[HISTORY: Adopted by the Board of County Commissioners of
Worcester County 9-20-2011 by Bill No. 11-4[1]; 4-17-2018 by Bill
No. 18-3. Amendments noted where applicable.]
[1]
Editor’s Note: This bill also repealed former Title
CG5, Ethics, adopted 3-9-1982 by Bill No. 82-1, as amended.
[1]
Editor’s Note: The provisions of this Subtitle have
been reviewed by the State Ethics Commission and approved as at least
equivalent to the State Ethics Law. A letter from Jennifer K. Allgair,
General Counsel of the State Ethics Commission, dated September 20,
2011, and addressed to John E. Bloxom, County Attorney, states such
approval. A copy thereof is included as Appendix O of this Code.
This Subtitle may be cited as the Worcester County Public Ethics
Law.
The provisions of this Subtitle apply to all Worcester County
elected officials, employees, and appointees to boards and commissions
of Worcester County.
(a)
Appointment. There is a Worcester County Ethics
Board that consists of seven members appointed by the County Commissioners.
(b)
Duties. The Ethics Board shall:
(1)
Devise, receive, and maintain all forms required by this Subtitle;
(2)
Develop procedures and policies for advisory opinion requests
and provide published advisory opinions to persons subject to this
Subtitle regarding the applicability of the provisions of this Subtitle
to them;
(3)
Develop procedures and policies for the processing of complaints
to make appropriate determinations regarding complaints filed by any
person alleging violations of this Subtitle; and
(4)
Conduct a public information program regarding the purposes
and application of this Subtitle.
(c)
Other duties and responsibilities. The Ethics
Board shall have other duties and responsibilities as follows:
(1)
The Ethics Board shall certify to the State Ethics Commission
on or before October 1 of each year that the County is in compliance
with the requirements of State Government Article, Title 15, Subtitle
8, Annotated Code of Maryland, as from time to time amended, for elected
local officials.
(2)
The Ethics Board shall determine if changes to this Subtitle
are required to be in compliance with the requirements of State Government
Article, Title 15, Subtitle 8, Annotated Code of Maryland, as from
time to time amended, and shall forward any recommended changes and
amendments to the Worcester County Commissioners for enactment.
(3)
The Ethics Board may adopt other policies and procedures to
assist in the implementation of the Ethics Board's programs established
in this Subtitle.
(d)
Staff support. The Worcester County Attorney
shall advise the Ethics Board.
(a)
Qualified relative. In this section, "qualified
relative" means a spouse, parent, child, or sibling.
(b)
Applicability. All Worcester County elected
officials, officials appointed to Worcester County boards and commissions
subject to this Subtitle, and employees are subject to this section.
(c)
Participation prohibitions. Except as permitted
by Ethics Board regulation or opinion, an official or employee may
not participate in:
(1)
Except in the exercise of an administrative or ministerial duty
that does not affect the disposition or decision of the matter, any
matter in which, to the knowledge of the official or employee, the
official or employee, or a qualified relative of the official or employee
has an interest.
(2)
Except in the exercise of an administrative or ministerial duty
that does not affect the disposition or decision with respect to the
matter, any matter in which any of the following is a party:
A.
A business entity in which the official or employee has a direct
financial interest of which the official or employee may reasonably
be expected to know;
B.
A business entity for which the official, employee, or a qualified
relative of the official or employee is an officer, director, trustee,
partner, or employee;
C.
A business entity with which the official or employee or, to
the knowledge of the official or employee, a qualified relative is
negotiating employment or has any arrangement concerning prospective
employment.
D.
If the contract reasonably could be expected to result in a
conflict between the private interests of the official or employee
and the official duties of the official or employee, a business entity
that is a party to an existing contract with the official or employee,
or which, to the knowledge of the official or employee, is a party
to a contract with a qualified relative;
E.
An entity, doing business with Worcester County, in which a
direct financial interest is owned by another entity in which the
official or employee has a direct financial interest, if the official
or employee may be reasonably expected to know of both direct financial
interests; or
F.
A business entity that:
1.
The official or employee knows is a creditor or obligee of the
official or employee or a qualified relative of the official or employee
with respect to a thing of economic value; and
2.
As a creditor or obligee, is in a position to directly and substantially
affect the interest of the official or employee or a qualified relative
of the official or employee.
(3)
A person who is disqualified from participating under Paragraphs
(1) or (2) of this subsection shall disclose the nature and circumstances
of the conflict and may participate or act if:
(4)
This subsection does not apply to an individual who is a public
official only as a member of a board and who receives annual compensation
that is less than 25% of the lowest annual compensation at County
Grade level 19. A former regulated lobbyist who is or becomes subject
to regulation under this title as a public official or employee may
not participate in a case, contract, or other specific matter as a
public official or employee for one calendar year after the termination
of the registration of the former regulated lobbyist if the former
regulated lobbyist previously assisted or represented another party
for compensation in the matter.
(5)
The prohibitions of Paragraphs (1) and (2) of this subsection
do not apply if participation is allowed by regulation or opinion
of the Ethics Board.
(d)
Employment and financial interest restrictions.
(1)
Except as permitted by regulation of the Ethics Board when the
interest is disclosed or when the employment does not create a conflict
of interest or appearance of conflict, an official or employee may
not:
A.
Be employed by or have a financial interest in any entity:
1.
Subject to the authority of the official or employee or the
Worcester County agency, board, commission with which the official
or employee is affiliated; or
2.
That is negotiating or has entered into a contract with the
agency, board, or commission with which the official or employee is
affiliated; or
B.
Hold any other employment relationship that would impair the
impartiality or independence of judgment of the official or employee.
(2)
This prohibition does not apply to:
A.
An official or employee who is appointed to a regulatory or
licensing authority pursuant to a statutory requirement that persons
subject to the jurisdiction of the authority be represented in appointments
to the authority;
B.
Subject to other provisions of law, a member of a board or commission
in regard to a financial interest or employment held at the time of
appointment, provided the financial interest or employment is publicly
disclosed to the appointing authority and the Ethics Board;
C.
An official or employee whose duties are ministerial, if the
private employment or financial interest does not create a conflict
of interest or the appearance of a conflict of interest, as permitted
by and in accordance with regulations adopted by the Ethics Board;
or
D.
Employment or financial interests allowed by regulation of the
Ethics Board if the employment does not create a conflict of interest
or the appearance of a conflict of interest or the financial interest
is disclosed.
(e)
Post-employment limitations and restrictions.
(1)
A former official or employee may not assist or represent any
party other than Worcester County for compensation in a case, contract,
or other specific matter involving Worcester County if that matter
is one in which the former official or employee significantly participated
as an official or employee.
(2)
Until the conclusion of the next regular session that begins
after the elected official leaves office, a former member of the Worcester
County Commissioners may not assist or represent another party for
compensation in a matter that is the subject of legislative action.
(f)
Contingent compensation. Except in a judicial
or quasi-judicial proceeding, an official or employee may not assist
or represent a party for contingent compensation in any matter before
or involving Worcester County.
(g)
Use of prestige of office.
(1)
An official or employee may not intentionally use the prestige
of office or public position:
A.
For the private gain of that official or employee or the private
gain of another.
B.
To influence, except as part of the official duties of the official
or employee or as a usual and customary constituent service without
additional compensation, the award of a County contract to a specific
person.
(2)
An official may not directly or indirectly initiate a solicitation
for a person to retain the compensated services of a particular regulated
lobbyist or lobbying firm.
(3)
A public official or employee may not use public resources or
the title of the public official or employee to solicit a political
contribution that is regulated in accordance with the State Election
Law article.
(4)
In this paragraph, "legislative action" does not include testimony
or other advocacy in an official capacity as a member of the County
Commissioners before a unit of State or local government.
A.
A former member of the County Commissioners may not assist or
represent another party for compensation in a matter that is the subject
of legislative action for one calendar year from the date the Commissioner
leaves office.
(5)
This subsection does not prohibit the performance of usual and
customary constituent services by an elected local official without
additional compensation.
(h)
Solicitation and acceptance of gifts.
(1)
An official or employee may not solicit any gift.
(2)
An official or employee may not directly solicit or facilitate
the solicitation of a gift, on behalf of another person, from an individual
regulated lobbyist.
(3)
An official or employee may not knowingly accept a gift, directly
or indirectly, from a person that the official or employee knows or
has the reason to know:
A.
Is doing business with or seeking to do business with the Worcester
County office, agency, board, or commission with which the official
or employee is affiliated;
B.
Has financial interests that may be substantially and materially
affected, in a manner distinguishable from the public generally, by
the performance or nonperformance of the official duties of the official
or employee;
C.
Is engaged in an activity regulated or controlled by the official's
or employee's governmental unit; or
D.
Is a lobbyist with respect to matters within the jurisdiction
of the official or employee.
(4)
Paragraph (5) of this subsection does not apply to a gift:
A.
That would tend to impair the impartiality and the independence
of judgment of the official or employee receiving the gift;
B.
Of significant value that would give the appearance of impairing
the impartiality and independence of judgment of the official or employee;
or
C.
Of significant value that the recipient official or employee
believes or has reason to believe is designed to impair the impartiality
and independence of judgment of the official or employee.
(5)
Notwithstanding Paragraph (3) of this subsection, an official
or employee may accept the following:
A.
Meals and beverages consumed in the presence of the donor or
sponsoring entity;
B.
Ceremonial gifts or awards that have insignificant monetary
value;
C.
Unsolicited gifts of nominal value that do not exceed $20 in
cost or trivial items of informational value;
D.
Reasonable expenses for food, travel, lodging, and scheduled
entertainment of the official or the employee at a meeting which is
given in return for the participation of the official or employee
in a panel or speaking engagement at the meeting;
E.
Gifts of tickets or free admission extended to an elected local
official to attend a charitable, cultural, or political event, if
the purpose of this gift or admission is a courtesy or ceremony extended
to the elected official's office;
F.
A specific gift or class of gifts that the Ethics Board exempts
from the operation of this subsection upon a finding, in writing,
that acceptance of the gift or class of gifts would not be detrimental
to the impartial conduct of the business of Worcester County and that
the gift is purely personal and private in nature;
G.
Gifts from a person related to the official or employee by blood
or marriage, or any other individual who is a member of the household
of the official or employee; or
H.
Honoraria for speaking to or participating in a meeting, provided
that the offering of the honorarium is not related in any way to the
official's or employee's official position.
(i)
Disclosure of confidential information. Other
than in the discharge of official duties, an official or employee
may not disclose or use confidential information, that the official
or employee acquired by reason of the official's or employee's
public position and that is not available to the public, for the economic
benefit of the official or employee or that of another person.
(j)
Participation in procurement.
(1)
An individual or a person that employs an individual who assists
a Worcester County agency in the drafting of specifications, an invitation
for bids, or a request for proposals for a procurement may not submit
a bid or proposal for that procurement or assist or represent another
person, directly or indirectly, who is submitting a bid or proposal
for the procurement.
(2)
The Ethics Board may establish exemptions from the requirements
of this section for providing descriptive literature, sole source
procurements, and written comments solicited by the procuring agency.
(a)
Financial disclosure statements.
(1)
This section applies to all local elected officials and candidates
to be local elected officials.
(2)
Except as provided in Subsection (b) of this section, a local
elected official or a candidate to be a local elected official shall
file the financial disclosure statement required under this section:
(3)
Deadlines for filing statements.
A.
An incumbent local elected official shall file a financial disclosure
statement annually no later than April 30 of each year for the preceding
calendar year.
B.
An individual who is appointed to fill a vacancy in an office
for which a financial disclosure statement is required and who has
not already filed a financial disclosure statement shall file a statement
for the preceding calendar year within 30 days after appointment.
C.
An individual who, other than by reason of death, leaves an
office for which a statement is required shall file a statement within
60 days after leaving the office.
(b)
Candidates to be local elected officials.
(1)
Except for an official who has filed a financial disclosure
statement under another provision of this section for the reporting
period, a candidate to be an elected local official shall file under
a financial disclosure statement each year beginning with the year
in which the certificate of candidacy is filed through the year of
the election.
(2)
A candidate to be an elected local official shall file a statement
required under this section:
A.
In the year the certificate of candidacy is filed, no later
than the filing of the certificate of candidacy;
B.
In the year of the election, on or before the earlier of April
30 or the last day for the withdrawal of candidacy; and
C.
In all other years for which a statement is required, on or
before April 30.
(3)
A candidate to be an elected official:
A.
May file the statement required under § CG 5-105(b)(2)A
hereof with the Worcester County Board of Election Supervisors with
the certificate of candidacy or with the Ethics Board prior to filing
the certificate of candidacy; and
B.
Shall file the statements required under § CG 5-105(b)(2)B
and C hereof with the Ethics Board.
(4)
If a candidate fails to file a statement required by this section
after written notice is provided by the Ethics Board or Board of Election
Supervisors at least 20 days before the last day for the withdrawal
of candidacy, the candidate is deemed to have withdrawn the candidacy.
(5)
The Ethics Board or Board of Election Supervisors may not accept
any certificate of candidacy unless a statement has been filed in
proper form.
(6)
Within 30 days of the receipt of a statement required under
this section, the Board of Election Supervisors shall forward the
statement to the Ethics Board or the office designated by the Ethics
Board.
(c)
Public record.
(1)
The Ethics Board or office designated by the Ethics Board shall
maintain all financial disclosure statements filed under this section.
(2)
Financial disclosure statements shall be made available during
normal office hours for examination and copying by the public subject
to reasonable fees and administrative procedures established by the
Ethics Board.
(3)
If an individual examines or copies a financial disclosure statement,
the Ethics Board or the office designated by the Ethics Board shall
record:
(4)
Upon request by the official or employee whose financial disclosure
statement was examined or copied, the Ethics Board or the office designated
by the Ethics Board shall provide the official with a copy of the
name and home address of the person who reviewed the official's
financial disclosure statement.
(5)
For statements submitted on or after January 1, 2019, the Ethics
Board may not provide public access to a portion of a statement that
includes an individual's home address that the individual has
identified as the individual's home address.
(d)
Retention requirements. The Ethics Board or
the office designated by the Ethics Board shall retain financial disclosure
statements for four years from the date of receipt.
(e)
Contents of statement.
(1)
Interests in real property.
A.
A statement filed under this section shall include a schedule
of all interests in real property wherever located.
B.
For each interest in real property, the schedule shall include:
1.
The nature of the property and the location by street address,
mailing address, or legal description of the property;
2.
The nature and extent of the interest held, including any conditions
and encumbrances on the interest;
3.
The date when, the manner in which, and the identity of the
person from whom the interest was acquired;
4.
The nature and amount of the consideration given in exchange
for the interest or, if acquired other than by purchase, the fair
market value of the interest at the time acquired;
5.
If any interest was transferred, in whole or in part, at any
time during the reporting period, a description of the interest transferred,
the nature and amount of the consideration received for the interest,
and the identity of the person to whom the interest was transferred;
and
6.
The identity of any other person with an interest in the property.
(2)
Interests in corporations and partnerships.
A.
A statement filed under this section shall include a schedule
of all interests in any corporation, partnership, limited liability
partnership, or limited liability corporation, regardless of whether
the corporation or partnership does business with Worcester County.
B.
For each interest reported under this paragraph, the schedule
shall include:
1.
The name and address of the principal office of the corporation,
partnership, limited liability partnership, or limited liability corporation;
2.
The nature and amount of the interest held, including any conditions
and encumbrances on the interest;
3.
With respect to any interest transferred, in whole or in part,
at any time during the reporting period, a description of the interest
transferred, the nature and amount of the consideration received for
the interest, and, if known, the identity of the person to whom the
interest was transferred; and
4.
With respect to any interest acquired during the reporting period:
C.
An individual may satisfy the requirement to report the amount
of the interest held under Item B2 of this paragraph by reporting,
instead of a dollar amount:
(3)
Interests in business entities doing business with Worcester
County.
A.
A statement filed under this section shall include a schedule
of all interests in any business entity that does business with Worcester
County, other than interests reported under Paragraph (2) of this
subsection.
B.
For each interest reported under this paragraph, the schedule
shall include:
1.
The name and address of the principal office of the business
entity;
2.
The nature and amount of the interest held, including any conditions
to and encumbrances in the interest;
3.
With respect to any interest transferred, in whole or in part,
at any time during the reporting period, a description of the interest
transferred, the nature and amount of the consideration received in
exchange for the interest, and, if known, the identity of the person
to whom the interest was transferred; and
4.
With respect to any interest acquired during the reporting period:
(4)
Gifts.
A.
A statement filed under this section shall include a schedule
of each gift in excess of $20 in value or a series of gifts totaling
$100 or more received during the reporting period from or on behalf
of, directly or indirectly, any one person who does business with
or is regulated by Worcester County.
(5)
Employment with or interests in entities doing business with
Worcester County.
A.
A statement filed under this section shall include a schedule
of all offices, directorships, and salaried employment by the individual
or member of the immediate family of the individual held at any time
during the reporting period with entities doing business with Worcester
County.
B.
For each position reported under this paragraph, the schedule
shall include:
(6)
Indebtedness to entities doing business with Worcester County.
A.
A statement filed under this section shall include a schedule
of all liabilities, excluding retail credit accounts, to persons doing
business with Worcester County owed at any time during the reporting
period:
B.
For each liability reported under this paragraph, the schedule
shall include:
1.
The identity of the person to whom the liability was owed and
the date the liability was incurred;
2.
The amount of the liability owed as of the end of the reporting
period;
3.
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
4.
The security given, if any, for the liability.
(7)
A statement filed under this section shall include a schedule
of the immediate family members of the individual employed by Worcester
County in any capacity at any time during the reporting period.
(8)
Sources of earned income.
A.
A statement filed under this section shall include a schedule
of the name and address of each place of employment and of each business
entity of which the individual or a member of the individual's
immediate family was a sole or partial owner and from which the individual
or member of the individual's immediate family received earned
income, at any time during the reporting period.
B.
A minor child's employment or business ownership need not
be disclosed if the agency that employs the individual does not regulate,
exercise authority over, or contract with the place of employment
or business entity of the minor child.
C.
For a statement filed on or after January 1, 2019, if the individual's
spouse is a regulated lobbyist, the individual must disclose the entity
that has engaged the spouse for lobbying purposes.
(9)
A statement filed under this section may also include a schedule
of additional interests or information that the individual making
the statement wishes to disclose.
(f)
Interests. For the purposes of § CG
5-105(e)(1), (2), and (3) hereof, the following interests are considered
to be the interests of the individual making the statement:
(1)
An interest held by a member of the individual's immediate
family, if the interest was, at any time during the reporting period,
directly or indirectly controlled by the individual.
(2)
An interest held by a business entity in which the individual
held a thirty-percent or greater interest at any time during the reporting
period.
(g)
Ethics Board review.
(1)
The Ethics Board shall review the financial disclosure statements
submitted under this section for compliance with the provisions of
this section and shall notify an individual submitting the statement
of any omissions or deficiencies.
(2)
The Worcester County Ethics Board may take appropriate enforcement
action to ensure compliance with this section.
(a)
Applicability. This section only applies to
the following appointed officials and employees: Chief Administrative
Officer, Assistant Chief Administrative Officer, County Attorney,
all Department Heads, all Deputy Department Heads, all non-classified
employees that serve in a supervisory capacity, all members of the
Planning Commission, Board of Zoning Appeals, Shoreline Commission,
Board of Electrical Examiners and any other board, commission or agency
or employee that the County Commissioners may designate by future
resolution.
(b)
Filing requirements. A statement filed under
this section shall be filed with the Ethics Board under oath or affirmation.
(c)
Deadline for filing. On or before April 30
of each year during which an official or employee holds office, an
official or employee shall file a statement disclosing gifts received
during the preceding calendar year from any person that contracts
with or is regulated by Worcester County, including the name of the
donor of the gift and the approximate retail value at the time of
receipt.
(d)
Disclosure of conflicts of interest. An official
or employee shall disclose employment and interests that raise conflicts
of interest or potential conflicts of interest in connection with
a specific proposed action by the employee or official sufficiently
in advance of the action to provide adequate disclosure to the public.
(e)
Maintenance of records. The Ethics Board shall
maintain all disclosure statements filed under this section as public
records available for public inspection and copying as provided in
§ CG 5-105(c) and (d) (Financial disclosure: local elected
officials and candidates to be local elected officials) of this Subtitle,
as from time to time amended.
(a)
Applicability. A person shall file a lobbying
registration statement with the Ethics Board if the person:
(1)
Personally appears before a Worcester County official or employee
with the intent to influence that person in performance of the official
duties of the official or employee; and
(2)
In connection with the intent to influence, expends or reasonably
expects to expend in a given calendar year in excess of three hundred
fifty dollars on food, entertainment, or other gifts for officials
or employees of Worcester County.
(b)
Deadline for filing. A person shall file a
registration statement required under this section on or before the
later of January 15 of the calendar year or within five days after
first performing an act that requires registration in the calendar
year.
(c)
(d)
Annual report. Within thirty days after the
end of any calendar year during which a person was registered under
this section, the person shall file a report with the Ethics Board
disclosing:
(e)
Maintenance of records. The Ethics Board shall
maintain the registrations and reports filed under this section as
public records available for public inspection and copying for four
years after receipt by the Ethics Board.
(a)
Exemptions and modifications. The Ethics Board
may grant exemptions and modifications to the provisions of §§ CG
5-104 (Conflicts of interest) and CG 5-106 (Financial disclosure:
employees and appointed officials) of this Subtitle, as from time
to time amended, to employees and to appointed members of Worcester
County Boards and Commissions, when the Ethics Board finds that an
exemption or modification would not be contrary to the purposes of
this Subtitle, and the application of this Subtitle would:
(a)
Late fees; cease and desist orders. The Ethics
Board may:
(1)
Assess a late fee of two dollars per day up to a maximum of
two hundred fifty dollars for a failure to timely file a financial
disclosure statement required under § CG 5-105 (Financial
disclosure: local elected officials and candidates to be local elected
officials) or CG 5-106 (Financial disclosure: employees and appointed
officials) of this Subtitle, as from time to time amended;
(2)
Assess a late fee of ten dollars per day up to a maximum of
two hundred fifty dollars for a failure to file a timely lobbyist
registration or lobbyist report required under § CG 5-107
(Lobbying) of this Subtitle, as from time to time amended; and
(3)
Issue a cease and desist order against any person found to be
in violation of this Subtitle.
(b)
Actions on violations.
(1)
Upon a finding of a violation of any provision of this Subtitle,
the Ethics Board may:
(2)
If the Ethics Board finds that a respondent has violated § CG
5-107 (Lobbying) of this Subtitle, as from time to time amended, the
Ethics Board may:
A.
Require a respondent who is a registered lobbyist to file any
additional reports or information that reasonably related to the information
that is required under § CG 5-107 (Lobbying) of this Subtitle,
as from time to time amended;
B.
Impose a fine not exceeding five thousand dollars for each violation;
and
C.
Suspend the registration of an individual registered lobbyist
if the Ethics Board finds that the lobbyist has knowingly and willfully
violated § CG 5-107 (Lobbying) of this Subtitle, as from
time to time amended, or has been convicted of a criminal offense
arising from lobbying activities.
(c)
Judicial actions.
(1)
Upon request by the Ethics Board, the Worcester County Attorney
may file a petition for injunctive or other relief in the Circuit
Court of Worcester County, or in any other court having proper venue
for the purpose of requiring compliance with the provisions of this
Subtitle.
(2)
Actions by the court.
A.
The court may:
1.
Issue an order to cease and desist from the violation;
2.
Except as provided in Subparagraph B of this paragraph, void
an official action taken by an official or employee with a conflict
of interest prohibited by this Subtitle when the action arises from
or concerns the subject matter of the conflict and if the legal action
is brought within 90 days of the occurrence of the official action,
if the court deems voiding the action to be in the best interest of
the public; or
3.
Impose a fine of up to five thousand dollars for any violation
of the provisions of this Subtitle, with each day upon which the violation
occurs constituting a separate offense.
B.
A court may not void any official action appropriating public
funds, levying taxes, or providing for the issuance of bonds, notes,
or other evidences of public obligations.
(d)
Other enforcement actions. In addition to
any other enforcement provisions in this Subtitle, a person who the
Ethics Board or a court finds has violated this Subtitle:
(e)
Disciplinary action. A Worcester County official
or employee found to have violated this Subtitle is subject to disciplinary
or other appropriate personnel action, including removal from office,
disciplinary action, suspension of salary, or other sanction.
(f)
Lobbying violations. Violation of § CG
5-107 (Lobbying) of this Subtitle, as from time to time amended, shall
be a misdemeanor subject to a fine of up to ten thousand dollars and/or
imprisonment of up to one year.
(g)
Public information. A finding of a violation
of this Subtitle by the Ethics Board is public information.