exceed $20
in
cost,
or trivial items of informational value;
(4)
reasonable expenses for food, travel, lodging, and scheduled
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(9)
(6)
(5)
entertainment of the public employee, given in return for the public
employee's participation in a panel or speaking at a meeting;
[[gifts]] a gift to an elected official, [or that official's designee who
is assigned to represent the official at an event included in this
paragraph,] ifthe gift:
(A)
(B)
is a courtesy extended
to
the office; and
consists of tickets or free admission for the [employee and
one guest] elected official and one guest to attend a
charitable, cultural, [civic, labor, trade, sports,] civic. labor
trade. or political event attended by at least 20 participants,
including meals and beverages served at the event; and
LO
is provided by the person sponsoring the event.
any item that is solely informational or of an advertising nature,
including a book, report, periodical, or pamphlet, if the resale value
of the item is [$25) $20 or less;
(7) · gifts from a relative;
(8)
honoraria [or awards for achievement] for speaking to or
participating in
~
meeting if the offering of the honorarium is not
related to the employee's official position and is unsolicited; or
a specific gift or class of gifts which
th~
Commission exempts from
this Section after finding in writing that accepting the gift or class
of gifts is not detrimental to the impartial conduct of the business
of a County agency.
(e)
(f)
Subsection (c) does not apply to unsolicited gifts to a County agency.
A public employee who receives a gift that the public employee must not
accept under this Section must report the gift to the Commission, if
otherwise required to report it, and return the gift to the donor or transfer
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19A-17.
the gift to the County.
[If
the unacceptable gift is a perishable item, the
employee, instead of transferring the gift to the County, may transfer it to
a charitable or educational organization that can make timely and
effective use of the gift, so long as the employee is not an officer, director,
trustee, partner, or employee of the receiving organization.]
If
the
unacceptable gift is a perishable item. the employee. instead of
transferring the gift to the County. may transfer it to a charitable or
educational organization that can make timely and effective use of the
gift. so long as the employee is not an officer. director. trustee. partner. or
employee of the receiving organization.
Who must file a financial disclosure statement.
[(a)] The following persons must file a public financial disclosure statement
under oath:
[(1 )]
.(fil
each incumbent and candidate for:
[(A)]
ill
County Executive; and
[(B)]
ill
County Council;
[(2)]
.{hl
the following public employees:
[(A)]ffi Chief Administrative Officer and any Deputy or Assistant Chief
Administrative Officer;
[(B)]ill special assistants to the County Executive;
[(C)]ill director and deputy director of each department, principal office,
and office in the County government;
[(D) any officer holding a position designated by law as a non-
merit position;]
(i}
any officer holding a position designated by law as a non-merit
position:
ill
each Hearing Examiner in the Office of Zoning and Administrative
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~
~
Hearings;
[(E)]
[[(2.)ll.
(fil members of the County Board of Appeals;
ill
!ID
[(F)
members of the Commission; and][[{fil]]
members of
the Commission:
each member of the Fire and Emergency Services Commission,
Board of License Commissioners, Revenue Authority, and
Housing Opportunities Commission;
(2J
[(G)]
[[Zill
members of the Merit System Protection Board;
ilQl
[[@]]the Council Administrator and the Deputy Council
Administrator, if any;
LW
[[{2}]]
each Senior Legislative Analyst, Legislative Analyst,
Senior Legislative Attorney, and Legislative Attorney for the
County Council;
Ll2)
[[{.1.Q}]]
the Legislative Information Officer for the County
Council;
ill)
[[ill}]]
each Senior Legislative Analyst and Legislative Analyst in
the Office of Legislative Oversight;
[[@]]
each Legislative Senior Aide III for the County Council;
ill)
[[{11)]]
the Inspector General and the deputy Inspector General:
and
ilfil
[(3)]
[[(1£)]
any person who is appointed to serve in an acting
capacity in any position listed in the preceding paragraphs while
the position is vacant; and
the following public employees, if not already required to file under this
Section:
ill
ill
any public employee in the Management Leadership Service;
any paid member of any board, commission, or committee of
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County government, and any other member of
~
board,
commission, or committee of County government who the Chief
Administrative Officer designates; and
ill
any other public employee in the Executive branch of County
government designated
hy
the Chief Administrative Officer, and
any public employee in the legislative branch of County
government designated
hy
the Council Administrator.
[(4)
any other public employee in the Executive branch, or in the
Revenue Authority, Board of License Commissioners, or Housing
Opportunities Commission, including any person listed in
subsection (b), who the County Executive designates by regulation
issued under method (2) after finding that filing a public financial
disclosure statement will promote trust and confidence in County
government;]
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[(5)
any other public employee in the legislative branch including the
County Board of Appeals, and in the Merit System Protection
Board, including any person listed in subsection
(b),
who the
Council designates by resolution after finding that filing a public
financial disclosure statement will promote trust and confidence in
County government; and]
[(6)
the members of a board, commission, committee, or similar body
in the Executive branch, or of the Revenue Authority, Board of
License Commissioners, or Housing Opportunities Commission,
which the County Executive designates by regulation issued under
Method (2) or any public employee
in
the legislative branch,
including the County Board of Appeals, and in the Merit System
Protection Board, who the Council designates by resolution, after
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finding that filing a limited public
financial
disclosure statement
will promote trust and confidence in County government. The
financial disclosure required under this paragraph must be limited
to
information concerning any economic interest or
gift
that may
create a conflict between the employee or member's personal
interests and official duties.
The Commission must adopt a
regulation specifying the information that must be disclosed. A
public employee who files a limited public financial disclosure
statement under this paragraph must also file a confidential
financial disclosure statement if required to do so under subsection
(b). A public employee need not file a limited public financial
disclosure statement under this paragraph if the employee already
is required to file a public financial disclosure statement.]
[(b)
The following persons must file a confidential financial disclosure
statement under oath:
(1)
(2)
(3)
(4)
(5)
Assistant Chief Administrative Officers;
attorneys in the Office of the County Attorney;
Hearing Examiners;
Members of the Fire and Emergency Services Commission;
paid members of any board, commission, committee, or authority
of County government, including members of the Board of
License Commissioners, the Revenue Authority, and the Housing
Opportunities Commission;
(6)
any public employee in the Executive branch, or in the Revenue
Authority,· Board of License Commissioners, or Housing
Opportunities Commission, who the County Executive designates
by regulation issued under method (2) after finding that filing a
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confidential financial disclosure statement will promote trust and
confidence in
Co~ty
government; and
(7)
any public employee in the legislative branch including the County
Board of Appeals, and in the Merit System Protection Board, who
the Council designates by resolution after finding that filing a
confidential financial disclosure statement will promote trust and
confidence in County government.]
[(c)]
@In
designating other public employees to file [public or confidential]
financial disclosure statements [under subsection (a)(4) or (b)(6)], the
[Executive should]
Chief Administrative
Officer and Council
Administrator respectively [[must]] should include those employees
[who have substantial responsibility for one or more of the following
functions] whose duties and responsibilities are likely to substantially
affect private interests and require significant participation through
decision or the exercise of significant judgment, and without substantial
.
supervision and review, in taking g government action regarding:
(1)
(2)
(3)
(4)
(5)
(6)
(7)
[(
d)
contracting or procurement;
administering grants or subsidies;
land use, planning and zoning;
regulating, licensin& or inspecting any business; ·
other decisions with significant economic impact; and
law enforcement[; and
controlling access to confidential information].
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The Executive and Council, respectively, must annually review the list of
employees designated under subsections (a)(4), (a)(5), (a)(6), (b)(7), and
(b)(8) for compliance with the purposes of this Article.]
19A-18.
Financial disclosure statement; procedures.
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[(a)
(1)
Each public employee required to file a public financial disclosure
statement under subsection 19A-17(a) must file the statement
under oath by April 15 of each year forthe previous year.
(2)
Any person nominated by the County Executive to hold any office
listed in paragraph 19A-17(a)(2) must file the statement before the
Council confirms the appointment.
(3)
If
the Council makes an appointment to any office listed in
paragraph 19A-17(a)(2), the applicant must file the statement as
part of the application for the position.]
[(b)
Unless a statement has been filed under subsection (a), each candidate for
an office listed in paragraph 19A-17(a)(l) must file with the Board of
Supervisors of Elections a financial disclosure statement under oath for
the year before the year in which the certificate of candidacy is filed. The
statement must be filed with the certificate of candidacy.]
[(c)
If
a certificate of candidacy is filed before January 1 of the year in which
the election is held, the candidate must file a supplemental financial
disclosure statement under oath for the year before the year
in
which the
election is held. The supplemental statement must be filed with the Board
of .Supervisors of Elections on or before the last day to withdraw a
candidacy. The Board of Supervisors of Elections must notify each
candidate of this obligation to file a supplemental financial disclosure
statement at least 20 days before the last day to withdraw a candidacy.
If
the candidate fails to file a timely supplemental statement, the candidacy
is withdrawn.]
[(d)
The Board of Supervisors of Elections must not accept a certificate of
candidacy or certificate of nomination unless a financial disclosure
statement in proper form has been filed. Within 30 days after receiving a
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[(e)
statement, the Board must forward the statement to the Commission to be
retained under this Chapter.]
(1)
(A)
Any person required to file under subsection 19A- l 7(b)
must file a financial disclosure statement under oath with
each director of a County agency with which the person was
affiliated during the reporting period. Any person required
to file under subsection 19A-17(b) who is not supervised by
a director must file a financial disclosure statement under
oath with the Chief Administrative Officer.
(B)
The statement must be filed by April 15 for the previous
year.
(C)
The director or the Chief Administrative Officer must
review the statement to see if: .
(i)
(ii)
the answers are complete;
there is any conflict of interest with the person's
official duties; and
(iii)
there is any potential conflict of interest.
(D)
The Chief Administrative Officer may designate the head of
a County agency to review a statement. A director of a
County agency or the Chief Administrative Officer may
designate the deputy director of the agency or the chief of a
division of the agency to review a statement. The designator
must inform the Commission of the delegation. The
designee is subject to the same rules of confidentiality as the
designator.
(2)
After certifying that each part of the statement has been completed
and that, on the basis of the information reported, there is no
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454
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456
457
458
459
[(f)
(4)
(3)
conflict of interest or potential conflict of interest with the filer's
official duties, the agency director or Chief Administrative Officer
must forward the statement to the Commission within 30 days after
receiving it. The agency director or the Chief Administrative
Officer may retain a copy of the statement for one year after
forwarding it to the Commission.
If
asked by an agency director,
the Chief Administrative Officer, the County Executive, a Council
member, or the filer of the statement, the Commission must review
any statement within 120 days after receiving it.
The Commission, the Chief Administrative Officer, the County
Executive, a member of the County Council, the County Attorney,
the Director of the Office of Legislative Oversight, the filer of the
statement, or their designees, may review a statement at any time.
A designee must be appointed in writing and is subject to the same
rules of confidentiality as the designating party.
Any confidential financial disclosure statement filed under this
Chapter must not be made available to the public for examination.
The Commission must retain each
sta~ement
for 6 years. After the
6-year period expires, the Commission must destroy each
statement unless the Commission determines that the statement is
needed to resolve an investigation or complaint.]
Each public employee required to file an annual financial disclosure
statement under Section 19A-17 must also file a financial disclosure
statement:
( 1)
within 15 days after the employee begins employment in a position
covered by Section 19A-17, covering the current calendar year up
to the date of filing and, unless the employee has already filed a
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No. 39-14
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462
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474
475
476
4
77
statement for the previous year, the previous calendar year; and
(2)
before the employee leaves a position covered by Section 19A-17,
unless the employee has taken another position covered by Section
19A-17. The Director of Finance must not issue an employee's
final paycheck until the employee has filed a statement required by
this paragraph. Any statement filed under this paragraph must be
treated and reviewed as if it were an annual statement, except that
it need only report on the period after the employee's last previous
annual statement, if any.]
[(g)
The Commission must make available each statement filed under
subsection 19A-17(a) for examination and copying during normal office
hours. The Commission may charge reasonable fees and adopt
procedures for examining and copying statements.]
[(h)
The Commission must provide forms for filing financial disclosure
statements. Forms should be made available no later than January 1 each
year.]
[(i)
A person must not use any financial disclosure statement required under
this Chapter for commercial purposes.]
478
479
480
481
482
483
484
485
486
[0)
A financial disclosure statement is filed under oath if the person signs a
declaration that the financial disclosure statement is made under the
penalties of perjury.]
.{fil
Each public employee required to file
~
public financial disclosure
statement under Section 19A-17 must
file~
financial disclosure statement
in the system established
Qy
the Chief Administrative Officer under
subsection (h):
ill
Qy
April
12
of each
y~ar
if that person was
~
filer at the end of the
previous calendar year, covering the year just ended
Qr;.
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No. 39-14
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488
489
490
491
492
493
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495
496
497
498
499
500
501
502
503
504
505
506
507
508
509
510
511
512
513
ill
within 15 days after
~
public employee begins employment in
~
position covered
.Qy
Section 19A-l 7, covering the prior year and
the current year
!!P
to the date of filing;
ill
before an employee
leaves~
position covered
.Qy
Section 19A-l 7,
unless the employee has taken another position covered
Qy:
Section
19A-17. The Director of Finance must not issue an employee's
final paycheck until the employee has
filed~
statement required
Qy
this paragraph. Any statement filed under this paragraph must
cover the period since the employee's last filed statement;
ffi
before the Council confirms the appointment of any person
nominated
.Qy
the County Executive to hold any office listed in
subsection 19A-17(b), covering the prior year and the current year
!!P
to the date of filing. Any person required to file
~report
under
this paragraph need not file
~
report under paragraph
ill
unless 90
days has passed since the filing of the report under this paragraph;
and
ill
as part of the application for
~
Council-appointed office listed in
subsection 19A-17 (b), covering the prior year and the current year
!!P
to the date of filing. Any person required to file
~
report under
this paragraph need not file
~
report under paragraph
ill
unless 90
days has passed since the filing of the report under this paragraph.
{hl
Each candidate for an office listed in subsection 19A-17(a) must file with
the County Board of Elections
~
financial disclosure statement covering
the prior year and the current year
!!P
to the date of filing the candidate's
certificate of candidacy. The statement must be filed with the certificate
of candidacy or certificate of nomination. The County Board of Elections
must not accept
~
certificate of candidacy or certificate of nomination
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No. 39-14
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515
516
517
518
519
520
521
522
523
524
525
526
527
528
529
530
531
532
533
534
535
536
537
538
539
540
unless
~
financial disclosure statement in proper form has been filed.
If~
statement has been filed under subsection
fu1
then the statement required
hy this subsection need only cover the current year
!ill
to the date of filing
the certificate of candidacy or nomination.
.(£)
If at the end
of~
calendar year in which
~
candidacy is pending and no
election has occurred the candidate must file
~
financial disclosure
statement with the County Board of Elections covering the year just
ended. The statement must be filed on or before the last day to withdraw
~
candidacy. The County Board of Elections must notify each candidate
of this obligation to file the financial disclosure statement at least 20 days
before the last day to
withdraw~
candidacy. If the candidate does not file
~
timely
statement under this subparagraph, the candidacy is withdrawn
hy operation oflaw.
@
The County Board ofElections must not
accept~
certificate of candidacy
or certificate of nomination unless the candidate has filed
disclosure statement in proper form.
~
financial
W
ill
(A)
Any person, other
than~
candidate for elective office, who
is required to file under Section
19A-17,
must
file~
financial
disclosure statement in an electronic system set
!ill
to
receive and administer financial disclosure reports. The
filer must certify that each statement was made to the best
of the filer's knowledge and belief.
(ID
The Chief Administrative Officer must review each
statement for filers in the Executive Branch, and the Council
Administrator must review each statement for each filer in
the Legislative Branch, to see if
[~
fil]]
the answers are complete[[; and
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No. 39-14
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542
543
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545
546
547
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549
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551
552
553
554
555
556
557
558
559
560
561
562
563
564
565
566
567
(ii)
there are conflicts or potential conflict of interests
with the filer's official duties]].!
.(Q
[[EQr
each filer who is an incumbent under Section 19A-
17(a), the Chief Administrative Officer must review each
statement for the position of County Executive and the
Council Administrator must review each statement for each
member of the County
Council~
ill)]]
For departments and offices in the Executive Branch, the
Chief Administrative Officer may designate the head
of~
department or office to review
~
statement. For offices of
the Legislative Branch, the Council Administrator may
designate the head of an office to review
~
statement. A
director of
~
County department or office or the Chief
Administrative Officer or the Council Administrator, as
appropriate, may designate the deputy director of the
department or the chief
of~
division to review
~
statement.
Each designation must be reported to the Chief
Administrative Officer or the Council Administrator, as
appropriate, and to the Commission. The reviewer may
seek the advice of public employees familiar with the filer's
official responsibilities, including the filer's supervisor, in
evaluating the report under subparagraph®
ill
Each reviewer must certify within 30 days that the statement has
been completed [[and, on the basis of the information reported,
there is no known conflict of interest or potential conflict of interest
with the filer's official duties.
If~
reviewer cannot so certify or
has identified
~
conflict of interest or potential conflict of interest,
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No. 39-14
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569
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587
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592
593
594
the reviewer must immediately notify the Commission and the
Chief Administrative Officer for an employee of the Executive
Branch and the Council Administrator for an employee of the
legislative branch that the reviewer is unable to certify the
statement]]!.
,
ill
The Commission must make available each statement filed under this
Article for examination and copying during normal office hours. The
Commission may charge reasonable fees and adopt procedures to
examine
and~
statements.
.{g}
The Commission must make available the electronic form for filing
annual financial disclosure statements
.Qy
the first business day of each
calendar year.
.(h)
The Chief Administrative Officer must establish and maintain an
electronic system to facilitate filing of and public access to financial
disclosure statements required under this Article. Any electronic system
must report[L current to
within
one business !illyJ] an accurate list of each
public employee required to file
~
statement under Section 19A-l 7,
whether the employee is required to file under subsections 19A-l 7{a),
.021
or
~
and include the employee's position, necessary contact
information, the reviewer, and whether the report is an initial, annual, or
final report. This list [[must]] should be current and correspond to
personnel records and records of memberships in boards, committees and
commissions. Any electronic system must be able to generate reports
upon request of the Chief Administrative Officer, the Council
Administrator, or the Commission detailing who is required to file and
the current state of compliance
.Qy
public employees with financial
disclosure filing and review requirements under this Article. The County
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No. 39-14
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597
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603
604
Executive must annually, or more frequently as requested, provide the list
of employees designated to file financial disclosure reports to the
Council. The Commission must make all necessary accommodations for
any person who does not have access
to
the electronic system.
ill
ill
A person must not use any financial disclosure statement required under
this Chapter for commercial purposes.
The Commission must retain each financial disclosure statement filed
under this Article
for~
years. For each filer filing under subsection 19A-
17(a), the retention period must be at least§ years[L. after which each
record must be archived]].!
605
606
607
19A-19.
Content of financial disclosure statement.
[The financial disclosure statement required under Section 19A-17 must
disclose the following information about the filer for the previous year:]
[(a)
all economic interests in any real property, including leasehold interests
and interests in oil, gas, or mineral royalties or leases, if the property is
located in Montgomery County, Prince George's County, Howard
County, or Frederick County, Maryland; the District of Columbia; or
Fairfax County or Loudoun County, Virginia. The filer must specify:
(1)
the nature of each property, and its location by street address,
mailing address, or legal description;
(2)
the nature and extent of the interest held, and any applicable
conditions and encumbrances;
(3)
(4)
how, when, and from whom the interest was acquired;
the nature and amount of the consideration given in exchange for
the interest.
If
the interest was not acquired by purchase, the filer
must provide the fair market value of the interest when it was
acquired;
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No. 39-14
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623
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635
636
637
638
639
640
641
642
643
644
645
646
647
648
(5)
if an interest was transferred during the previous year:
(A)
(B)
(C)
the interest transferred;
the nature and amount of the consideration received; and
to whom the interest was transferred; and
(6)
[(b)
the name of any other person with an interest in the property;]
all economic interests in any business. In this subsection, business does
not include an agency or instrumentality of federal, state, County, or local
government. The filer must specify:
(I)
the name of the business.
If
the business is a corporation, the filer
must list the stock exchange (if any) on which the corporation's
securities are traded and the corporation's trading symbol.
If
securities of the business are not publicly traded, the filer must list
the address of the business' principal office;
(2)
the nature and value of the interest held, and any applicable
conditions and encumbrances. The filer must specify what
percentage of the business the filer owns, if the filer knows the
percentage; and
(3)
if an interest was acquired or transferred during the previous year,
the filer must describe the interest acquired or transferred, the
nature and amount of the consideration and, if known, the name of
the other person or business in the transaction;]
[(c)
each source of income from an economic interest that is not disclosed
elsewhere, from which the filer received or was entitled to receive $500
or more during the previous year. The filer must specify:
(1)
the name, and the address of the principal office or residence, of
the source;
(2)
the type of income; and .
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No. 39-14
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650
651
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658
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660
661
662
663
664
665
666
667
668
669
670
671
672
673
674
675
[(d)
(3)
the amotl!'-t of income by category:
(A)
(B)
$500 to $5,000; or
over $5,000.
(4) (A)
If
the source and the filer have a confidential
relationship~
the filer need not report the ,information required under
paragraph (1) unless the source:
(i)
is registered or must register as a lobbyist on a matter
that is or could be considered by the County agency
with which the filer is affiliated;
(ii)
does business with the County agency with which the
filer is affiliated;
(iii)
owns or operates a business that is regulated by the
County agency with which the filer is affiliated; or
(iv)
has an economic interest that is different from the
public interest, which the filer may substantially
affect in performing the filer's official duties.
(B)
The Commission must designate only one person to review
this information.
If
the reviewer finds a reasonable basis to
believe that a violation of this Chapter, or Sections 2-109,
1 lB-51 or 11B-52(a), has occurred, the entire Commission
may review the information.
(C)
Confidential relationship means a relationship between two
persons that creates a privilege against testifying under state
law;]
(1)
each gift given to the filer, to a member of the filer's immediate
family, or to any other person at the filer's direction, during the
previous year if the donor of the gift:
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No.
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691
692
693
694
695
696
697
698
699
700
701
702
(A)
is registered, or must register,
as
a lobbyist on a matter that
is or could be considered by the County agency with which
the filer is affiliated;
(B)
does business with the County agency with which the filer
is affiliated; or
(C)
owns or operates a business that is regulated by the County
agency with which the filer is affiliated.
(2)
The filer must specify:
(A)
(B)
the nature of each gift;
the value of each gift by category:
(i)
(ii)
$50 or under;
$51 to $100;
$101 to $500; or
over $500; and
(iii)
(iv)
(C)
the person who gave the gift or directed, either directly or
indirectly, that the gift be given.
(3)
The filer need not report the following gifts on any part of the
financial disclosure statement:
(A)
a gift to the filer with a value of less than $50, unless the
same person gave the filer, members of the filer's immediate
family, another person at the filer's direction, or any
combination of them, gifts totaling more than $100 during
the previous year;
(B)
a gift to a member of the filer's immediate family with a
value of less than $100, unless the same person gave the
filer, members of the filer's immediate family, another
person at the filer's direction, or any combination of them,
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No.
39-14
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704
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gifts totaling more than $100 during the previous year;
(C)
a gift received under Section 19A-16(d)(5), unless the gift
is admission to a cultural or sports event valued at $50 or
more;
(D)
a gift from a relative of the filer, or a gift to a relative by the
filer, unless:
(i)
the value of all gifts from the same relative exceeds
$100,and
(ii)
the relative:
(a)
is registered, or must register, as a lobbyist on
a matter that is or could be considered by the
County agency with which the filer is
affiliated;
(b)
does business with the County agency with
which the filer is affiliated; or
(c)
owns or operates a business that is regulated
by the County agency with which the filer is
affiliated; or
(E)
[(e)
712
713
714
715
716
717
718
719
720
721
722
723
724
725
726
727
728
729
a political contribution governed by state law;]
( 1)
all offices, including any directorship, trusteeship, or partnership,
held at any time during the previous year in any business that:
(A)
(B)
(C)
is doing business with or is regulated by a County agency;
has an office in the County; or
to the filer's knowledge, has an interest in real property
located in the County.
(2)
The filer must specify:
(A)
the name, and the address of the principal office, of each
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No.
39-14
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731
732
733
734
735
736
737
738
739
740
741
742
743
744
745
746
747
748
749
750
751
752
753
754
755
756
[(i)
[(h)
(5)
[(g)
(5)
(B)
business; and
the title and nature of each office;]
[(f)
all liabilities over $500 owed at any time during the previous year by the
filer, except a debt owed to a relative. The filer need not report any debt
less than $5000 owed on a consumer credit card account. The filer need
not report a debt over $5000 owed on a consumer credit card account
unless the debt is owed for more than 90 days. A consumer credit card
account is an open-ended credit card account used to obtain money,
property, or services for personal, family, or household purposes. The
filer must specify:
(1)
to whom the liability is owed;
the amount owed at the end of the year;
the terms of payment of the liability;
how much the principal amount of the liability increased or
decreased during the year; arid
any security given for the liability;]
(2)
(3)
(4)
all debts over $500 owed to the filer at any time during the previous year,
except a debt owed by a relative. The filer must specify:
(1)
(2)
(3)
(4)
the debtor;
the amount of the debt at the end of the year;
the terms of payment of the debt;
how much the principal amount of the debt increased or decreased
during the year; and
any security given for the debt;]
a list of all members of the filer's immediate family who are employed in
any capacity by a County agency; and]
any other interest or information that the filer wants to disclose to carry
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No. 39-14
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758
759
760
761
762
763
764
765
766
767
768
769
770
771
772
773
774
775
776
777
778
779
780
781
782
783
out the purposes of this Chapter.]
[G)
If the filer is required to file under paragraph 19A-17(a){l), the filer must
list the amount and issuer of each bond or other security owned during
the previous year that was issued by the County, any bi-county agency
with jurisdiction in the County, and any city .or town in the County.]
[(k)
If the filer is required to identify any person or business, the filer must
designate, if known, whether that person or business has done business
or expects to do business with, or is regulated by, a County agency.]
[(1)
In
this Section and Section 19A-20, interest means any interest held at
any time during the previous year.]
[(m) If a filer is required to report any amount or value, including the value of
any property, under this Section, except subsections (c) and (d), the filer
may specify the amount or value by category:
(1)
(2)
$1000 or less;
over $1000.]
ill}
Each financial disclosure statement filed under Section 19A-17(a) must
disclose the following:
ill
Interests
in
real property.
(A)
The statement must identify each interest in real property,
regardless of the property's location.
ill.)
For each interest in real property, the statement must
include:
ill
the nature of the property, and the location
.12y
street
address, mailing address, or legal description of the
property;
(ii)
the nature and extent of the interest held, including
any condition or encumbrance on the interest;
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No. 39-14
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795
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802
803
804
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809
810
(iii)
the date when, the manner in which, and the identity
of the person from whom the interest was acquired;
(iv)
the nature and amount of the consideration given in
exchange for the interest
~
if the interest was
acquired other than
Qy
purchase, the fair market value
of the interest when it was acquired;
(y)
if any interest was transferred, in whole or in part, at
any time during the reporting period, g description of
the interest transferred, the nature and amount of the
consideration received for the interest, and the
identity of each person to whom the interest was
transferred; and
(vi)
the identity of any other person with an interest in the
property.
ill
Interests in corporations. partnerships or other businesses.
(A)
The statement must list each interest in any corporation,
partnership, limited liability partnership, limited liability
corporation, sole proprietorship, or other business.
ill}
For each interest reported, the statement must specify:
ill
the name and, unless the interest is traded publicly on
g national exchange, the address of the principal
office of the corporation; partnership, limited liability
partnership,
limited
liability corporation,
sole
proprietorship, or other business;
(ii)
the nature and amount of the interest held, including
any condition or encumbrance on the interest;
(iii)
for any interest transferred, in whole or in part, at any
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No.
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833
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837
time during the reporting period,
~
description of the
interest transferred, the nature and amount of the
consideration received for the interest, and, if known,
the identity of the perso,n to whom the interest was
transferred; and
(iv)
for any interest acquired during the reporting period:
ill
the date when, the manner in which, and the
identity of the person from whom the interest
was acquired; and
ill
the nature and amount of the consideration
given in exchange for the interest
~
if the
interest was acquired other than
Qy
purchase,
the fair market value of the interest when it
was acquired.
.(Q
A filer may satisfy the requirement to report the amount of
the interest held under subparagraph (B)(ii)
Qy
reporting,
instead
of~
dollar amount:
ill
for an equity interest in
~
corporation, the number of
shares held and, unless the corporation's stock is
publicly traded, the percentage of equity interest
held; or
(ii)
for an equity interest in
~
partnership, the percentage
of equity interest held.
[[ill)
For purposes of subparagraph (B)(i), the filer need not
report the address of any publicly held company.]]
ill
The Commission may. by method 2 regulation. permit a filer to
satisfy the requirement to report the amount of consideration paid
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BILL
No.
39-14
838
839
840
841
842
843
844
845
846
847
848
849
850
851
852
853
854
855
856
857
858
859
860
861
862
863
864
or received for an interest in real property. a comoration.
partnership. or other business by identifying a categorv of values
established in the regulation.
ill
Gifts.
(A)
The statement must list each gift valued at more than $20 or
any series of gifts totaling $100 or more received during the
reporting period from or on behalf
Qf,_
directly or indirectly,
[[any one person who does business with the County]]
restricted donor.
~
all
For each gift listed, the statement must specify:
ill
(ii)
[[(1)]]
ill
the nature and value of the gift; and
the identity of the person from whom, or on behalf of
whom, directly or indirectly, the
gift
was received.
Employment with, or interests
f!1.
entities doing business
with the County.
(A)
The statement must identify each office, directorship, and
salaried employment
:!2y
the filer or member of the filer's
immediate family held at any time during the reporting
period with any ·entity doing business with the County.
all
For each position listed under this Section, the statement
must include:
ill
(ii)
the name and address of the principal office of the
business entity;
the title and nature of the office, directorship, or
salaried employment held, and the date it started; and
(iii)
the name of each County agency with which the
entity is involved, indicated
:!2y
identifying one or
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BILL
No.
39-14
865
866
867
868
869
870
871
more of the three categories of "doing business", as
defined in Section 19A-4(e).
[[ill]]
(fil
(A)
Indebtedness to entities doing business with the County.
The statement must identify each liability, other
than~
retail
credit account
to any person doing business with the
County owed at any time during the reporting period by:
ill
(ii)
the filer; or
~
872
873
874
875
876
877
878
879
880
881
882
883
884
885
member of the filer's immediate family if the filer
was involved in the transaction giving rise to the
liability.
ill)
For each liability reported under this paragraph, the
statement must specify:
ill
(ii)
the identity of the person to whom the liability was
owed, and the date the liability was incurred;
the amount of the
reporting period;
liabi~ity
owed at the end of the
(iii)
the terms of payment of the liability, and the extent to
which the principal amount of the liability was
increased or reduced during the year; and
(iv)
[[(fil]]
ill
the security, if any, given for the liability.
Employment with the County.
The statement must identify
886
887
888
889
890
891
each immediate family member of the filer employed
Qy
the
County in any capacity at any time during the reporting period.
[[(1)]]
(fil
(A)
Sources Qfearned income.
The statement must list the name and address of each
employer of the filer, other than the County Government, or
a member of the filer's immediate family. and each business
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BILL
No. 39-14
892
893
894
895
896
897
898
899
900
901
902
903
904
905
906
907
908
909
910
911
entity of which the filer
or~
member of the filer's immediate
family was
~
sole or partial owner and from which the filer
or member of the filer's immediate family received earned
income at any time during the reporting period. [[The
statement must include the source of each fee for services
provided
Qy
the filer during the reporting period. However,
~
filer
need not include any information with respect to any
person for whom services were provided
.Qy
any
firm
or
association of which the filer was
~
member, partner, or
employee unless the filer was directly involved in providing
those services]].:.
Qll
The filer need not
disclose~
minor child's employment or
business ownership if the agency [[that employs]] with
which the filer is affiliated does not regulate, exercise
authority over, or contract with the place of employment or
business entity of the minor child.
.(g
If~
source of earned income and the filer
have~
confidential
relationship which creates
~
privilege against testifying
under state law, the filer need not report the identity of the
source unless the source:
(i)
is registered or must regi"ster
as~
lobbyist
on~
matter
that is or could be considered
Qy
the County agency
with which the filer is affiliated;
(ii)
does business with the County agency with which the
filer is affiliated;
(iii)
912
913
914
915
916
917 .
918
owns or
operates~
business that is regulated
Qy
the
County agency with which the filer is affiliated; or
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BILL
No. 39-14
919
920
921
922
923
924
925
926
927
928
929
930
931
932
933
934
935
936
937
93 8
939
940
941
942
943
944
945
(iv)
has an economic interest that is different from the
public interest, which the filer may substantially
affect in performing the filer's official duties,
in which case the identity of the source must be disclosed
confidentially to the Commission
in~
manner prescribed
Qy
the Commission.
[[(fill]
(2l
The statement may also include any additional interest or
information that the filer wishes to disclose.
.{hl
For the purposes of subsections
.cruill
and (a)(2), the following interests
must be treated as the interests of the filer of the statement:
ill
ill
an interest held
Qy
~
member of the filer's immediate family;
an interest held by a relative of the filer. if the filer, at any time
during the reporting period, directly or indirectly controlled the
interest;
ill
an interest held
Qy:
~
business entity
iii
which the filer held
~
30%
or greater interest at any time during the reporting period; or
[[Q)]]
ill
an interest held
Qy
~
trust or estate in which, at any time
during-the reporting period:
(A)
the filer
held~
reversionary interest or
was~
beneficiary; or
if~
revocable
ill)
.(£}
trust, the filer was
~
settlor.
Each statement filed under [[Section]] Sections 19A-17(b) and 19A-17(c)
must disclose all information required to be disclosed under subsection
,W1
However, the filer need not specify the nature or amount of
consideration given in exchange for an interest or the fair market value of
an interest. For
~
debt, the filer need only disclose the information
required under subsection.@)
[[ill]]
C6)(A) ..
[[@
Each statement filed under Section 19A-17(c) must disclose the
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BILL No. 39-14
946
947
948
949
950
951
952
953
954
955
956
957
958
959
960
961
962
963
964
965
966
967
968
969
970
971
972
(
d)
(
c)
information required in subsection (a)(3) with respect to gifts and must
disclose the information otherwise required in subsection
fu)
only with
respect to any interest, compensated position, or liability that may create
~conflict
under Section
19A-11 or is prohibited under Section 19A-12.]]
[19A-20.
Interests attributable to filers.]
[Under section 19A-19, the following must be reported as an economic interest
of the filer:
(a)
(b)
any economic interest held by a member of the filer's immediate family;
any economic interest held by a relative of the filer, if:
(1)
the interest was controlled by the filer, directly or indirectly, at any
time during the previous year; and
(2)
the interest could be affected by an action or a failure to act by the
filer in the performance of official duties;
any economic interest in real property held by a business in which the
filer owns an interest, ifthe property is located in Montgomery County,
Prince George's County, Howard County, or Frederick County,
Maryland; the District of Columbia; or Fairfax County or Loudoun
County, Virginia; and if the filer's prorated interest in the real property
has a market value of more than $1,000. Ift;he securities of the business
are publicly traded, the filer need not report the interest in the real
property; and
any economic interest held by a trust, except a common trust fund, if the
filer:
(1)
(2)
(3)
holds an income interest of more than $1,000;
holds a reversionary interest of more than $1,000; or
is a trustor or beneficiary of a revocable trust.]
19A-20.
[[Certifications regarding conflicts of interest]] Reserved.
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BILL
No. 39-14
973
974
975
976
977
978
979
980
981
982
983
984
985
986
987
988
989
990
991
992
[[.(!)
In addition to any other requirement of this Article, each person who files
~financial
disclosure statement under Section 19A-17 must certify that,
to the best of the filer's knowledge, neither the filer nor the filer's
immediate family or relatives have any interest, including any liability,
thatmaycreate~conflictofinterestunderSection
~
19A-11or19A-12.
If
filer is unable to so certify, the filer must separately identify, in the
~
manner required
12y
the Commission, any interest that may create
conflict of interest under Section 19A-11 or 19A-12.
@
The annual certification filed under subsection
~
must be filed
12y
April
15 of each year with the filer's financial disclosure statement.
(£)
If
the economic interests
of~
filer, including those of an immediate family
member or relative, have changed since the filer's last filed certification
such that
~
conflict of interest may be created under Section 19A-11 or
19A-12, or if the filer or an immediate .family member received
~
reportable gift from any person doing business with the filer's County
agency or department, the filer must, within 5 days after the event or when
the filer knew or should have known about the change, amend the ,
certification filed under subsection
.{fil
and identify each possible conflict
or gift.]]
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BILL NO. 39-14
993
994
995
George Leventhal, President, County Council
Approved:
996
997
Approved:
Isiah Leggett, County Executive
Date
998
999
This is a correct copy ofCouncil action.
Linda M. Lauer, Clerk of the Council
Date
- 39-