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BOARD
AND COMMISSION MEMBERS
(Pursuant to the
Public Ethics Law,
and Code of
A MESSAGE TO MEMBERS OF BOARDS, COMMISSIONS, AND
SIMILAR BODIES
WHO ARE REQUIRED TO FILE DISCLOSURE STATEMENTS
(FORM 2)
Form 2 requires you to disclose interests and activities having connections
with your board. In addition, you
must disclose any salaried employment for you and members of your immediate family
and any business entity wholly-owned by you or a member of your immediate
family.
We
encourage you to file your statement electronically. The electronic filing system displays
directions for each schedule and provides access to the glossary of terms
throughout the process. It will also
direct you toward completion of all of the required information. Finally, the electronic system makes
completing financial disclosure statements in future years much easier as it
automatically populates your form with the information you provided during the
prior filing period.
Please
read the instructions and definitions carefully and be sure to disclose all
information requested for each interest you list on your statement.
As
always, if you have any questions with regard to completion of the form, please
contact this office and our staff will be happy to assist you.
Thank
you for your cooperation.
A. Persons Required to File Statements
In response
to a written request, the State Ethics Commission may exempt any State board or
commission from the financial disclosure requirements and may modify the
disclosure requirements applicable to public officials on boards or commissions
if the Commission finds: (1) because of the nature of the board or commission,
the application of the requirements would constitute an unreasonable invasion
of privacy and would significantly reduce the availability of qualified persons
for public service; and (2) filing would not be necessary to preserve the
purposes of the Public Ethics Law. See
Public Ethics Law § 15-209(a).
B. When to File
1. If you serve
on January 1st of a given calendar year, you must file this disclosure statement
on or before April 30th of that year for the previous calendar year.
2. If you do not
have a current financial disclosure statement on file and are appointed to fill
a vacancy on a non-exempt board or commission or you serve on a board whose status
has changed from exempt to non-exempt, you must file a statement within 30 days after appointment, or 30 days after the designation of that
board as non-exempt.
3. If you serve
on a non-exempt board and leave the board
after January 1 but before filing the regular annual statement due April 30th,
you must file the annual statement (for the preceding calendar year) and, in
addition, identify it as a termination statement for the part of the current
year served. If you leave a board
after filing the statement for the previous calendar year (due April 30th
each year), you must file a termination statement for the portion of the
current calendar year served within 60
days of leaving the board.
C. Reporting Period
Except when filing a termination statement, the reporting
period for any filing is always for the
previous calendar year. If you
are filing a termination report and have filed a report for the previous
calendar year, the reporting period will be from January 1st of the
current calendar year until the last day of service on the board. See Public
Ethics Law § 15-602.
D. Where to Get Forms and Where to File
You may access both the electronic form and the paper/downloadable
version of the form from our website at http://ethics.gov.state.md.us,
or from our office. The Commission
recommends that you complete and submit the form electronically, but if you do
choose to complete the paper form, you will need to submit it notarized, to the
State Ethics Commission,
E. General Definitions (See Public Ethics
Law § 15-102)
"Board or
commission" includes the filer's board or commission and any unit
administered, governed or subject to appellate review by the board or
commission.
"Business or
business entity" means any corporation, general or limited
partnership, limited liability corporation, limited liability partnership, sole
proprietorship (including a private consulting operation that engages in
business), joint venture, unincorporated association or firm, institution,
trust, foundation or other organization, whether or not operated for profit,
regardless of form.
"Doing
business with" means:
(1) being a party to any one or any combination of sales,
purchases, leases or contracts to, from, or with the filer's board or
commission, involving consideration of
at least five thousand dollars ($5,000) on a cumulative basis during the
calendar year for which a required statement is filed (as of the awarding or
execution of a contract or lease, the total then ascertainable consideration
committed to be paid shall be included, regardless of the period of time over
which such payments are to be made) (note that the Commission maintains a
substantial list of businesses that do business with the State);
(2) being a lobbyist or lobbyist employer registered to
lobby before the filer's board or commission (note that a list of registered
lobbyists is maintained by the Commission); or
(3) being regulated by the filer's board or commission.
"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 political campaign contributions regulated in accordance with
the provisions of the Elections Article of the Annotated Code of Maryland, or
any other provision of State law regulating the conduct of elections or the
receipt of political contributions.
"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. Interest does not include:
(1) an interest held in the capacity of a personal
representative, agent, custodian, fiduciary or trustee, unless the holder has
an equitable interest in the subject matter;
(2) an interest in a time or demand deposit in a financial
institution;
(3) an interest in an insurance or endowment policy or
annuity contract under which an insurer
promises to pay a fixed amount of money either in a lump sum or
periodically for life or a specified period; or
(4) a common trust fund or trust that
forms part of a pension or a profit-sharing plan that has more than 25
participants and which is determined by the Internal Revenue Service to be a
qualified trust or college savings plan under the Internal Revenue Code.
"Official"
means either a State or public official (including members of boards and
commissions).
"Person"
includes an individual or business entity.
"Political
contribution" means contributions as that term is defined in §1‑101 of the Election Law Article of the Annotated
Code of Maryland.
"Regulated
by" the filer's board or commission does not include the mere act
of approval or authorization of a corporate or business name by a board or
commission.
“Tenants by the Entirety” means an undivided equal ownership interest with
survivorship rights in real property with one’s spouse.
F. Attributable Interest
Section 15-608 of the Public Ethics Law provides that
certain property and business interests not directly held by a filer are
attributed to the filer and, therefore, must be reported on a financial
disclosure statement. (See Schedules A,
B, and C, questions on "Nature" of interest.) The following interests are attributable to
you and must be disclosed:
o
Your
spouse or child, regardless of whether the child is a dependent, owned a 30% or greater equity interest in any
business entity during the reporting period and that business entity holds a property or business interest which you
would have to report on Schedule A, B, or C if you owned it directly. (This limited attribution does not reduce or
affect in any way the requirement for disclosure on Schedule A of real property
held by a partnership even if the filer holds less than a 30% interest in the
partnership);
o
Your spouse or child holds a property or business
interest which you would have to report on Schedule A, B, or C if you owned it
directly, and you exercised
direct or indirect control over that interest at any time during the
reporting period; and
o
You held
a reversionary interest in a
trust or estate, were the beneficiary of
a trust or estate, or were the settlor
of a revocable trust and the trust holds an interest which you would have to report on Schedule A, B, or C
if you owned it directly.
G. Unknown Information
COMAR 19A.03.01.03J provides that board and commission
members must disclose information if the "member knows or should be
reasonably expected to know [it]."
FORM INSTRUCTIONS
Identifying Information
If you file a paper form, print or type your complete name and the name of the board or
commission on which you serve. If
you are filing electronically, respond to the questions in the space
provided. State your position on the board or commission (i.e., Chairman, member,
alternate, etc.) and provide the complete current business address of the board
or commission. Fill in the year of the reporting period. If this report is for only part of a year
because you are terminating your service on a board or commission, then the
reporting period will cover from January 1 of the current calendar year until your
last day of service on the board or commission.
Signature and Notarization
If you file electronically, at the end of the form you will be asked to
check a box indicating that you understand that your submission of the form is
under oath or affirmation and under the penalty of perjury. You will not be able to submit the electronic
form until you have completed the verification process. If you file a paper form, you must
sign and date the form and have it properly notarized.
SCHEDULE A. Real Property
Report real property interests that you, or a partnership
in which you have an interest, held during the reporting period, if the interest in the real property meets
any one of the following criteria:
· it is subject to a
lease or other contract with your board or commission;
· it is the subject
of a lease or other contract with an entity if the entity has a contract with
the board or commission, or is regulated or licensed by it;
· a co‑owner has
a contract with your board or commission, or is regulated or licensed by it;
· it was negotiated
for sale or lease or was sold or leased to your board or commission during the
reporting period;
· it was held during the reporting period, and you plan to offer it for lease or sale to your
board or commission during the current calendar year;
· you purchased from
or sold to a person having a contract with your board or commission, or who is
regulated or licensed by it; or
· it is regulated by
your board or commission.
You must disclose property you own whether or not you have constructed improvements on it. Schedule A deals with real property interests
only; do not report here your interests in business entities. If real property is held by a corporate or non‑partnership
entity attributable to you or is held by a partnership, list the real property
on this Schedule, and report your interest in the entity on Schedule B, C, or H
(whichever is appropriate).
SCHEDULE B. Interests in Corporations (Including Limited
Liability Corporations (LLCs))
Report interests in corporations
you held during the reporting period, if
the interest meets any one of the following criteria:
·
interests
of greater than 1 percent in entities
regulated or licensed by your board or commission;
·
interests
of greater than 1 percent in entities
negotiating a contract or having a contract with your board or
commission that involves doing business with the State in the amount of $5,000 or more annually;
·
interests
of greater than 1 percent in entities that do business with your board or
commission;
·
interests
of 20 percent or greater in entities in
which an interest is also owned by a person regulated by, contracting with
(in an amount of $5,000 or more annually), licensed by, or lobbying before your board or commission; or
·
interests
of 20 percent or greater in entities
that own a direct financial interest in another entity regulated by,
contracting with (in an amount of $5,000 or more annually), licensed by, or
lobbying before your board or commission.
You need not disclose holdings in an Internal Revenue Service qualified trust or college savings plan, including the State of Maryland § 401(a), § 401(k) and § 457 (deferred compensation) plans and Maryland College Savings Plans, such as 529 investment accounts. Other possible qualified retirement accounts include 403(b) plans. You must determine whether the plan in which you participate meets the requirements for exemption from disclosure.
SCHEDULE C. Interests in Non‑Corporate Business
Entities
Report interests in non‑corporate business entities (including limited liability partnerships
(LLPs)) you held during the reporting period if the interest meets any
one of the following criteria:
· interests of greater
than 1 percent in entities
regulated or licensed by your board or commission;
· interests of greater
than 1 percent in entities negotiating a contract or having a contract with
your board or commission that involves doing business with the State in the
amount of $5,000 or more annually;
·
interests
of greater than 1 percent in entities
that do business with your board or commission;
· interests of 20
percent or greater in entities in which an interest is also owned by a person
regulated by, contracting with (in an amount of $5,000 or more annually),
licensed by, or lobbying before your board or commission; or
· interests of 20
percent or greater in entities that own a direct financial interest in another
entity regulated by, contracting with (in an amount of $5,000 or more annually),
licensed by, or lobbying before your board or commission.
SCHEDULE D. Gifts
Report each gift received by you or by any other person at
your direction in excess of $50 in
value, or a series of
gifts from any one person totaling $100
or more, from or on behalf of, directly or indirectly, any person who does business with or is
regulated by your board or commission, or is registered or required to register
before your board or commission under the lobbying provisions of the Public
Ethics Law. See General
Instructions for the definition of "gift." You need
not report the following:
·
Gifts
from your spouse, children, and parents.
·
Campaign contributions
that are regulated in accordance with the election laws and political
contributions.
SCHEDULE E. Offices, Directorships & Salaried
Employment
Report all offices,
directorships, and salaried employment you, your spouse, or dependent children
held at any time during the reporting period with any business entity doing
business with your board or commission.
You must also list on this
Schedule any other similar interest (such as being a partner) not otherwise
disclosed that you, your spouse, or dependent child held at any time during the
reporting period with an entity that does business with your board or
commission. See the definition of
"doing business with" in the General Instructions.
Report offices, appointments, and employment, etc. you held
in corporate or non‑corporate entities, including partnerships. For example, you must report the presidency
of a corporation or a joint venture or employment as an engineer in a
consulting firm that is a partnership.
SCHEDULE F. Debts
Report all debts you
owed during the reporting period to any person or entity doing business with your
board or commission. You need not
disclose retail credit accounts
including store and bank charge accounts; however, you must disclose installment loans, mortgages, car loans, or
other time debts.
SCHEDULE G. Family Members Employed by Board or
Commission
List in Schedule G all
members of your immediate family (spouse and dependent children) who
were employed by your board or
commission in any capacity at any time during the reporting period.
SCHEDULE H. Employment and Business Ownership
List the name and address of: 1) any employment that you or your spouse
held; 2) any employment held by your dependent child with an entity that did
business with your board or commission; and 3) ownership by you, your spouse,
or dependent child of any business that did business with your board or
commission. Activities that must be
reported on this Schedule include, for example, employment with a corporation,
individual consulting activities, private practices, and business activities
involving income‑producing real property (such as ownership and
management of rental apartment units).
SCHEDULE I. Other
The general conflict of interest provisions in Subtitle 5
of the Public Ethics Law apply to board and commission members. Subtitle 5 of the Public Ethics Law includes
disqualification and employment interest prohibitions, gift solicitation and
acceptance limitations, representational limits, and provisions relating to
misuse of office and official confidential information. You should be aware that some interests or
activities could be violations of the conflict of interest provisions even
though you might not be required to disclose them in Schedules A through
H. Thus, you should also disclose on
this Schedule any additional interests,
not otherwise disclosed, that you believe may create a conflict of interest
between the filer's personal interest and the filer’s duties as a member of the
board or commission.
1/30/2012