MARYLAND STATE ETHICS
COMMISSION
45 Calvert Street, 3rd Floor
Annapolis, MD 21401
410-260-7770
Toll Free 1-877-669-6085
(Including General Activity Report, Gift Reports,
Meals and Receptions Reports, Entity Contributors Reports, Business
Transactions Reports, and Political Contributions Reports)
Form No. 4 applies to both legislative and executive
action lobbying. You must file a
separate Lobbying Activity Report for each registration for each reporting
period during all or part of which you are registered as a lobbyist. If you are registered as a lobbyist for all
or any part of a reporting period (May 1 through October 31 or November 1
through April 30), you must file an activity report for that period even if you
did not engage in any lobbying activities, receive any compensation, are due
any compensation or incur any expenses for lobbying during the reporting period. If you had no activity, you should check the
box in the instruction section at the top of the activity report and complete
Parts A, E, F and G.
A regulated lobbyist who is registered to lobby on behalf
of more than one employer must file a separate form for each employer. Use one activity report form for each
registration. Each form should disclose
all funds expended in support of the lobbying effort.[1] Each expenditure should be reported only
once on the form. If there is more than
one lobbyist for an employer or if both the employer and the lobbyist are
reporting, you should coordinate report preparation with the other party so
that no expenditure is reported on more than one form.
The
report for the period November 1 through April 30 is due by May 31st. The report for the period May 1 through
October 31 is due by November 30th. The statutory registration year is from November 1 to the
following October 31. A person who
registers during any part of the registration year is registered until October
31st unless a registration statement expressly limits the duration
of lobbying activities to a shorter period.
This part of the form includes the
same general identification information as required on the Registration
Form. If there are any changes from the
information on the Registration Form, you must note the changes on the General
Activity Report. If there is any change
to the exemption status of your employer (A-6), please explain the change in
writing.
A-4: This
section asks if the employer or registrant organization is organized and
operated for the primary purpose of attempting to influence legislative or
executive action (grass roots lobbying).
If you answer “yes” to this section, you must also file Ethics Form
Number 12 that requires you to identify those persons or entities that provided
at least five percent of the organization’s total receipts in the previous
twelve months.
A-5(a): The dates in this section should conform to
the dates provided on the Lobbyist Registration form to reflect the period for
which the registration is effective.
A-5(b):
You must be specific in describing the matters on which you have acted
or were employed to act. You are
encouraged to use the bill numbers where applicable. If you need more space to answer completely,
you may attach a separate sheet with a more detailed description.
In this section, you must
report compensation received or to be received and expenses incurred for
all lobbying related activities during the reporting period. A regulated lobbyist engaged in both
executive and legislative action lobbying need not segregate the figures for
these items; a single figure combining expenses for both may be listed for each
item in Part B. If the lobbyist’s
employer is entitled to a reporting exemption, the lobbyist must report all of
the employer’s expenses in support of the lobbying activity. You should consult with your employer
prior to submission of this report to insure accuracy.
B-1: In
this section, you must list the total expense incurred for meals and
beverages for officials or employees or their immediate families. Meal expenses for the lobbyist’s own meals
should be listed in section B-13. Meals
and beverages that are part of special events or meetings are reported in
sections B-2, B-3, B-4 or B-5. With the
exception of B-5, meals and beverages that are not part of the ticket cost are
reported separately in B-1.
B-2: List
the date, location, and total expense incurred for food, beverages, and
incidental expenses for officials of the Legislative Branch to which all
members of any legislative unit[2]
were invited and that were not fully and accurately reported on the
14-day report (Form 13F) filed for that event. You must list the total overall expense for all special
events in the column on the right.
Special caucuses do not qualify as legislative units for purposes of
this report. Events listed in this
section require a documented invitation process. Expenses not meeting the invitation requirement are not reported
in this section. (See the
directions for Forms 13 E and 13 F for specific requirements regarding special
events for legislative units.) Questions regarding this section should be
referred to the State Ethics Commission.
B-3: In
this section, list the date, location and total amount of expenses incurred
for food, lodging, and scheduled entertainment of officials and employees in
return for participation in panels or for speaking engagements at meetings. This section includes the formal role as
a participant on a panel or engagement as a speaker at a meeting that has a
published agenda. It does not
include mere attendance at a meeting or incidental dialogue at a
meeting. If the total amount of
expenditures on any one official or employee is $200 or more for any meeting,
also include the official’s or employee’s name and the amount expended for the
person at the meeting
B-4: This
section requires you to list any expenses for food and beverages for a
member or members of the General Assembly that were provided at geographic
locations of meetings of legislative organizations, to which meetings those
members’ attendance at State expense has been approved by the appropriate
presiding officer. You must list
the location of the meeting, the name of the sponsoring legislative
organization, the date and the total expense.
Do not include funds spent on legislators from other states. Funds spent for the lobbyist’s own meals and
beverages should be included in section B-13.
B-5: You should list expenses for a ticket or
free admission extended to a member of the General Assembly as a
courtesy or ceremony to the office List only the cost or value of admission to
attend a charitable, cultural or political event to which were invited all
members of a legislative unit by the person sponsoring or conducting the event.. Please note that non-elected officials may
not accept tickets to events, and elected officials may not accept tickets to
sporting events, even from holders of the events.
B-6: List
the value of all other gifts (other than food or beverages, special events, or
meetings reported in items B-1, B-2, B-3, B-4 or B-5) made to, or for the
benefit of, officials or employees or their immediate families. Gifts of tickets to events not reported in
B-5 should be included in B-6.
Subtotal of items B-1, B-2. B-3, B-4, B-5 and B-6
and enter.
B-7: List the total compensation paid or to be paid to
the regulated lobbyist for lobbying activities during the reporting
period. If the lobbying activities
addressed in Part B are only a portion of the services for which the employer compensated
the lobbyist, put the prorated amount for lobbying services in this
section. If the reported compensation
has been prorated, check the box below item B-7. If there are multiple-fee or contract lobbyists within a firm
registered for a client, you need to document the basis for the fee allocation.
B-8: List the
total amount of salaries and other compensation paid or to be paid by the
regulated lobbyist to staff for activities during the reporting period. Include expenses incurred by the staff for which
they were reimbursed by the regulated lobbyist or employer.
B-9: List the
total expenses incurred for operating the regulated lobbyist’s office in
connection with lobbying activities included in this report. Office expenses may include rent, telephone,
utilities, transportation, parking, etc.
Do not include expenses reported in items B-7 and B-8. If a fee or contract lobbyist is not billing
office costs directly, it may be sufficient to assume that these costs are
included in the amount reported as compensation.
B-10: List the
total cost of professional and technical research and other assistance
in support of the lobbying activities included in this report. Do not include expenses reported in items
B-7 and B-8.
B-11: List the
total cost of preparing, printing, and distributing publications or
other expenses that expressly encourage people to communicate with officials
or employees for the purpose of influencing legislative or executive action. This may include salaries, contractual employees,
postage, telecommunications, electronic services, advertising, delivery
services, or radio, television or billboard advertising. This amount may be prorated to reflect a
portion of the publication related to lobbying.
B-12: List the names
of each witness and the fees and expenses paid to each. Put the total amount of fees and expenses
paid to all witnesses on the line in the column on the right.
B-13: List the
total amount of all expenses not otherwise reported that were incurred in
support of the lobbying activities included in this report. The lobbyist’s own meals and lodging, and
mileage or travel reimbursements are listed in this section.
Total
of items B-1 through B-13 and place total in the column on the right.
Check the appropriate boxes and
attach the appropriate reports as required.
Sign and have notarized.
The Public Ethics Law requires the Ethics Commission to
notify an official if the official or a member of his or her immediate family
is named in a report. The official may
file a written exception to the inclusion of his or her name. Reports listing gifts to employees or
officials are maintained as confidential for 60 days after receipt. Officials are generally required to disclose
any gifts received from a regulated lobbyist if the gift is valued at more than
$20, or, if they receive a series of gifts with a cumulative value of $100 or
more.
If a regulated lobbyist
provides meals or beverages to an Executive elected official or member of
the official’s immediate family, regardless of the cost, the
lobbyist must file this report identifying the gift recipient and providing
additional information. There is no
dollar threshold regarding meals and beverages provided to executive elected
officials. Meals and beverages
included on this form do not count toward the $75 reporting threshold for Form
13C. All gifts of meals and beverages
to executive elected officials must be reported as to the named recipient, even
if the official is attending a legislative unit special event.
FORM 13B – Lobbyist’s Personal
Expenditure, Elected Executive Officials, Meals and/or Beverages - (§ 15-705)
This report is filed if a
lobbyist has used personal funds, in any amount, unrelated to an employer, to
buy all or part of the cost of a meal or beverage for an elected executive
official or members of the State official’s immediate family.
FORM 13C – Beneficiaries of
Gifts With Cumulative Value of $75 or More – Single Employer- (§ 15-704)
The Public Ethics Law requires
the lobbyist to identify each official or employee, or member of his or her
immediate family, to whom the lobbyist or anyone on his or her behalf has given
gifts with a cumulative value of at least $75 during the reporting period. Gifts must be reported whether or not given
in connection with lobbying activities.
Campaign contributions are not
“gifts” and are, therefore, not
included in this report. Tickets or
free admissions provided to other than an approved legislative unit, or a gift
of two or more tickets or free admissions with a cumulative value of $100 or
more count toward the $75 threshold and are included on this form. Expenses for meals and beverages are gifts
and are reportable on this report if above the $75 threshold and not reportable
on Form 4 (Lobbying Activity Report) in sections B-2, B-3 or B-4. This report does not include gifts that are
reported by name of recipient on Form 13B.
When the cumulative value of
$75 has been reached in a six-month reporting period with respect to any
official or employee, the beneficiary of the gifts must be identified on this
form. This form must also be completed
if the total non-qualifying gifts of multiple registrations for a particular
employer reaches $75, even if a single lobbyist for that employer did not reach
that level. If any of the gifts
reported was only a portion of a gift because it was partially paid by others,
you must note this on the form.
A regulated lobbyist must
disclose the name of an official or employee, and related information, if the
lobbyist has used the funds of one or more employers or the lobbyist’s personal
funds to provide a total of $75 or more in gifts during a reporting
period. The gifts are reported whether
or not they were given in connection with lobbying activities.
If a lobbyist uses personal
funds to purchase gifts for an official or employee who is the spouse or
dependent child of the regulated lobbyist, the lobbyist is not required to
disclose the gift on this report if the gift is purely personal and private in
nature and not related to lobbying activities.
At least five days before a
meal or reception event a regulated lobbyist plans to hold to which all members
of the General Assembly, either house thereof, all members of any standing
committee or all members of a formally recognized county or regional delegation
are invited, the lobbyist must disclose the planned event on this form. (See footnote #2 for a definition of
“formally recognized county or regional delegation.”) In addition to the filing of Form 13E, there must be a written
invitation to all members of the unit sent at least five days prior to the
planned event. If more than one
regulated lobbyist is supporting the same event on behalf of different clients,
separate filings are required by each lobbyist. If the regulated lobbyist is holding an event paid for by more
than one of his or her own clients, one Form 13E may be filed identifying each
employer, the date, location and legislative unit(s) invited. The lobbyist is to file Form 13E with the
Department of Legislative Services, 90 State Circle, Room 200, Annapolis,
Maryland 21401. The Department of
Legislative Services will retain a coy of the report for public inspection and
forward the original Form 13E to the State Ethics Commission.
The regulated lobbyist must
file this report with the State Ethics Commission within 14 days after the
event was held for all members of the General Assembly, either house
thereof, all members of a standing committee, or all members of a formally
designated county or regional delegation.
If all of the required reporting information is not known at the time
the report is due, the regulated lobbyist should include a description of the
event and an estimate of any of the expenses not yet known. If Form 13F is complete and accurate, the
event is not reported on the regular Lobbying Activity Report (Form 4). If Form 13F contains estimates and does not
contain a complete and accurate accounting of the costs for the meal or
reception, the meal or reception event must be reported in Form 4.
If the Lobbying Registration
form or section A-4 on Form 4 is checked yes, the employer or regulated
lobbyist must file this report at the end of each reporting period or at the
time of termination. This form
covers a one-year period. The form is
filed if the employer organization or a regulated lobbyist organization is
organized and operated primarily for the purpose of attempting to influence
legislative or executive action.
The lobbyist must report the name and permanent address of each person
or entity providing at least 5% of the reporting entity’s total receipts in the
preceding twelve month period ending with the last day of the entity’s
registration covered by the report. If
no listing is required because no contribution reached the 5% level, the word
“NONE” should be written on Part C of the report.
On this form, an individual
regulated lobbyist must report any business transaction(s) with a covered
official or related business entity involving the exchange of value of $1,000
or more for a single transaction or of $5,000 or more for a series of
transactions in the previous 6 months.
Officials include the Governor, Lt. Governor, Attorney General,
Secretary of State, Comptroller, State Treasurer or Secretary of a principal
State Department. “Official” also includes
the spouse of the official and the official’s spouse’s business entities in
which the official or spouse participates as a proprietor or partner or if
these persons have a 30% or more ownership interest in the entity. Both direct and indirect transactions must
be included in this report.
An individual regulated
lobbyist must file this report with the Lobbying Activity Report (Form 4) if,
during a lobbying reporting period, the lobbyist made direct or indirect
political contribution(s) to the Governor, Lt. Governor, Attorney General,
Comptroller, member of the General Assembly or a candidate for election to any
of these offices. Indirect
contribution includes, for example, committees in support of the candidate or
slates including the candidate, contribution to a PAC created to support a
specific candidate or group of candidates, a PAC contribution if it is
designated for transfer to a particular candidate or candidates, contribution
by others using your funds or funds under your direction or control, or
possibly a contribution by the lobbyist’s family member.
Lobbyists’ employers are
subject to campaign finance disclosure, and they are required to file forms
designed by and filed with the State Board of Elections. The State Board of Elections forms have a
different reporting period, and they are available from the State Board of
Elections.
Under
COMAR §19A.07.01.06A(5)(a), a regulated lobbyist is required to file this form
if currently representing “a person for compensation before a State governmental
unit, except in a judicial or quasi-judicial proceeding…” Complete this form for each client or
employer represented before a State agency.
Form 23B – Regulated Lobbyist serving on a State Board or Commission
Disclosure of Interest: Business
Relationship with State Government
Under
COMAR §19A.07.01.06A(5)(b), a regulated lobbyist is required to file this form
if currently representing “a State agency for compensation, any contractual
relationship with State government, or any transaction with State government
for monetary consideration…”
Under
COMAR§19a.07.01.06A(5)(c), a regulated lobbyist is required to file this form
if “for any current interest held by the regulated lobbyist, the regulated
lobbyist’s spouse or dependent children, together or separately having either
10 percent or more of the capital stock, or stock worth $25,000 or more, in a
corporation subject to regulation by or doing business with the board or
commission, or any interest in a partnership, limited liability partnership, or
limited liability company subject to regulation by or doing business with the
board or commission…”
May 24,
2006
[1] Be sure to review the directions for Form 13F as you should not include costs for Meals or Receptions
for Legislative Units if the final cost has been reported on Form 13F.
[2] In addition to the General Assembly a legislative unit
means all members of either house, all members of any standing committee
thereof, or all members of a formally recognized (for ethics disclosure
purposes) county or regional delegation.
As of March 1, 2003, the designated geographic delegations
are: Anne Arundel County, Baltimore
City, Baltimore County, Carroll County, Harford County, Howard County,
Montgomery County, Prince George’s County, Lower Eastern Shore, Upper Eastern
Shore, Southern Maryland and Western Maryland.
Due to overlapping election districts, some legislators are part of more
than one delegation. In order for the
reporting exception to apply, all members of a Senate, House, or
combined delegation have to be invited.