Chapter 02. Review Criteria
Regulation .01 Scope.LinkCopy Citation
A.
The provisions of this chapter reflect the minimum elements that shall be addressed by a county or municipal ethics law in order for the law to be viewed as:
(1)
Similar or substantially similar to the Public Ethics Law; and
(2)
For elected local officials and candidates to be elected local officials, at least equivalent to the requirements of General Provisions Article, Title 5, Subtitles 5 and 6, Annotated Code of Maryland.
B.
A county or municipality may adopt laws more stringent than the requirements of General Provisions Article, Title 5, Subtitles 5 and 6, Annotated Code of Maryland, based on local circumstances and where more stringent provisions are necessary to prevent conflicts of interest in the locality.
Regulation .02 Coverage.LinkCopy Citation
A.
To be viewed as similar to the Public Ethics Law, all elected local officials, local employees subject to the jurisdiction of the locality, and nonelected local officials shall be subject to the local ethics law.
B.
Conflicts of Interest.
(1)
A local law shall include conflict of interest provisions for elected local officials equivalent to or exceeding the requirements of General Provisions Article, Title 5, Subtitle 5, Annotated Code of Maryland.
(2)
Conflicts of Interest — Employees and Nonelected Local Officials.
(a)
A local law shall include conflict of interest provisions for local employees and nonelected local officials.
(b)
A county or municipality may adopt conflict of interest provisions for local employees and nonelected local officials that are identical to the conflict of interest provisions for elected local officials.
C.
Financial Disclosure.
(1)
A local law shall include financial disclosure provisions for elected local officials and candidates to be elected local officials equivalent to or exceeding the requirements for State officials required in General Provisions Article, Title 5, Subtitle 6, Annotated Code of Maryland.
(2)
Financial Disclosure — Employees and Nonelected Local Officials.
(a)
A local law shall include financial disclosure provisions for local employees and nonelected local officials.
(b)
A county or municipality may adopt financial disclosure provisions for local employees and nonelected local officials that are identical to the financial disclosure provisions for local elected officials.
Regulation .03 Administration.LinkCopy Citation
The local law shall:
A.
Identify or establish a local agency responsible for implementing the law;
B.
Provide the local agency responsible for implementing the law with a structure that supports impartiality and independence of judgment by its officials and employees through the hiring and appointment process;
C.
Provide for the local agency responsible for implementing the local law to issue advisory opinions as to the applicability of the law to elected local officials, nonelected local officials, and local employees and other persons subject to the law; and
D.
Establish a mechanism for processing and making determinations in response to complaints filed with the appropriate local agency alleging violations of the law.
Regulation .04 Conflicts of Interest.LinkCopy Citation
A.
Similarity to Public Ethics Law.
(1)
Unless the Commission grants the county or municipality a modification or exemption as provided in COMAR 19A.04.03.03 in accordance with General Provisions Article, §§5-209 and 5-808, Annotated Code of Maryland, as applicable, to be equivalent to the requirements of and similar to the Public Ethics Law, the local ethics law shall address conflicts of interest restrictions as described in this regulation.
(2)
A local law that includes conflicts of interest restrictions more stringent than the restrictions described in this regulation may be similar to the Public Ethics Law.
B.
Disqualification.
(1)
Comparison to Public Ethics Law.
(a)
The local law shall include, for elected local officials, the disqualification and participation restrictions included in General Provisions Article, §5-501, Annotated Code of Maryland.
(b)
When appropriate based on the local government structure and form, the local law may include, for elected local officials, the disqualification and participation restrictions included in General Provisions Article, §§5-512 and 5-513, Annotated Code of Maryland.
(2)
The local law shall include a disqualification provision prohibiting a nonelected local official or local employee from participating, as a nonelected local official or local employee, in a county or municipal matter that would have a direct economic impact, distinct from the impact on the public at large, on the nonelected local official or local employee or that, to the knowledge of the nonelected local official or local employee, would have a direct economic impact on:
(a)
A spouse, parent, sibling, or child of the nonelected local official or local employee; or
(b)
A business entity with which any of the following is affiliated:
(i)
The nonelected local official or local employee; or
(ii)
A spouse, parent, sibling, or child of the nonelected local official or local employee.
(3)
The local law may include provisions:
(a)
Authorizing the agency responsible for implementing the law to grant exceptions to the participation restrictions when no conflict of interest exists or when the interest is too remote and insubstantial to affect the integrity of the public actions of the official or employee; and
(b)
Authorizing participation notwithstanding a conflict when the disqualification would leave a body with less than a quorum capable of acting, the disqualified official or employee is required by law to act, or the disqualified official or employee is the only individual authorized to act.
C.
Outside Employment.
(1)
Comparison to Public Ethics Law.
(a)
The local law shall include, for elected local officials, the secondary employment restrictions included in General Provisions Article, §§5-502, 5-503, and 5-504(a), Annotated Code of Maryland.
(b)
When appropriate based on the local government structure and form, the local law may include, for elected local officials, the secondary employment restrictions included in General Provisions Article, §5-514, Annotated Code of Maryland.
(2)
The local law shall prohibit, for local employees and nonelected local officials, outside employment with an entity that:
(a)
Is subject to the authority of the local employee or nonelected local official or of the agency with which the nonelected local official or local employee is affiliated; or
(b)
Is negotiating or has entered a contract with or is a subcontractor on a contract with the agency with which the nonelected local official or local employee is affiliated.
(3)
The local law shall prohibit, for local employees and nonelected officials, outside employment that would impair the impartiality or independent judgment of the nonelected local official or local employee.
(4)
The local law may include provisions authorizing the agency responsible for implementing the law:
(a)
To grant exceptions to the outside employment restrictions when the outside employment does not create a conflict of interest or the appearance of a conflict; and
(b)
To grant limited exemptions to the outside employment restrictions under extraordinary circumstances.
D.
Financial Interests.
(1)
Comparison to Public Ethics law.
(a)
The local law shall include, for elected local officials, the financial interest restrictions included in General Provisions Article, §5-502, Annotated Code of Maryland.
(b)
When appropriate, based on the local government structure and form, the local law may include, for elected local officials, the financial interest restrictions included in General Provisions Article, §5-514, Annotated Code of Maryland.
(2)
The local law shall prohibit, for local employees and nonelected local officials, financial interests in an entity that:
(a)
Is subject to the authority of the local employee or nonelected local official or of the agency with which the nonelected local official or local employee is affiliated; or
(b)
Is negotiating or has entered a contract with or is a subcontractor on a contract with the agency with which the nonelected local official or local employee is affiliated.
(3)
The local law may include provisions authorizing the agency responsible for implementing the law:
(a)
To grant exceptions to the financial interest restrictions when the financial interest does not create a conflict of interest or the appearance of a conflict; and
(b)
To grant limited exemptions to the financial interest restrictions under extraordinary circumstances.
E.
Post-Employment.
(1)
The local law shall include, for former elected local officials, the post-employment restrictions included in General Provisions Article, §5-504(d), Annotated Code of Maryland.
(2)
The local law shall include a restriction on former nonelected local officials' and local employees' activities relating to cases, contracts, or other specific matters in which the former nonelected local officials or former local employees significantly participated in their local positions.
F.
Prestige of Office.
(1)
The local law shall include, for elected local officials, the prestige of office restrictions included in General Provisions Article, §5-506, Annotated Code of Maryland.
(2)
The local law shall prohibit nonelected local officials and local employees from using their official positions or public positions for their private gain or the private gain of another.
G.
Confidential Information.
(1)
The local law shall include, for elected local officials, the restrictions on the use of confidential information included in General Provisions Article, §5-507, Annotated Code of Maryland.
(2)
The local law shall prohibit nonelected local officials and local employees or former nonelected local officials and local employees from using or disclosing, except in the discharge of an official duty, nonpublic information obtained in the course of official local duties for personal economic benefit or the economic benefit of another.
H.
Gifts.
(1)
The local law shall include, for elected local officials, the gift solicitation and acceptance restrictions included in General Provisions Article, §5-505, Annotated Code of Maryland.
(2)
The local law shall prohibit nonelected local officials and local employees from:
(a)
Soliciting gifts; and
(b)
Directly soliciting or facilitating the solicitation of a gift, on behalf of another person, from an individual registered as a lobbyist under the local law.
(3)
The local law shall prohibit nonelected local officials and local employees from accepting gifts from persons regulated by or contracting with the local entity with which the nonelected local official or local employee is affiliated.
(4)
The local law shall define “gift”:
(a)
To include the transfer of anything of economic value, regardless of the form, without adequate and lawful consideration; and
(b)
To exclude contributions as defined in Election Law Article, Annotated Code of Maryland.
(5)
The local law may:
(a)
Include exceptions similar to the exceptions included in General Provisions Article, §5-505, Annotated Code of Maryland; and
(b)
Include provisions to allow the local agency responsible for implementing the local ethics law to grant exceptions and exemptions from the gift acceptance prohibitions similar to the exception and exemption authority granted to the State Ethics Commission in General Provisions Article, §5-505, Annotated Code of Maryland.
(I)
An official or employee may not retaliate against an individual for reporting or participating in an investigation of a potential violation of the local ethics law or ordinance.
Regulation .05 Financial Disclosure.LinkCopy Citation
A.
Unless the Commission grants a county or municipality a modification or exemption as provided in COMAR 19A.04.03.03 in accordance with General Provisions Article, §§5-209 and 5-809, Annotated Code of Maryland, as applicable, the local law shall include financial disclosure requirements as described in this regulation.
B.
Elected Local Officials.
(1)
For elected local officials, the local law shall include financial disclosure requirements for elected local officials that are at least equivalent to the requirements in General Provisions Article, Title 5, Subtitle 6, Annotated Code of Maryland.
(2)
The local law shall require:
(a)
An elected local official who is appointed to fill a vacancy in an office and who has not already filed a statement for the preceding calendar year to file a financial disclosure statement within 30 days of appointment for the preceding calendar year;
(b)
An elected local official who leaves office, other than by reason of death, to file a financial disclosure statement within 60 days after leaving the office for the portion of the current calendar year during which the individual held office and, if a statement has not been filed for the preceding calendar year, for the preceding calendar year; and
(c)
All other elected local officials to file a financial disclosure statement on or before April 30 of each year for the preceding calendar year.
C.
Local Employees and Nonelected Local Officials.
(1)
Unless the Commission grants the county or municipality a modification or exemption as provided in COMAR 19A.04.03.03, in accordance with General Provisions Article, §§5-209 and 5-809, Annotated Code of Maryland, the local law shall require nonelected local officials and local employees who, acting alone or as members or employees of a local entity, have decision making authority or act as principal advisors to a person with that authority in making local policy or exercising quasi-judicial, regulatory, licensing, inspecting, or auditing functions:
(a)
To file an annual statement, on or before a date established in the local law, disclosing gifts received from entities contracting with or regulated by the county or municipality; and
(b)
To file a statement disclosing 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.
(2)
A local law may require local employees and nonelected local officials to file financial disclosure statements disclosing the information that local elected officials are required to disclose under §B of this regulation.
D.
Candidates to Be Elected Local Officials.
(1)
The local law shall require candidates to be elected local officials to file financial disclosure statements disclosing the same information elected local officials are required to disclose under §B of this regulation.
(2)
The local law shall require that candidates to be elected local officials file required financial disclosure statements no later than the filing of the certificates of candidacy for the positions and on or before April 30 of each subsequent year until the election.
E.
The local law shall provide that financial disclosure statements filed under the local law are public records and are available for public inspection and copying.
Regulation .06 Lobbying.LinkCopy Citation
A.
Unless the Commission grants a county or municipality a modification or exemption as provided in COMAR 19A.04.03.03, the local law shall include lobbying provisions as described in this regulation.
B.
Lobbying Registration.
(1)
To be substantially similar to the Public Ethics Law, the local law shall require, at a minimum, that a person who provides elected local officials, appointed officials, or employees with food, entertainment, or other gifts exceeding an amount specified in the local law during a period specified in the local law in connection with efforts to influence official local actions to register as a lobbyist with the agency responsible for implementing the local law on the form provided by that agency.
(2)
The local law shall require that a lobbyist registration shall:
(a)
Identify the lobbyist, the subject matters on which the lobbyist will lobby, and any other person for whom the lobbyist lobbies; and
(b)
Cover a defined period of time, as specified in the local law.
C.
The local law shall require periodic disclosure, including identification of recipients, of food, entertainment, and gifts to elected local officials, nonelected local officials, and local employees, from a lobbyist when the cumulative value of the gifts exceeds an amount specified in the local law.
D.
A local law may adopt provisions similar to the lobbying provisions of General Provisions Article, Title 5, Subtitle 7, Annotated Code of Maryland, including:
(1)
Compensation-based registration criteria, a requirement to report compensation received by a lobbyist for lobbying activities, and rules distinguishing between executive and legislative lobbying efforts;
(2)
Lobbying registration and reporting requirements for lobbying related to regulations, executive orders, and procurement; and
(3)
Registration requirements similar to General Provisions Article, §5-702(1), Annotated Code of Maryland.
E.
To be substantially similar to the Public Ethics Law, the local law shall provide that lobbying registrations and reports are public records and are available for public inspection and copying.
Regulation .07 Enforcement.LinkCopy Citation
A.
A local law shall include sanctions for violations of the substantive provisions of the law.
B.
Consistent with local power and authority, enforcement provisions may include:
(1)
Civil fines;
(2)
Cease and desist orders to enjoin continuation of violations;
(3)
Administrative and personnel sanctions;
(4)
Reprimands;
(5)
Late fees;
(6)
Criminal sanctions; and
(7)
Other sanctions as appropriate in the local jurisdiction.
Chapter annotations
Authority: General Provisions Article, §§5-206 and 5-209 and Title 5, Subtitle 8, Annotated Code of Maryland
History: Effective date: September 14, 1981 (8:18 Md. R. 1481)
History: Regulation .02A and B amended effective January 20, 1992 (19:1 Md. R. 34)
History: Regulation .03A amended effective January 20, 1992 (19:1 Md. R. 34)
History: Regulation .04B amended effective January 20, 1992 (19:1 Md. R. 34)
History: Regulation .05C amended effective January 20, 1992 (19:1 Md. R. 34)
History: Regulations .01—.07 repealed and new Regulations .01—.07 adopted effective April 18, 2011 (38:8 Md. R. 508)
History: Regulation .04A amended effective January 16, 2017 (44:1 Md. R. 12)
History: Regulation .04G amended effective February 7, 2022 (49:3 Md. R. 138)
History: Regulation .04H amended effective July 17, 2017 (44:14 Md. R. 656)
History: Regulation .04I repealed effective January 16, 2017 (44:1 Md. R. 12)
History: Regulation .04I adopted effective February 7, 2022 (49:3 Md. R. 138)
History: Regulation .05A amended effective January 16, 2017 (44:1 Md. R. 12)