The purpose of these regulations is to set forth the procedures under which the State Ethics Commission will implement the Maryland Public Ethics Law (General Provisions Article, Title 5, Annotated Code of Maryland) as to persons and entities within its jurisdiction pursuant to General Provisions Article, §5-104, Annotated Code of Maryland. The regulations apply to officials and employees of State government as set forth below: Officials and employees of the Executive Branch, including those employed with or appointed to local units of State agencies, or others specifically designated to be covered by the Public Ethics Law; Constitutional officers and officers-elect in the executive units; Persons holding office as State's Attorney, Clerk of the Circuit Court for each county, Register of Wills, and Sheriff; As to the General Assembly: Employees of the General Assembly; and Members and members-elect of the General Assembly, as to matters regarding financial disclosure required by General Provisions Article, Title 5, Subtitle 6, Annotated Code of Maryland; As to the Judiciary: Employees of the Judicial Branch; and Members of the Judiciary, but only to the extent that the Commission has responsibilities as custodian of financial disclosure statements submitted by members of the Judiciary pursuant to General Provisions Article, Title 5, Subtitle 6, Annotated Code of Maryland; and Any other officials or employees specifically identified by statute as being covered by the provisions of the Public Ethics Law. The regulations apply to candidates for office as State officials. The regulations apply to persons subject to the lobbying disclosure provisions of General Provisions Article, Title 5, Subtitle 7, Annotated Code of Maryland. The regulations apply to county and municipal governments and to local school systems, to the extent that they deal with model provisions, review of local and school system laws and regulations, requests for exemption pursuant to General Provisions Article, §5-209, Annotated Code of Maryland, and General Provisions Article, Title 5, Subtitle 8, and provision of Commission advice regarding these matters. They do not directly affect officials and employees solely of local jurisdictions or school systems who are properly included within local and school systems ethics provisions. In this title, the following terms have the meanings indicated: “Board” or “commission” means a board, commission, council, or any other executive unit, however denominated, comprised of two or more appointed members, all of whom serve on the board or commission on a part-time basis. “Business” or “business entity” means any corporation, general or limited partnership, sole proprietorship (including a private consulting operation), joint venture, unincorporated association or firm, institution, trust, foundation or other organization, whether or not operated for profit. “Commission” means the State Ethics Commission. “Compensation” means any money or thing of value regardless of form received or to be received by any individual subject to this title from an employer for service rendered. For purposes of General Provisions Article, Title 5, Subtitle 7, Annotated Code of Maryland, if lobbying is only a portion of a person's employment, compensation means a prorated amount based on the time devoted to lobbying compared to the time devoted to other employment duties. For reporting purposes, a prorated amount shall be labeled as such. “Designated second home” means: If an individual owns one second home, the individual’s second home; or If an individual owns more than one second home, any one second home the individual identifies to the Commission as the individual’s designated second home. “Doing business with the State” means being: A party to any one or any combination of sales, purchases, leases, or contracts to, from, or with the State, or any agency of the State, involving consideration of $5,000 or more on a cumulative basis during the calendar year for which a required statement is to be filed (as of the awarding or execution of a contract or lease, the total then ascertainable consideration thereby committed to be paid, regardless of the period of time over which the payments are to be made, shall be included); or A registrant; or Regulated by the executive unit of the official or employee. “Employee” or “State employee” means any person, other than a State or public official, employed by an executive unit or the legislative branch or in the judicial branch of State government. “Employer” means any person paying or agreeing to pay compensation to another person for services rendered. “Executive action” means any act taken by a State or public official or employee of the executive branch, for which the executive branch is responsible. Executive Unit. “Executive unit” means a department, agency, commission, board, council, or other body in State government which is established by law but which is not a part of either the legislative branch or the judicial branch. “Executive unit” includes: Entities functioning within county jurisdiction, but found as a matter of law to be executive units in State government, including, but not limited to, county boards of elections and community colleges; Local units of State cabinet departments, such as local departments of social services and (except when specifically excluded by statute) local health departments; and Any other unit specifically designated by State law as being covered by the Public Ethics Law. “Financial interest” means: Ownership of any interest as the result of which the owner has received, within the past 3 years, or is presently receiving, or in the future is entitled to receive, more than $1,000 per year; or Ownership, or the ownership of securities of any kind representing or convertible into ownership, of more than 3 percent of a business entity. “General Assembly” includes any members, committee, or subcommittee of the General Assembly or of the Legislative Policy Committee. Gift. “Gift” means the transfer of anything of economic value regardless of the form without adequate and lawful consideration. “Gift” does not include the solicitation, acceptance, receipt, or regulation of contributions as defined in Election Law Article, Annotated Code of Maryland. “Home address” means the address of an individual’s: Principal home; and Designated second home, if any. “Immediate family” means spouse and dependent children. “Interest” means any legal or equitable economic interest, whether or not subject to an encumbrance or a condition, which was owned or held, in whole or in part, jointly or severally, directly or indirectly. For purposes of General Provision Article, Title 5, Subtitle 6, “interest” applies to interests held at any time during the calendar year for which a required statement is to be filed. “Interest” does not include: An interest held in the capacity of a personal representative, agent, custodian, fiduciary, or trustee, unless the holder has an equitable interest therein; An interest in a time or demand deposit in a financial institution; An interest in an insurance or 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; A common trust fund or a trust which forms part of a pension or profit sharing plan which has more than 25 participants and which has been determined by the Internal Revenue Service to be a qualified trust under the Internal Revenue Code or a qualified tuition plan established pursuant to Section 529 of the Internal Revenue Code; or A mutual fund or exchange-traded fund that is publicly traded on a national scale unless the mutual fund or exchange-traded fund is composed primarily of holdings of stocks and interests in a specific sector or area that is regulated by the individual’s governmental unit. “Legislative action” means introduction, sponsorship, consideration, debate, amendment, passage, defeat, approval, veto, or any other official action or nonaction on any bill, resolution, amendment, nomination, appointment, report, or any other matter pending or proposed in a committee or subcommittee in either house of the General Assembly, any matter which is within the official jurisdiction of the General Assembly, the Legislative Policy Committee or any committee or subcommittee thereof, any legislative bill pending or presented to the Governor for signature or veto, or testimony or other advocacy in an official capacity as a member of the General Assembly before a unit of State or local government. “Lobbying” means the performing of any act requiring registration. “Lobbyist” means any person who, within a reporting period, in the presence of any official or employee in the legislative or executive branch has communicated with that official or employee for the purpose of influencing any legislative action, and who, for that purpose and exclusive of the personal travel or subsistence expenses of that person or representative of that person, either incurs expenses of $100 or more or receives $500 or more as compensation, or any person who expends a cumulative value of $100 or more during a reporting period on one or more officials or employees in the executive branch for meals, beverages, special events, or gifts in connection with or with the purpose of influencing executive action. Local Official. “Local official” means any official, officer, or employee of a county, the City of Baltimore, or an incorporated municipality, determined by the governing body of that jurisdiction to be subject to the provisions of General Provisions Article, Title 5, Subtitle 8, Annotated Code of Maryland. “Local official” does not include an employee or official: Of the judicial branch; or In an executive unit as defined in §H of this regulation. “Member of household” means a person's spouse, child, ward, financially dependent parent, or other relative who shares the person's legal residence, or a person's child, ward, parent, or other relative over whose financial affairs the person has legal or actual control. “Official” means either a State or a public official. “Person” includes an individual or business entity. “Political contribution” means contributions as that term is defined in Article 33, §1-1, Annotated Code of Maryland. “Principal home” means the sole residential property that an individual occupies as the individual’s primary residence, whether owned or rented by the individual. “Public Ethics Law” means the Maryland Public Ethics Law as set forth in General Provisions Article, Title 5, Annotated Code of Maryland. “Public official” has the meaning stated in General Provisions Article, §5-101(ff), Annotated Code of Maryland. “Quasi-governmental entity” means an entity that is created by state statute, that performs a public function, and that is supported in whole or in part by the state but is managed privately. “Registrant” means any person required to register pursuant to General Provisions Article, §5-702(a), Annotated Code of Maryland. “Respondent” means an official, a candidate for office, an employee, or a person subject to General Provisions Article, Title 5, Subtitle 7, Annotated Code of Maryland, who is the subject of a complaint before the Commission, pursuant to COMAR 19A.01.03. “Second home” means a residential property that: An individual occupies for some portion of the filing year; and Is not a rental property or a time share. “State official” means a member or member-elect of the General Assembly, a judge or judge-elect of a court created by Article IV, Section 1 of the Constitution and a person defined in Rule 11 of Maryland Rule No. 1232, or a constitutional officer or officer-elect in an executive unit of the State government. State official also means a person holding office as State's attorney, clerk of the circuit court for each county or of a court of the Supreme Bench of Baltimore City, register of wills, and sheriff. General. The Commission shall meet at the call of the Chairman or a majority of its members. A quorum consists of three or more members. An affirmative vote of at least three members shall be necessary for any action of the Commission. The Commission shall establish its meeting agenda, and times of special orders for appearances shall be taken promptly as scheduled unless otherwise agreed upon by a majority of the Commission. Except as set forth in §§C and D of this regulation, the Commission shall meet in open session in accordance with the provisions of the Open Meetings Law, General Provisions Article, Title 3, Annotated Code of Maryland. The Commission shall provide notice of its meetings and take and maintain minutes of its meetings in accordance with General Provisions Article, §§3-302 and 3-306, Annotated Code of Maryland. In addition to the exemptions to the open meetings requirement set forth in General Provisions Article, §3-305, Annotated Code of Maryland, the Commission may meet in closed session to consider an advisory opinion request under COMAR 19A.01.02 to the extent that consideration of the request would necessarily lead to identification of the subject of the request, and where the subject has not waived the right to protection of his identity afforded by General Provisions Article, §5-303, Annotated Code of Maryland. In addition to the provision of §C of this regulation, the Commission shall meet in closed session whenever it is considering a complaint being processed in accordance with COMAR 19A.01.03, until a final Commission determination is made regarding disposition of the complaint. Except as set forth in §§C—E, of this regulation, records of the Commission shall be maintained and made available for public inspection and copying in accordance with the provisions of the Maryland Public Information Law, General Provisions Article, §§4-101—4-601, Annotated Code of Maryland. The records of the Commission shall be maintained at the Commission’s offices. The Commission’s normal business hours are Monday through Friday (except State holidays), 8:00 a.m. to 4:30 p.m., and hours for public inspection and copying of records are 9:00 a.m. to 3:00 p.m. on normal business days. Commission records pertaining to advisory opinion requests and informal advice considered in accordance with COMAR 19A.01.02 may not be disclosed, to the extent that they include facts, discussion, or other material that would reveal the identity of the person who is the subject of the opinion, and the subject of the opinion has not waived the right to protection of the subject’s identity. Advisory opinion request and informal advice records shall be treated as set forth in General Provisions Article, Subtitle 3, Annotated Code of Maryland. All Commission records pertaining to a complaint considered in accordance with COMAR 19A.01.03 shall be treated confidentially and not disclosed to any person except as set forth in General Provisions Article, §5-407, Annotated Code of Maryland, and COMAR 19A.01.03.02B. Investigatory records pertaining to preliminary inquiries initiated by the Commission pursuant to COMAR 19A.01.03.03 are privileged and shall also be treated confidentially. Except as set forth in §§F and G of this regulation, financial disclosure statements filed by officials and candidates for office as State officials pursuant to General Provisions Article, Title 5, Subtitle 6, Annotated Code of Maryland, may be examined by the public only in person at the Commission’s offices as set forth in §B of this regulation. Any person examining these statements shall record his name, home address, and the name of the person whose disclosure is examined or copied. This record of examination shall be forwarded upon request to the person whose disclosure statement was so examined and copied. The Commission will not provide public access to a portion of a statement that is filed after January 1, 2019 that includes an individual’s principal home address, designated second home address, or both, that is identified by the individual as the individual’s home address. The Commission will not provide public access to information related to consideration received that is reported under General Provisions Article, §5-607(j), Annotated Code of Maryland. Subject to §F of this regulation, for statements filed on or after January 1, 2019, the Commission will make freely available to the public on the Internet, through an online registration program, a financial disclosure statement filed pursuant to General Provisions Article §5-601(a) and a preliminary disclosure that is filed pursuant to General Provisions Article §5-602(c) that is filed by a State official, a candidate for office as a State official, or a Secretary of a principal department of the Executive Branch. Except to confirm or deny the existence of a document or to disclose the name and limited identifying information, Commission staff will not disclose over the telephone any information contained in financial disclosure statements filed pursuant to General Provisions Article, Title 5, Subtitle 6, Annotated Code of Maryland. Copying Fees. Photocopies of nonpublished Commission records made available in accordance with this regulation shall be provided by Commission staff for a copying fee of 20 cents per page for the first 200 pages, and 20 cents per page and $3.50 per hour for any pages over 200. For records other than photocopies, such as magnetic tapes and disks, the charge for supplying the record will be determined on a case-by-case basis at actual cost. Before copying a record, the custodian shall estimate the cost of reproduction and either obtain the agreement of the applicant to pay the cost or demand prepayment of any estimated fee before reproducing the record. General Provisions Article, §§5-206 and 5-606, Annotated Code of Maryland Effective date: March 20, 1981 (8:6 Md. R. 562) Regulation .01 amended effective January 20, 1992 (19:1 Md. R. 34) Regulation .02 amended effective March 29, 1982 (9:6 Md. R. 615); January 20, 1992 (19:1 Md. R. 34); December 7, 2017 (44:24 Md R. 1151); February 7, 2022 (49:3 Md. R. 138) Regulation .02K amended effective January 16, 2017 (44:1 Md. R. 12); July 17, 2017 (44:14 Md. R. 656) Regulation .02M amended effective January 16, 2017 (44:1 Md. R. 12) Regulation .02M, N amended effective November 23, 2017 (44:23 Md. R. 1079) Regulation .02W amended effective August 8, 2011 (38:16 Md. R. 946) Regulation .03 amended effective January 20, 1992 (19:1 Md. R. 34) Regulation .04 amended effective January 16, 2017 (44:1 Md. R. 12); November 19, 2018 (45:23 Md. R. 1071); February 7, 2022 (49:3 Md. R. 138) Regulation .04A, B, and G amended effective January 20, 1992 (19:1 Md. R. 34) Regulation .04B amended effective August 8, 2011 (38:16 Md. R. 946) The advisory opinion provisions of this chapter apply to officials and employees of State government, including: Officials and employees in the Executive Branch and all employees of the Legislative and Judicial Branches; Members of the General Assembly as to matters concerning the application to them of the financial disclosure provisions of General Provisions Article, Title 5, Subtitle 6, Annotated Code of Maryland; and Local personnel in State offices covered by the Public Ethics Law. These procedures also apply to: Candidates for office as elected State officials; and Persons subject to the lobbying disclosure provisions of General Provisions Article, Title 5, Subtitle 7, Annotated Code of Maryland. Advisory opinion procedures may also be applied, when appropriate at the Commission's discretion, to provide advice or interpretation regarding exemption requests or other aspects of the local government provisions of General Provisions Article, Title 5, Subtitle 8, Annotated Code of Maryland. Any official or employee or other person identified in Regulation .01 may request an advisory opinion concerning application to the requester of the provisions of the Public Ethics Law, or, as to members of the General Assembly, General Provisions Article, Title 5, Subtitle 6, Annotated Code of Maryland. The Commission shall accept and process these advisory opinion requests in accordance with the procedures set forth in this chapter. Advisory opinions may be requested by an official or employee of the State as to matters covered by the Public Ethics Law concerning another official or employee under the requester’s supervision. These requests shall be accepted and processed by the Commission in accordance with this chapter. Any other person may request an advisory opinion as to subject matters or individuals subject to the Public Ethics Law and the Commission's jurisdiction as set forth in Regulation .01 of this chapter. These requests may be considered by the Commission in its discretion as deemed appropriate. It shall be the general practice of the Commission to consider advisory opinion requests dealing with nonspeculative fact situations and to render opinions having prospective application. If an opinion request requires consideration of past behavior or events, the Commission may consider the request in the context of a preliminary inquiry pursuant to COMAR 19A.01.03.03. All requests for advisory opinions shall be in writing addressed to the State Ethics Commission at the Commission’s offices. The request shall include the signature, address, and telephone number of the requestor and shall set forth the facts and circumstances giving rise to the request. Each advisory opinion request accepted for processing pursuant to Regulation .02 of this chapter shall be acknowledged by the Commission staff. The acknowledgement shall set forth the right of the subject to protection of his identity pursuant to General Provisions Article, §5-303, Annotated Code of Maryland, and also the right of any person to be represented by counsel in connection with any aspect of the advisory opinion review process. When the request is from a person other than the official or employee whose conduct is the subject of the request, the person who is the subject of the request shall, if his identity is ascertainable, be provided with a copy of the request and the acknowledgement letter. Informal Advice. When an advisory opinion request presents facts and raises issues that have been addressed in a previously issued opinion of the Commission, the Commission staff may transmit the prior opinion as an expedited informal response to the opinion request. If the person who receives an informal response pursuant to §B(1) of this regulation believes that facts or law peculiar to the request are contrary to the existing opinion, then further formal or informal review by the Commission may be requested. When formal review is requested pursuant to §B(2) of this regulation, the Commission may, based on the available information: Schedule the request for review as set forth in §§C—E of this regulation, and Regulation .06; or Concur in the staff advice. If the staff advice provided pursuant to §B(1) of this regulation is affirmed, then it, with the prior opinion, shall be the final opinion of the Commission. The Commission may also provide informal advice when there is no prior staff advice or, when, based on the facts of the particular situation, formal advice is not required. When an informal determination is made, the procedures set forth in §§C—E of this regulation and Regulation .06 do not apply. Materials and documents relating to informal advice shall be treated as advisory opinion materials for purposes of the information provisions set forth in COMAR 19A.01.01.04. The Commission staff shall review the information set forth in the request and obtain other reasonably obtainable facts which allow the Commission to evaluate the conduct or activity in relation to the substantive provisions of the Public Ethics Law. Advisory opinion requests shall be considered by the Commission at a meeting conducted in accordance with COMAR 19A.01.01.03. The person whose conduct is the subject of the request shall appear at the Commission meeting considering the request unless their attendance is determined not to be necessary to resolution of the issue, and may be represented by legal counsel in connection with the appearance. The Commission may also request the attendance of the requestor or of any other person who can provide information relevant to its determination. Any person directly involved in the advisory opinion request may be represented by counsel at any and all stages of the proceeding. Advice in response to an opinion request shall be provided within 60 days of receipt of the request (or more promptly if circumstances require it). Each opinion shall be committed to writing and be dated, and shall contain the names of all members of the Commission present at the meeting at which the opinion request was decided and who subscribed to the opinion. The name of any dissenter to an opinion shall be separately noted. Each advisory opinion shall be written, to the extent possible, so as to prevent disclosure of the identity of the subject of the opinion. Advisory opinions shall be filed with the Division of State Documents for publication in the Maryland Register, and mailed to the requestor, the subject, and to other interested persons, as determined in the discretion of the Commission or the Executive Director of the Commission. The opinion rendered is binding on the Commission in any subsequent investigation or complaint proceeding concerning the officer or employee or other person who sought the opinion or who was the subject of the opinion and who acted in reliance on it in good faith, unless material facts were omitted or mis-stated by the person in the request for an advisory opinion or in statements made to the Commission concerning the situation under advisement. General Provisions Article, Title 5, Subtitle 3, Annotated Code of Maryland Effective date: March 20, 1981 (8:6 Md. R. 562) Regulation .01 amended effective January 20, 1992 (19:1 Md. R. 34) Regulation .02A, B amended effective January 16, 2017 (44:1 Md. R. 12) Regulation .04 amended effective January 20, 1992 (19:1 Md. R. 34); August 8, 2011 (38:16 Md. R. 946) Regulation .05B amended effective January 16, 2017 (44:1 Md. R. 12) Regulation .05B and D amended effective January 20, 1992 (19:1 Md. R. 34) The enforcement provisions of this chapter apply to alleged violations of the Public Ethics Law by any: Official or employee of the Executive Branch; Public official or employee of the Legislative or Judicial Branch; Member of the General Assembly as to matters concerning the financial disclosure requirements of General Provisions Article, Title 5, Subtitle 6, Annotated Code of Maryland; Person or entity subject to the lobbying provisions of General Provisions Article, Title 5, Subtitle 7, Annotated Code of Maryland; Candidate for office as a State official, who is required to file financial disclosure pursuant to General Provisions Article, Title 5, Subtitle 6, Annotated Code of Maryland; Constitutional officer-elect in an executive agency; Former employee subject to General Provisions Article, §5-504, Annotated Code of Maryland; or Other person or entity identified by State law. Definitions. “Hearing” means a hearing conducted by the Commission pursuant to General Provisions Article, §5-404, and the Administrative Procedure Act, State Government Article, Title 10, Subtitle 2, Annotated Code of Maryland. “Party” includes only the respondent and the staff counsel or other counsel designated by the Commission. Preliminary Inquiry. “Preliminary inquiry” means the process by which a matter may be presented to the Commission for preliminary review to determine whether the matter should be processed as a complaint in accordance with General Provisions Article, §5-401, Annotated Code of Maryland. “Preliminary inquiry” includes: Investigation and review of the matter by Commission staff or other individual designated by the Commission; and Consideration of the matter by the Commission. “Preliminary investigation” means the investigation conducted by the staff counsel or other investigator identified by the Commission, after a complaint has been accepted or issued and been referred by the Commission pursuant to General Provisions Article, §5-403, Annotated Code of Maryland. “Respondent” includes, when appropriate to the context of this chapter, counsel speaking or acting on the respondent's behalf in connection with an enforcement matter subject to this chapter. “Staff counsel” includes, when appropriate to the context of this chapter, any other person designated by the Commission to perform the functions of the staff counsel in accordance with this chapter. Confidentiality. General Rules. Except as set forth in §B(2)—(4) of this regulation, during the pendency of any preliminary inquiry by Commission staff pursuant to Regulation .03 of this chapter or following the filing of a complaint, the proceedings, meetings, and activities of the Commission and its employees in connection with the complaint shall be conducted in a confidential manner. Except as set forth in §B(2)—(4) of this regulation, the Commission, its staff, the complainant, and the respondent may not disclose any information relating to the complaint, including the identity of the complainant and the respondent. Exceptions. The Commission may release information at any time if the respondent has agreed in writing to the release. The identity of the complainant shall be disclosed to the respondent at any time in response to a written request from the respondent. Information may be disclosed by the Commission or the Commission's staff as necessary to conduct a preliminary inquiry, investigation, or hearing, or to issue subpoenas at the request of the respondent pursuant to General Provisions Article, §5-404, Annotated Code of Maryland. Confidentiality does not apply to referral or release of information to a prosecuting authority pursuant to General Provisions Article, §5-408, Annotated Code of Maryland. Confidentiality may be waived by the respondent, and information disclosed accordingly as part of a cure, settlement, or other prehearing resolution of an enforcement proceeding pursuant to Regulation .08 of this chapter. Information Provided to a Complainant. A complainant shall be provided information regarding the status of an enforcement matter as set forth in §B(3)(b) and (c) of this regulation. The staff counsel shall notify the complainant that evidence is being referred to the Commission for preliminary disposition, at least 15 days before referring the evidence to the Commission. The complainant shall be provided with a copy of a signed order of the Commission dismissing a complaint if after: Preliminary consideration of the evidence, it is determined that the evidence does not merit further proceedings and that dismissal is not contrary to the purposes of General Provisions Article, Title 5, Annotated Code of Maryland; or Consideration of the evidence at a hearing, it is determined that the respondent has not violated any of the provisions of General Provisions Article, Title 5, Annotated Code of Maryland. Confidentiality after Hearing. The confidentiality requirements apply, as set forth in §B(4)(b)—(c) of this regulation, to written reports setting forth findings of fact and conclusions of law required after a hearing by General Provisions Article, §5-405, Annotated Code of Maryland, and Regulation .11 of this chapter. When there is a finding that there was no violation of General Provisions Article, Title 5, Annotated Code of Maryland, the requirements of §B(1) of this regulation apply, and there may not be disclosure of information. When there is a finding of violation as to any allegation of the complaint, the written report of the Commission shall be a public record. Subpoena Powers and Oaths. The staff counsel of the Commission may: Administer oaths and affirmations; and Subject to the supervision of the Executive Director, issue subpoenas to compel the attendance and testimony of witnesses or for the production of books, papers, records, documents, or other tangible objects. The Commission may: On its own or through its designee, administer oaths and affirmations; and On its own motion, issue subpoenas to compel the attendance and testimony of witnesses or for the production of books, papers, records, documents, or other tangible objects. The respondent may, as set forth in §C(4)—(6) of this regulation, use the subpoena power of the Commission in preparation for any hearing to be held in accordance with this chapter. Respondent subpoenas pursuant to §C(3) of this regulation shall be issued only in response to a written request by or on behalf of the respondent received by the Commission not later than 10 working days before the date set for the hearing. Respondent subpoenas pursuant to §C(3) of this regulation may be issued by the Commission or by the Commission Chairman acting on behalf of the Commission. Service and enforcement of any respondent subpoena issued pursuant to §C(3) of this regulation is the responsibility of the respondent or other person acting on respondent's behalf, not of the Commission or its staff. Subpoenas issued pursuant to this section and General Provisions Article, §§5-207 and 5-404, Annotated Code of Maryland, are judicially enforceable. Referral. If, while an enforcement matter is being considered, it is determined that there are reasonable grounds to believe that the respondent may have committed a criminal offense, the Commission or the Commission's staff, upon direction from the Commission or the Chairman, shall refer the matter: Promptly to an appropriate prosecuting authority for an evaluation of whether criminal prosecution is appropriate; or Directly to the appropriate prosecuting authority for prosecution. When an enforcement matter is referred to a prosecuting authority for evaluation or prosecution, the Commission may suspend action by the Commission or the Commission's staff on the matter pending completion of action by the prosecuting authority. When an enforcement matter is referred to a prosecuting authority for evaluation or prosecution, the Commission shall make available to the prosecuting authority all pertinent evidence under the Commission's control. Commission staff may consult with a prosecuting authority in connection with the possible referral of a matter. Counsel. The respondent in an enforcement matter conducted pursuant to this chapter is entitled to be represented by counsel for any purpose, including: Representation in connection with interviews of the respondent by the staff counsel; Submission of any written or other materials on respondent's behalf in connection with the investigation; and Personal appearance on respondent's behalf at any stage of the matter where respondent's appearance before the Commission is permitted or required. Service. Except as set forth in §F(2) of this regulation, service of any document required to be served by this chapter shall be by regular mail, postage prepaid, to the respondent or other addressee at their last known address. Instead of service by mail, the hearing notice may be served by: Personal service by an individual over 18 years old, as evidenced by an affidavit of personal service; Service by the Sheriff of the county of the addressee; or Registered or certified mail, restricted delivery, return receipt requested. If required service is to a person represented by an attorney, mail or delivery to the attorney's last known business address is considered satisfactory service. Appointment of Interpreter. If a party or witness cannot readily hear, speak, understand, or communicate the spoken English language, the Commission may, of its own volition, or shall, upon written application of the party or witness, appoint a qualified interpreter to provide assistance during the hearing. The Commission may consider as a preliminary inquiry any matter that: Arises from any source, including the consideration of an advisory opinion; Involves past or ongoing conduct; and Presents a possible violation of General Provisions Article, Title 5, Annotated Code of Maryland. The staff counsel shall, upon the direction of the Commission: Collect and review information pertaining to a preliminary inquiry; and Present this information to the Commission for its consideration. The Commission may close a preliminary inquiry without issuing a complaint if the Commission determines that: The matter is not within the jurisdiction of the Commission; The information presented does not support the filing of a complaint; or Based on all the circumstances presented, further enforcement proceedings would not serve the purposes of General Provisions Article, Title 5, Annotated Code of Maryland. A preliminary inquiry may also be closed by: Docketing the matter for consideration as an advisory opinion pursuant to COMAR 19A.01.02; Letter or other informal advice; or Other resolution agreed to by the subject. Complaints from a Person. A person may file a complaint with the Commission. A complaint filed by a person pursuant to this section shall: Be written, signed, and under oath; Allege a violation of General Provisions Article, Title 5, Annotated Code of Maryland, by an official, employee, or any other person subject to the jurisdiction of the Commission as set forth in Regulation .01 of this chapter; and Contain sufficient facts to permit a preliminary investigation to be undertaken. The Commission shall accept for further proceedings any complaint filed by a person pursuant to this section unless the complaint: Is plainly frivolous; or Does not comply with the requirements of this section. Complaints by the Commission. The Commission may issue a complaint on its own motion. The Commission may issue a complaint pursuant to this section when: A preliminary inquiry pursuant to Regulation .03 of this chapter results in sufficient evidence to believe a violation of General Provisions Article, Title 5, Annotated Code of Maryland, may have occurred; or Informal review in connection with an advisory opinion request under COMAR 19A.01.02 discloses information suggesting that past or continuing conduct of an official, employee, or other person subject to General Provisions Article, Title 5, may constitute a violation of General Provisions Article, Title 5. A Commission complaint shall be: Signed on the Commission's behalf by the Chairman or another member as authorized by the Commission; Otherwise in the same format as a complaint from any other person as set forth in §A(2) of this regulation; and Issued pursuant to action by the Commission taken consistent with the procedures set forth in COMAR 19A.01.01. Amended Complaints. Consistent with the requirements of §B of this regulation, the Commission may on its own motion issue an amended complaint in any complaint either accepted or issued pursuant to §A or B of this regulation. An amended complaint may be issued based on additional information submitted by a complainant or on information available to the Commission as a result of a preliminary investigation and review as set forth in Regulations .05 and .06 of this chapter, and may either: Add or delete allegations as justified by the information; or Clarify the allegations of the original complaint. An amended complaint is subject to the same investigatory, review, and notice procedures as the original complaint. A copy of any complaint or amended complaint accepted or issued by the Commission pursuant to §§A—C of this regulation shall be served on the respondent as set forth in Regulation .02F of this chapter. Complaints issued by the Commission or filed and accepted by the Commission pursuant to Regulation .04 of this chapter shall be referred to the staff counsel. Collection of Evidence. The staff counsel shall collect evidence relating to the allegations of the complaint. Evidence may be collected by personal interview, interrogatory, deposition, review of documents, or any other usual investigatory method. In the collection of evidence pursuant to this section, the subpoena power of Regulation .01C(1) of this chapter may be relied upon to compel the attendance and testimony of witnesses and the production of books, papers, records, documents, or other tangible objects. Notification and Respondent Action. The staff counsel shall notify the complainant and the respondent of the anticipated presentation of the evidence to the Commission at least 15 days before presenting the evidence to the Commission. The respondent may take action to cure all alleged violations within 15 days of receipt of the notification provided in accordance with §C(1) of this regulation, and advise the staff counsel of this action. In response to the notification of §C(1) of this regulation, the respondent may also submit materials or other proposed resolution for consideration by or negotiation with the staff counsel. Staff Counsel Preliminary Report. The staff counsel shall provide the Commission with a preliminary report including all evidence collected relating to the allegations of the complaint. The preliminary report to the Commission shall include any evidence of cure action taken by the respondent, any resolution of the complaint proposed by the respondent, and any other agreement or proposed resolution of the complaint agreed to by respondent and staff counsel. The preliminary report may include a recommended disposition. A proposed disposition or proposed resolution agreed to by staff counsel and the respondent is a recommendation only, and may not be binding on the Commission. The Commission shall consider the preliminary report submitted by the staff counsel pursuant to Regulation .05 of this chapter. The Commission shall dismiss the complaint if it determines that: The report contains evidence of a cure of all violations, and dismissal would not be contrary to the purposes of General Provisions Article, Title 5, Annotated Code of Maryland; The evidence does not raise sufficient likelihood of a violation of General Provisions Article, Title 5, Annotated Code of Maryland, to merit further proceedings; or A proposed resolution agreed to by the staff counsel and the respondent is accepted and supports a conclusion that the matter does not merit further proceedings. Dismissal of a complaint pursuant to §B of this regulation shall be: By written order signed by the Chairman or other designated member on behalf of the Commission; and Served on the respondent as set forth in Regulation .02F of this chapter. If a complaint filed by a person other than the Commission is dismissed pursuant to §B of this regulation, the complainant shall be advised of the fact of the dismissal. If, after preliminary consideration by the Commission, a complaint is not dismissed pursuant to §B of this regulation, the Commission shall issue a hearing notice as set forth in Regulation .07 of this chapter. When a complaint is not dismissed by preliminary Commission determination, a hearing shall be scheduled and a hearing notice shall be issued by the Chairman or other designated member acting on the Commission's behalf. A hearing notice shall include a: Statement of the time, place, and nature of the hearing; Statement of the legal authority and jurisdiction under which the hearing is to be held; Reference to the relevant sections of the statutes, regulations, and rules of procedure involved; Short and simple statement of the matters asserted; Statement that failure to appear for the scheduled hearing may result in adverse action against the respondent; Statement that the respondent may agree to the evidence and waive the right to appear at the hearing; and Statement of the respondent's right to: Call witnesses and submit documents or other evidence as provided in Regulation .10 of this chapter, Use the subpoena power of the Commission as set forth in Regulation .02C of this chapter, Receive a copy of the Commission's enforcement procedures found in this chapter if not otherwise provided, and Be represented by counsel in the hearing. If, in a hearing notice issued pursuant to §B of this regulation, the Commission is unable to state the matters in detail at the time the hearing notice is served, the initial notice may be limited to a statement of issues involved. Thereafter, upon application, a more definite and detailed statement shall be furnished. A hearing notice issued pursuant to §A of this regulation shall be served on the respondent as set forth in Regulation .02F of this chapter. At any time after a matter is initiated and before a final determination by the Commission, the staff counsel and respondent may develop a proposed settlement of the matter. A proposed settlement may: Be based on admissions or stipulations of fact or law; Recite actions taken or agreed to be taken by the parties; Include any sanction, penalty, or action agreed to be imposed or taken as a result of Commission acceptance of the proposed settlement; and Include any other provisions allowable by law that would define the framework for resolution of the matter. A proposed settlement shall be in writing, agreed to by the staff counsel and the respondent, and may be by: Stipulation; Consent order; Waiver of hearing; Settlement agreement; or Other appropriate format. A proposed settlement agreed to by the staff counsel and the respondent shall be presented to the Commission for consideration by joint motion of the parties and may be the basis for a joint request for postponement of a scheduled hearing on the complaint. Commission Action. The Commission may not be bound by a proposed settlement or other resolution reached by the staff counsel and the respondent, and may accept or reject the proposed resolution as the purposes of the Ethics Law may require. A settlement accepted by the Commission may form the basis for final action by the Commission to be reflected in a final order issued pursuant to Regulation .11 of this chapter. Offers of settlement or compromise which are not accepted by the Commission may not be made a part of the case record or otherwise admitted into evidence in the hearing. Discovery and Disclosure. The respondent has the right to inspect and to copy any document that is accessible under the Maryland Public Information Act, General Provisions Article, §§4-101—4-601, Annotated Code of Maryland, as set forth in COMAR 19A.01.01.04. If a prehearing conference is not held, the respondent and the staff counsel shall submit to the general counsel, at least 10 working days before the scheduled date of the hearing: A proposed list of their witnesses and possible documentary evidence to be introduced at the hearing; and An estimate of the anticipated length of the presentation of their case. The Chairman may prohibit the introduction of documentary or testimonial evidence not disclosed before the hearing as provided in §A(2) of this regulation. Prehearing Conferences. In its discretion, the Commission may direct the Chairman or another designated member to conduct a prehearing conference in any matter scheduled for a hearing pursuant to Regulation .07 of this chapter, either on the initiative of the Commission or at the request of the staff counsel or the respondent. Notice shall be provided to the staff counsel and respondent of the date, time, and place of a prehearing conference called pursuant to §B(1) of this regulation, as set forth in Regulation .02F of this chapter. A prehearing conference shall be designed to simplify the hearing by resolving preliminary matters, and may address the following: Issuance of respondent subpoenas or other matters pertaining to discovery or disclosure; The possibility of obtaining stipulations, admissions, agreements on documents, understandings on matters already of record or judicially noticeable, or similar agreement that will avoid unnecessary proof; Identification of witnesses or documentary evidence, and consideration of limiting the number of expert witnesses or the presentation of similar cumulative evidence; The order of presentation and scheduling of the hearing; Preliminary motions presented by either party; and Other matters that will simplify or clarify the issues or otherwise promote the orderly and prompt conduct of the hearing. The proceedings at a prehearing conference shall be recorded. The Chairman or other member may issue a prehearing order that: Recites the results of the preliminary conference; Includes any rulings on motions considered at the prehearing conference; Clarifies any scheduling or related issues; and Sets forth any other actions taken, or to be taken, with regard to any matter addressed at the prehearing conference. Comments on or disagreement by the staff counsel or respondent with the prehearing order shall be filed with the Chairman or other member not later than 5 working days after service of the prehearing order. A dispute shall be ruled upon by the Chairman or other member before the hearing. A prehearing order issued pursuant to §B(6) of this regulation is a part of the complaint record. Motions. Except for extraordinary situations or as otherwise provided in these regulations, preliminary matters requiring a formal ruling shall be raised by motions at either the prehearing conference or at least 15 working days before the hearing. Motions shall be in writing and state briefly the relief applied for and the grounds for the motion and, when appropriate, be supported by a memorandum of points and authorities. A response to a motion shall be filed with the Commission within 10 working days after receiving the initial motion. A motion or response shall be served on the opposing party as set forth in Regulation .02F of this chapter. The Chairman may rule on the motion at any time before, during, or after the hearing. Postponement. Upon request from the staff counsel or the respondent, the Chairman may grant a postponement of the hearing for good cause as set forth in this section. Requests for postponement shall be confirmed in writing, served on the opposing party as set forth in Regulation .02F of this chapter, and shall include: The reason for the request; and When appropriate, a list of at least three dates within the 60-day period following the day on which the hearing was originally scheduled on which the party would be available for a hearing. Requests for postponement shall: Except in extraordinary circumstances or when requested in connection with a settlement proposal, be denied if made after a prehearing conference; or Be granted only if the party requesting the postponement clearly demonstrates that the request is made in good faith and that: Hardship will result from its denial, or Postponement is required as part of a settlement consideration. Whenever feasible, a postponed hearing that is to be held shall be rescheduled within 60 days of the date the hearing was originally scheduled. Failure to Attend Hearing, and Default. If after receiving proper notice a party fails to attend or participate in the hearing, the party shall be considered in default and the hearing may be conducted and the issues finally determined in the party's absence. Within 10 days after mailing of a final decision following a default, the party may file a written request that the decision be vacated, stating the reasons relied upon. The final decision may be vacated by the Commission if it is found that there is an: Actual controversy in the matter; and Equitable excuse for the default. Conduct of the Hearing by the Chairman or Designee. A Commission hearing conducted pursuant to this chapter shall be conducted by the Chairman or another member designated by the Commission. The member so designated may exercise all powers assigned to the Chairman by this section. The Chairman shall convene the hearing and shall place the complaint, hearing notices, and other appropriate documents in the record. The Chairman has the power to: Conduct a fair and impartial hearing, take action to avoid unnecessary delay in the disposition of proceedings, and maintain order; Rule on offers of proof and receipt of evidence in accordance with the general principles set forth in §E of this regulation; Consider and rule upon all motions appropriate to the proceedings; and Recess the hearing for any reasonable purpose, for example: In response to requests of the parties, To allow the parties to prepare final argument, or To enable the Commission to consider action on motions or undertake preliminary consideration of the case. Rights of Parties. Each party to the hearing has the right to: Present opening and closing statements; Call witnesses and present evidence; Cross-examine every witness called by the Commission or any other party; Impeach any witness regardless of which party first called the witness to testify; and Rebut all evidence presented. Ex Parte Communications. The Commission staff counsel shall be responsible for presenting evidence to the Commission in connection with a complaint proceeding subject to a hearing under this regulation, and may not be part of the decisional process in connection with a complaint. The general counsel of the Commission, or other individual designated by the Commission, shall be the legal advisor to the Commission regarding complaint proceedings and in that capacity is considered to be part of the decisional process. The staff counsel, the Executive Director, respondent, respondent's counsel, and any other individual not involved in the decisional process may not communicate ex parte with any member of the Commission or with the general counsel regarding any issue of fact or law in connection with a complaint being heard pursuant to this regulation. The Commission may communicate with members of an advisory staff, including the general counsel, who participate as part of the decisional process. Ex parte communications received in violation of §D(2) of this regulation shall be placed in the record and disclosed to all parties, who shall then have 10 days within which to rebut them. The general counsel or any member of the Commission may, if he or she considers it necessary to eliminate the effect of a prohibited ex parte communication, disqualify himself or herself from further participation in the hearing. Presentation of Evidence. Evidence shall be presented by the parties at the hearing consistent with terms agreed to in a prehearing conference or as set forth in any schedules previously exchanged by the parties in anticipation of the hearing, unless a deviation from the agreed upon process is expressly allowed by the Chairman. The staff counsel shall present to the Commission evidence collected in the investigation relating to the complaint that is: Relevant to the matters at issue as set forth in the hearing notice; Set forth in any preliminary agreement by the parties; Consistent with a prehearing order issued by the Chairman or the Chairman's designee; or Otherwise allowed by the Chairman. The respondent may present evidence either through counsel or on the respondent's own behalf that is: Relevant to the matters at issue as set forth in the hearing notice; Set forth in any preliminary agreement by the parties; Consistent with a prehearing order issued by the Chairman or the Chairman's designee; or Otherwise allowed by the Chairman. Evidence shall be received by the Commission in accordance with the following principles: The hearing need not be conducted according to the technical rules of evidence, and any relevant evidence, including hearsay of probative value, is admissible. Oral evidence shall be taken only on oath or affirmation. Evidence which possesses probative value commonly accepted by reasonable and prudent persons in the conduct of their affairs may be admitted and given probative value. The rules of privilege shall be given effect, and incompetent, immaterial, and unduly repetitious evidence may be excluded. Except as set forth in §E(4)(e) and (f) of this regulation, all evidence, including records and documents in the possession of the Commission, of which the Commission desires to avail itself, shall be offered and made a part of the record in the case. Other factual information or evidence may not be considered in the determination of the case. Documentary evidence may be received in the form of copies or excerpts, or by incorporation by reference. The Commission may take notice of judicially cognizable facts or general, technical, or scientific facts within their specialized knowledge, as set forth in State Government Article, §10-213, Annotated Code of Maryland. Commission members may use their experience, technical competence, and specialized knowledge in the evaluation of evidence presented to them. The parties shall be advised of any fact officially noticed pursuant to this paragraph and be given an opportunity to contest the fact. The existence of offers of settlement or compromise considered in the preliminary enforcement process are considered privileged communications and may not be admitted into evidence at the hearing. At the completion of the hearing the Chairman may, in the Chairman's own discretion or at the request of the parties, declare the record to be open for a specified period to enable the parties to submit written arguments or other documents that are relevant to the issues presented in the hearing. Hearing Record. Verbatim Record. Except as set forth in §G(1)(b) of this regulation, a verbatim record shall be taken of the entire hearing. In addition to the stenographic or recorded record of testimony in the case, a verbatim record shall include motions by the parties and rulings by the Chairman, the opening and closing arguments of the parties, and any oral decisions of the Commission that are made in the context of the hearing. Unless requested by the respondent in writing, or otherwise at the discretion of the Commission, hearings on financial disclosure complaints under General Provisions Article, Title 5, Subtitle 6, Annotated Code of Maryland, may be conducted without a verbatim record. When a verbatim record is not kept, minutes of the proceedings shall be kept which shall, at a minimum, identify the witnesses, list all exhibits, and record all rulings by the Chairman, as well as any preliminary or final Commission determination. A stenographic or recorded verbatim record, or the minutes of a hearing, need not be transcribed unless requested by a party or the Commission. The party requesting the transcript shall pay for the cost of transcription. An official record of the hearing shall be developed, including the following: All pleadings, motions, and intermediate and final rulings; Documentary evidence received or considered; Any statement of matters officially noticed; Any questions and offers of proof, objections, and rulings on them; Any proposed findings and exceptions; Any written arguments or documents submitted by a party after the hearing; Copies of testimony or minutes transcribed pursuant to §G(1)(c) of this regulation; The decision of the Commission issued pursuant to Regulation .11 of this chapter; and Any memoranda of ex parte communications submitted pursuant to §D of this regulation. A Commission decision following a hearing shall be: Made in accordance with its regular procedures as set forth in COMAR 19A.01.01; and Based on a preponderance of the evidence presented at the hearing as set forth in Regulation .10E of this chapter. If, after a hearing, the Commission finds that a respondent has violated General Provisions Article, Title 5, Annotated Code of Maryland, the Commission shall issue a written report that: Includes findings of facts and conclusions of law for each of the violations alleged in the hearing notice; and Disposes of all disputed issues referenced in the hearing notice. If the Commission finds that the respondent has not violated any of the provisions of General Provisions Article, Title 5, Annotated Code of Maryland, as alleged in the hearing notice, the Commission shall: Issue an order dismissing the complaint; and Promptly send a copy of the order to the complainant and the respondent. Sanctions. If the Commission finds that the respondent has violated any of the provisions of General Provisions Article, Title 5, Annotated Code of Maryland, the Commission may take any action authorized in General Provisions Article, §5-405 or Title 5, Subtitle 9, Annotated Code of Maryland. In determining the sanctions to impose in a matter involving a finding of a violation of General Provisions Article, Title 5, Subtitle 7, Annotated Code of Maryland, the Commission may consider all relevant factors, including: The extent to which the respondent derived financial benefit from the prohibited conduct; The willfulness of the prohibited conduct; Any history of violations of the Public Ethics Law by the respondent; The severity of the violation; The cost of investigating and prosecuting the case against the respondent; The necessity to protect the public interest and the integrity of the governmental process; and Any conviction of the individual regulated lobbyist of bribery, theft, or other crime involving moral turpitude based on acts arising from lobbying activities. If the Commission finds that the respondent has violated the financial disclosure or lobbying reporting provisions of General Provisions Article, Title 5, Subtitles 6 and 7, Annotated Code of Maryland, the Commission shall impose late fees as set forth in General Provisions Article, §5-405, Annotated Code of Maryland. An order issued by the Commission pursuant to this regulation shall be served on the parties as set forth in Regulation .02F of this chapter. A final default order issued pursuant to Regulation .10A of this chapter shall be issued as a final decision consistent with this regulation. The Commission may seek judicial enforcement of any order issued pursuant to this regulation, or any other relief as provided in General Provisions Article, Title 5, Annotated Code of Maryland. If aggrieved by a final order of the Commission, the respondent may request judicial review in accordance with the provisions of the Administrative Procedure Act, State Government Article, §10-222, Annotated Code of Maryland. The final order of the Commission shall be stayed automatically until the time for seeking judicial review has expired. If a timely appeal for judicial review is filed, action to implement the final order shall be stayed until the final disposition of the matter by the court. The Commission may take action to seek judicial imposition of fines as set forth in General Provisions Article, §5-902, Annotated Code of Maryland. General Provisions Article, Title 5, Subtitle 4, Annotated Code of Maryland Effective date: March 20, 1981 (8:6 Md. R. 562) Regulations .01—.08 under chapter “Complaint Procedures” repealed effective September 26, 1994 (21:19 Md. R. 1635) Regulations .01—.12 under chapter “Enforcement Procedures” adopted effective September 26, 1994 (21:19 Md. R. 1635) Regulation .02B amended effective January 16, 2017 (44:1 Md. R. 12) Regulation .09B, C amended effective January 16, 2017 (44:1 Md. R. 12) Regulation .10G amended effective January 16, 2017 (44:1 Md. R. 12) Regulation .11 amended effective August 8, 2011 (38:16 Md. R. 946); May 25, 2015 (42:10 Md. R. 685)