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Committee on Government OperationsDecember 5, 2011Second Draft Committee Print

1

A BILL1

__________2

IN THE COUNCIL OF THE DISTRICT OF COLUMBIA3

____________________4

To establish the independent Board of Ethics and Government Accountability5(Ethics Board) to administer and enforce the Code of Conduct, to6

establish the composition of the board, qualifications of board members,7 procedures for removal of board members, terms of appointment,8meetings procedures, investigations procedures, hearings requirements,9penalties for violation of the code of conduct including suspension or10revocation of a member of the Council of the District of Columbias11committee vote or committee chairmanship, provide for local12prosecutorial authority for certain violations of the code of conduct, to13authorize the Board to issue advisory opinions and to provide a safe harbor14for good faith reliance thereon; to empower a Director to conduct the day-15to-day duties of the Ethics Board including investigations of allegations of16violations of the Code of Conduct; to amend the Home Rule Act to waive17

the prohibition against recall during the first and fourth years of an elected18 term for violation of the Code of Conduct, and to reduce to 5 the19percentage of qualified electors needed to initiate a recall against an at-20large member of the Council; to amend the Merit Personnel Act to require21annual training and certification of public officials including the members22of the Ethics Board, and to subject all District employees and officials to23the District Personnel Manual; to redefine the citizen-service program,24restrict by amount and use constituent services funds; to prohibit the25provision of discounted legal and other services to elected officials by26lobbyists, and to require rolling on-line publication of lobbyist27registration; to reduce the number of employees who must file public and28confidential financial disclosures, to require greater disclosure of financial29information from those filers, and to require public officials to certify30compliance with the code of conduct; to establish filing and reporting31requirements for legal defense and charge the Ethics Board with32enforcement; to establish filing and reporting requirements for transition,33and inauguration committees; to establish within the Ethics Board the34independent Open Government Office established by the Open Meetings35Amendment Act and to appoint the director of the Open Government36

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Office, to repeal Chapter 11 of Title 1, and to make ineligible to serve any1Councilmember or Mayor convicted of a felony while in office.2

3BE IT ENACTED BY THE COUNCIL OF THE DISTRICT OF4

COLUMBIA, That this act may be cited as the Board of Ethics and Government5Accountability Establishment and Comprehensive Ethics Reform Amendment6Act of 2011.7

8Table of Contents.9

1011

Sec. 2.1213

TITLE I. ETHICS ACT_____________________________________________ 214

TITLE I. SUBTITLE A. BOARD OF ETHICS AND GOVERNMENT15

ACCOUNTABILITY ESTABLISHMENT_____________________________ 516TITLE I. SUBTITLE B. DIRECTOR OF THE BOARD OF ETHICS17_______________________________________________________________________________________________ 1718TITLE I. SUBTITLE C. CONFLICTS OF INTEREST__________________ 2319TITLE I. SUBTITLE D. LOBBYISTS_________________________________2820TITLE I. SUBTITLE E. FINANCIAL DISCLOSURES AND21HONORARIA____________________________________________________3922TITLE I. SUBTITLE F. CONSTITUENT SERVICES23FUNDS______________________________________________________________________________________ 4724

25TITLE II. _______________________________________________________ 5826

TITLE II. SUBTITLE A. OFFICE OF CAMPAIGN27FINANCE_______________________________________________________6428TITLE II. SUBTITLE B. CAMPAIGN FINANCE29COMMITTEES___________________________________________________6730TITLE II SUBTITLE C. LEGAL DEFENSE FUNDS____________________ 8931TITLE II. SUBTITLE D. CONTRIBUTION32LIMITATIONS___________________________________________________9633TITLE II. SUBTITLE E. PROHIBITED ACTIVITIES AND34ENFORCEMENT________________________________________________10135

36TITLE III. CONFORMING AMENDMENTS AND37

REPEALERS_____________________________________________________________________________ 1033839

TITLE IV. TRANSITION PROVISIONS._____________________________10740

TITLE V. FISCAL IMPACT AND EFFECTIVE DATE _________________108414243

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TITLE I. ETHICS ACT.1Sec. 101. Short title.2

3This title may be cited as the Government Ethics Act of 2011.4

5Sec. 102. Definitions.6

7For the purposes of this act, the term:8

(1) "Administrative Procedure Act" means the District of Columbia9

Administrative Procedure Act, approved October 21, 1968 (82 Stat. 1204; D.C.10

Official Code 2-501 et seq.)11

(2) " Elections Board means the District of Columbia Board of Elections12

established under the District of Columbia Election Code of 1955, approved13

August 12, 1955 (69 Stat. 699; D.C. Official Code 1-1001.01 et seq. and14

redesignated by section 206.15

(3) "Ethics Board" means the District of Columbia Board of Ethics and16

Government Accountability, established under section 103.17

(4) Code of Conduct means those provisions contained in the following:18

(A) Rules 202 and 203 of the Rules of Organization and Procedures19

for the Council of the District of Columbia, Council Period XIX, updated August 8,20

2011;21

(B) Sections 1801 through 1802 of the District of Columbia22

Government Comprehensive Merit Personnel Act of 1978;23

(D) Section 2 of the Official Correspondence Regulations, effective24

April 7, 1977 (D.C. Official Code 2-701 et seq);25

(E) Section 416 of the Procurement Practices Reform Act, effective26

April 11, 2011 (D.C. Official Code 2-354.16).27

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(F) Chapter B 18 of Title 6 of the District of Columbia Municipal1

Regulations.2

(5) "Director of Government Ethics" means the Director of the Ethics Board.3

(6) Employee" means an individual who performs a function of the District4

government and who receives compensation for the performance of such services, or5

a member of a board or commission.6

(7) "Home Rule Act" means the District of Columbia Home Rule Act,7

approved December 24, 1973 (87 Stat. 813; D.C. Official Code 1-201.01 et seq.);8

(8) "Merit Personnel Act" means the District of Columbia Government9

Comprehensive Merit Personnel Act of 1978, effective March 3, 1979 (D.C. Law 2-10

139; D.C. Official Code 1-601.01 et seq.);11

(9) "Open Meetings Act" means the Open Meetings Amendment Act of12

2010, effective March 31, 2010 (D.C. Law 18-350 D.C. Official Code 2-571 et13

seq.);14

(10) Political party means an association, committee, or organization15

which nominates a candidate for election to any office and qualifies under Title I16

of the District of Columbia Election Code of 1955, to have the names of its17

nominees appear on the election ballot as the candidate of that association,18

committee, or organization.19

(11) "Prohibited source" means any person or entity that:20

(A) Has or is seeking to obtain contractual or other business or21

financial relations with the District government;22

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(B) Conducts operations or activities that are subject to regulation1

by the District government; or2

(C) Has an interest that may be favorably affected by the3

performance or non-performance of the employees official responsibilities.4

(12) Public Official means:5

(A) Any candidate for nomination for election, or election, to6

public office;7

(B) The Mayor and the Chairman and each member of the Council8

of the District of Columbia holding office under the Home Rule Act;9

(C) A Representative or Senator elected pursuant to section 4 of10

the District of Columbia Statehood Constitutional Convention Initiative of 1979,11

effective March 10, 1981 (D.C. Law 3-171; D.C. Official Code 1-123);12

(D) Advisory Neighborhood Commissioners;13

(E) Members of the Board of Education;14

(F) Persons serving as subordinate agency heads or serving in15

positions designated as within the Executive Service;16

(G) Each member of those Boards and Commissions listed in17

section 2(e) of the Confirmation Act of 1978, effective March 3, 1979 (D.C. Law18

2-142; D.C. Official Code 1-523.01(e); and19

(H) District of Columbia government employees who earn more20

than $90,000 and who are identified by their subordinate agencies or the21

Chairman of the Council, as appropriate, as making decisions or participating22

substantially in areas of contracting, procurement, administration of grants or23

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subsidies, developing policies, land use planning, inspecting, licensing,1

regulating, auditing, or acting in areas of responsibility which may create a2

conflict of interest or appearance thereof.3

SUBTITLE A. BOARD OF ETHICS AND GOVERNMENT4ACCOUNTABILITY ESTABLISHMENT.5

6Sec. 103. Establishment of the District of Columbia Board of Ethics and7

Government Accountability.8

(a) There is established a District of Columbia Board of Ethics and9Government Accountability (Ethics Board) whose purpose shall be to:10

(1)Administer and enforce the Code of Conduct;11(2)Appoint a Director of the Open Government Office;12(3)Appoint a Director of the Ethics Board ("Director of13

Government Ethics");14

(4)Receive, investigate and adjudicate violations of the Code15of Conduct;16

(5)Conduct mandatory training on the Code of Conduct;17(6) Produce ethics training materials, including summary18

guidelines for all applicable laws and regulations;19

(7) Produce a plain language ethics guide; (8) Issue rules and regulations20

governing the ethical conduct of21

all District employees and public officials;22

(9) Establish an anonymous and confidential telephone hotline23

for the purpose of receiving information related to violations of the Code of24

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Conduct;1

(b) The Ethics Board shall conduct a detailed assessment of Ethical2

guidelines and requirements for public officials and employees to include a3

review of national best practices of government ethics law, and produce, within4

240 days of the effective date of this act, recommendations for amending the5

Code of Conduct. Thereafter, the Ethics Board shall submit recommendations on6

an annual basis. The recommendations shall include whether to:7

(1) adopt local laws that are similar in nature to federal8

ethics laws;9

(2) adopt post-employment restrictions;10

(3) adopt ethics laws pertaining to contracting and11

procurement;12

(4) adopt nepotism and cronyism prohibitions;13

(5) criminalize violations of ethics laws;14

(7) expel a member of the Council of the District of15

Columbia for certain violations of the Code of Conduct;16

(8) regulate campaing contributions from affiliated or17

subsidiary corporations; and18

(9) continue to permit a member of the Council of the19

District of Columbia should be prohibited from holding outside employment.20

(10) any other matter as determined by the Ethics Board.21

Sec. 104. Composition, term, qualifications, removal.22

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(a) The Ethics Board shall consist of 3 members, no more than 2 of whom shall be1

of the same political party, appointed by the Mayor, with the advice and consent2

of the Council. Members shall be appointed to serve for terms of 6 years, except3

the members first appointed under this subtitle. With regard to the members first4

appointed under this subtitle, one member shall be appointed to serve for a one5

year term, one member shall be appointed to serve for a 2-year term, and one6

member shall be appointed to serve for a 3-year term, as designated by the Mayor.7

(b) The Mayor shall designate the Chairman of the Ethics Board.8

(c) Any person appointed to fill a vacancy on the Ethics Board shall be9

appointed10

only for the unexpired term of the member whose vacancy he or she is filling.11

(d) A vacancy shall be noticed in the District of Columbia Register.12

(e) A member may be reappointed, and, if not reappointed, the member13

shall serve until his successor has been appointed and approved.14

(f) When appointing and approving a member of the Ethics Board, the15

Mayor and Council shall consider whether the individual possesses demonstrated16

integrity, independence, and public credibility, and whether the individual has17

particular knowledge, training, or experience in government ethics or in public18

transparency. A person shall not be a member of the Ethics Board unless he or19

she:20

(1) Is a duly registered voter;21(2) Has resided in the District continuously since the22

beginning of the 1-year period ending on the day he or she is appointed; and23

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(3) Holds no other office or employment in the District1government.2

(g) An Ethics Board member shall not:3

(1) Act as a leader or hold any office in a District of Columbia4political organization;5

(2) Make speeches for a District of Columbia political6organization or candidate, or publicly endorse or oppose a District of Columbia7

candidate for public office; or8

(3) Solicit funds for, pay an assessment to, or make a9contribution to a District of Columbia political organization or candidate, or10

attend or purchase a ticket for a dinner or other event sponsored by a District of11

Columbia political organization or candidate.12

(4) Be a lobbyist as that term is defined under section 121.13(5) Use his or her status as a member to directly or indirectly14

attempt to influence any decision of a District government agency, department, or15

instrumentality relating to any action that is not within the Ethics Board's16

purview.17

(6) During the member's tenure on the Ethics Board, be18convicted of having committed a felony in the District of Columbia; or if the19

crime is committed elsewhere, conviction of such offense as would be a felony in20

the District of Columbia.21

(h) (1) The Mayor may remove any member of the Ethics Board who22

engages in any activity prohibited by subsection (f) or (g) of this section or for23

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other good cause, and appoint a new member to serve until the expiration of the1

term of the member so removed. When the Mayor believes that any member has2

engaged in any such activity he or she shall notify the member in writing, and3

deliver by personal service or by certified or registered mail, the charge against4

him or her and advise that the member has 7 days in which to request a hearing5

before the Council on the charge. If the member fails to request a hearing within 76

days after receiving the notice, the Mayor may remove such member and appoint7

a new member.8

(2) The Council shall begin such hearings within 30 calendar days9

after receiving notice from the Mayor indicating that a member has requested a10

hearing. If two-thirds of the Council votes to remove a member, the member shall11

be removed.12

Sec. 105. Meetings.13

(a) (1) The Board shall hold regular monthly meetings in accordance with14

a schedule to be established by the Board. Additional meetings may be called as15

needed by the Board.16

(2) The Board shall provide notice of meetings and shall conduct17

its meetings in compliance with the Open Meetings Amendment Act of 2010,18

effective March 341, 2010 (D.C. Law 18-350, D.C. Official Code 2-517 et seq.)19

Sec. 106. Compensation.20

(a) Each member of the Ethics Board, excluding the Chairperson, shall21receive compensation, as provided in section 1108 of the Merit Personnel Act,22

while actually in the service of the Ethics Board, not to exceed the sum of23

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$12,500 per annum.1

(b)The Chairman of the Ethics Board shall receive compensation, as2provided in section 1108 of the Merit Personnel Act while actually in the service3

of the Ethics Board, not to exceed the sum of $26,500 per annum.4

Sec. 106. Professional staff.5

(a) The Ethics Board shall select, employ, and fix the compensation6for a Director of Government Ethics and such staff as the Ethics Board considers7

necessary, subject to the pay limitations of section 1117 of the Merit Personnel8

Act. The Director of Government Ethics shall serve at the pleasure of the Ethics9

Board. The Ethics Board shall provide employees to carry out the powers and10

duties of the Director of Government Ethics. Employees assigned to the Director11

of Government Ethics shall, while so assigned, be under the direction and control12

of the Director of Government Ethics and may not be reassigned without the13

concurrence of the Director of Government Ethics.14

(b) The Director of Government Ethics shall be a District resident15throughout his or her term and failure to maintain District residency shall result in16

a forfeiture of the position.17

(c) The staff of the Ethics Board shall be subject to the Code of18Conduct and the Ethics Board shall prescribe such regulations as may be19

necessary to ensure that all persons responsible for the proper administration of20

this act maintain a position of strict impartiality and refrain from any activity that21

would imply support or opposition to an Ethics Board investigation.22

(d) The Office of the Auditor, the Office of the Inspector General, and23
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the Office of the Attorney General shall, upon request by the Ethics Board,1

provide staff necessary to conduct investigations pursuant to this act. These2

agencies shall not unreasonably withhold personnel. Staff shall not be provided3

for longer than 90 days unless requested by the Ethics Board.4

Sec. 107. Budget.5

(a)(1) The Director of Government Ethics, with approval by the Ethics6

Board, shall prepare and submit to the Mayor, for inclusion in the annual budget7

of the District of Columbia under part D of title IV of the Home Rule Act for the8

year, annual estimates of the expenditures and appropriations necessary for the9

operation of the Ethics Board for the year. All such estimates shall be forwarded10

by the Mayor to the Council for its action pursuant to sections 446 and 603(c) of11

the Home Rule Act 1-204.46, without revision but subject to recommendations.12

(2) Notwithstanding any other provision of this act, the Council13

may comment or make recommendations concerning such estimates, but shall14

have no authority to revise such estimates.15

(3) Before Fiscal Year 2013, upon the request of any member of the16

Ethics Board, the Mayor shall provide the Ethics Board with suitable office space17

in a publicly owned building for the administration and enforcement of this act.18

Furnishings, information technology services and equipment, and supplies to this19

office space shall also be provided upon request.20

Sec. 108. Quorum; Investigations; Rules.21

(a) A majority of the members shall constitute a quorum to do business,22

and any vacancy shall not impair the right of the remaining members to exercise23

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all the powers of the Ethics Board; provided, that at no time shall a quorum exist1

with fewer than 2 members.2

(b) The Ethics Board may delegate to an individual member or to the3

Director of Government Ethics the power to investigate, or hold a hearing within4

the powers of the Ethics Board.5

(c) The Ethics Board, pursuant to Title 1 of the Administrative Procedure6

Act shall issue rules to implement the provisions of this act.7

Sec. 109. Procedures for investigation; hearing, order, appeal.8

(a) Any hearing under this section shall be of record and shall be held in9accordance with the Administrative Procedure Act.10

(b) The Ethics Board shall issue rules and regulations for the11administration of preliminary investigations, full investigations, and hearings in12

respect to violations of the Code of Conduct.13

(c) Appeals to any order, or fine made by the Ethics Board in14accordance with this act shall be made to the Superior Court of the District of15

Columbia.16

Sec. 110. Penalties; civil and criminal.17

(a)(1) A civil penalty may be assessed by the Ethics Board for a violation18

of the Code of Conduct under paragraph (3) of this subsection of not more than19

$5,000 per violation, or 3 times the amount of an unlawful contribution,20

expenditure, gift, honorarium, or receipt of outside income for each such21

violation. Each occurrence of a violation of this act and each day of22

noncompliance with a requirement of this Act or an order of the Ethics Board23

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shall constitute a separate offense.1

(2) A civil penalty shall be assessed by the Ethics Board by order2

only after the person charged with a violation has been given an opportunity for a3

hearing, and after the Ethics Board has determined, by a decision incorporating its4

findings of facts therein, that a violation did occur. Any hearing under this section5

shall be of record and shall be held in accordance with the Administrative6

Procedure Act.7

(3) Notwithstanding the provisions of paragraph (2) of this8

subsection, the Ethics Board may issue a schedule of fines for violations of this9

act, which may be imposed ministerially by the Director of Government Ethics. A10

civil penalty imposed under the authority of this paragraph may be appealed to the11

Ethics Board in accordance with the provisions of paragraph (2) of this12

subsection. The aggregate set of penalties imposed against each person under the13

authority of this paragraph may not exceed $5,000.14

(4) There is established as a nonlapsing fund the Board of Ethics15

and Government Accountability Fund (Fund), which shall be administered by16

the Ethics Board. The funds in the Fund shall be used by the Ethics Board17

exclusively. All fines collected under subsection this section (and lobbying18

section) by the Ethics Board shall be deposited into the Fund. All funds deposited19

into the Fund, and any interest earned on those funds, shall not revert to the20

unrestricted fund balance of the General Fund of the District of Columbia at the21

end of a fiscal year, or at any other time, but shall be continually available for the22

uses and purposes set forth in paragraph (1) of this subsection without regard to23

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fiscal year limitation, subject to authorization by Congress.(5) In addition to any1

civil penalty imposed under this act, a violation of the Code of Conduct may2

result in remedial action in accordance with the Merit Personnel Act.3

(6) If the person against whom a civil penalty is assessed fails to4

pay the penalty, the Ethics Board shall file a petition for enforcement of its order5

assessing the penalty in the Superior Court of the District of Columbia. The6

petition shall designate the person against whom the order is sought to be7

enforced as the respondent. A copy of the petition shall be sent by registered or8

certified mail to the respondent and his attorney of record, if any, and the Ethics9

Board shall certify and file with the court the record upon which the order sought10

to be enforced was issued. The court shall have jurisdiction to enter a judgment11

enforcing, modifying, and enforcing as so modified, or setting aside in whole or in12

part the order and the decision of the Ethics Board or it may remand the13

proceedings to the Ethics Board for such further action as it may direct. The court14

may determine denovo all issues of law but the Ethics Board's findings of fact, if15

supported by substantial evidence, shall be conclusive.16

(b)(1) Except as provided in subsection (a)(1) of this section, any person17

who violates the Code of Conduct which violation substantially threatens the18

public trust shall be fined not more than $25,000, or shall be imprisoned for not19

longer than one year, but not both.20

(2) Prosecutions of violations of this act shall be brought by the21

Office of the Attorney General, or the United States Attorney for the District of22

Columbia in the name of the United States.23

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(A) Notwithstanding paragraph (2), no prosecution for a1

violation of this act shall be made until such time as the Board has conducted it2

study pursuant to Section 103(b) of this act and the Council has by law specified3

those violations of the code of conduct, which substantially threatens the public4

trust.5

(3) All actions of the Ethics Board, Office of the Attorney General,6

or of the United States Attorney for the District of Columbia to enforce the7

provisions of this act must be initiated within 5 years of the discovery of the8

alleged violation or when it should have been discovered with reasonable9

diligence.(4) Notwithstanding section 110(b)(1), all equitable remedies at law10

shall be available for violations of the Code of Conduct, which may be in addition11

to any civil penalty prescribed in this act.12

Sec. 111. Penalties for public officials.13

(a)(1) Notwithstanding section 110, the Ethics Board shall censure a14

public official for a violation of the Code of Conduct that the Ethics Board finds15

to substantially threaten the public trust.16

(2) The Ethics Board may recommend in such censure that the17

Council suspend or remove a Councilmembers committee chairmanship, if any,18

committee membership, if any, or vote in any committee.19

(b) The Rules of Organization and Procedure for the Council of the20

District of Columbia, Period XIX, updated Augusts 8, 2011 are amended as21

follows:22

(1) New Council Rule 202(e) is added to read as follows:23

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(e) The Council shall convene within 72 hours, or as soon as1

practicable, to consider a censure issued by the Board of Ethics and Government2

Accountability recommending suspension or removal of a members committee3

chairmanship, if any, committee membership, if any, or vote in any committee.".4

Sec. 112. Advisory opinions.5

(a)(1) Upon application made by any employee subject to the Code of6

Conduct, the Ethics Board or the Director of Government Ethics shall provide7

within a reasonable period of time an advisory opinion with respect to any8

specific transaction or activity inquired of, as to whether such transaction or9

activity would constitute a violation of any provision of the Code of Conduct over10

which the Ethics Board has primary jurisdiction.11

(2) Advisory opinions shall be published in the District of12

Columbia Register within 30 days of their issuance; provided, that the identity of13

any person requesting an advisory opinion shall not be disclosed in the District of14

Columbia Register without the persons prior consent in writing. When issued by15

the Director of Government Ethics, an advisory opinion may be appealed for16

consideration by the Ethics Board.17

(3) There shall be no enforcement for a violation of the Code of18

Conduct taken against an employee who relied in good faith upon an advisory19

opinion requested by that employee; provided, that the person, in seeking such20

advice, made full disclosure of all relevant circumstances and information.21

SUBTITLE B. DIRECTOR OF THE BOARD OF ETHICS.2223

Sec. 113. Powers of the director of government ethics.24

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The Director of Government Ethics, approved by the Ethics Board,1

shall have the power:2

(1) To require any person to submit within a reasonable period3and under oath or otherwise as the Director of Government Ethics may determine,4

written reports and answers to questions as the Director of Government Ethics5

may prescribe relating to the administration and enforcement of this act;6

(2) To administer oaths;7

(3) To require by subpoena the attendance and testimony of8

witnesses and the production of all documentary evidence relating to the9

execution of the Ethics Board's duties; provided, that subpoenas issued under this10

paragraph shall be issued by the Director of Government Ethics only upon11

approval of a majority of the Ethics Board and served either personally or by12

certified or registered mail;13

(4) In any proceeding or investigation to order testimony to be14

taken by deposition before any person who is designated by the Director and has15

the power to administer oaths and, in such instances, to compel testimony and the16

production of evidence in the same manner as authorized under this section;17

(5) To pay witnesses the same fees and mileage as are paid in18

like circumstances in the Superior Court of the District of Columbia;19

(6) To institute or conduct, on his or her own motion, an20

informal hearing on alleged violations of the Code of Conduct;21

(7) To retain, on a temporary basis, consultants, including22

attorneys or others on a pro bono basis, as necessary to administer and enforce23

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this act; and1

(8) To require any person to submit through an electronic2

format or medium a report required pursuant to section 131 and subtitles C and D3

prescribed by the Ethics Board by rule.4

Sec. 114. Enforcement of subpoena, Superior Court.5

The Superior Court of the District of Columbia may, upon petition by the6

Ethics Board, in case of refusal to obey a subpoena or order of the Ethics Board7

issued under section 113, issue an order requiring compliance therewith; and any8

failure to obey the order of the Court may be treated by the Court as contempt9

thereof.10

Sec. 115. Preliminary Investigations.11

(a) A preliminary investigation shall involve an examination by the12

Director of a possible violation of the Act, when the possible violation comes to13

the attention of the Director, or the Board is made aware through the following14

sources:15

(1) The media;16

(2) An anonymous tip received through the hotline17

(3) Documents filed with the Board.18

(b) If during or after the preliminary investigation, the Director has reason19

to believe that a violation may have occurred constituting an apparent violation of20

the Code of Conduct, he or she shall present evidence of the violation to the21

Board. Upon presentation of evidence the Board may authorize a formal22

investigationand the issuance of subpoenas if it finds reason to believe a violation23

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has occurred.1

(c) A preliminary investigation may be dismissed by the Director or the2

Board if insufficient evidence exists to support a reasonable belief that a violation3

has occurred.4

(d) The identity of the subject of the preliminary investigation shall not5

be disclosed without such individual's consent unless or until the Board has found6

reason to believe a violation occurred and the Board finds that disclosure would7

not harm the investigation.8

Sec. 116. Formal Investigation.9

(a) A formal investigation shall be initiated upon receipt of a written10

complaint transmitted to the Board, a finding by the Office of the Inspector11

General or District of Columbia Auditor of waste fraud or abuse of government12

resources, or a violation of the Code of Conduct, or a finding by a court of13

competent jurisdiction of liability in a civil proceeding or indictment in a criminal14

proceeding with respect to acts or offenses that may constitute violations of the15

Code of Conduct.16

(b) The initiation of a formal investigation by written complaint shall17

include the following:18

(1) The Complaint shall include the following:19

(A) Full name and address of the complainant and20

the respondent;21

(B) A clear and concise statement of facts that are22

alleged to constitute a violation of the Code of Conduct;23

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(C) Complainant's signature;1

(D) Verification of the complaint under oath; and2

(E) Supporting documentation, if any.3

(2) An individual making a complaint pursuant to this act4

shall be afforded all available protections from adverse employment action or5

retaliation in accordance with the Merit Personnel Act and the Whistleblower6

Reinforcement Act of 1998, effective October 7, 1998 (D.C. Law 12-160; D.C.7

Official Code 2-223.02).8

(c) Within 14 days of the initiation of a formal investigation, the9

Director shall cause evidence concerning the complaint to be presented to the10

Board. If the Board decides that there is reasonable belief that a violation has11

occurred; the Board may authorize the issuance of subpoenas.12

(d) The identity of the subject of the preliminary investigation shall not13

be disclosed without such individual's consent unless or until the Board has found14

reason to believe a violation occurred and the Board finds that disclosure would15

not harm the investigation.16

Sec. 117. Hearings.17

(a) Following the presentation of evidence to the Board by the Director, in18

an adversary proceeding and an open hearing, the Board may:19

(1) Levy a penalty in accordance with section 137;20

(2) Refer such matter to the United States Attorney for the District21

of Columbia or may dismiss the action. In no case may the Board refer22

information concerning an alleged violation of this chapter to the United States23

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Attorney for the District of Columbia without the presentation herein provided by1

the Director.2

(3) Refer such matter to the Office of the Attorney General for3

prosecution. In no case may the Board refer information concerning an alleged4

violation of this chapter to the Office of the Attorney General without the5

presentation herein provided by the Director.6

(a) Should the Director fail to present a matter or advise the Board that7insufficient evidence exists to present such a matter, or that an additional period8

of time is needed to investigate the matter further, the Board may order the9

Director to present the matter as herein provided. The provisions of this Act shall10

in no manner limit the authority of the United States Attorney for the District of11

Columbia.12

(b) No complaint may be made under this section later than 5 years13after the discovery of the alleged violation or when it should have been14

discovered with reasonable diligence.15

Sec. 118. Reports.16

(a)(1)The Director shall produce a quarterly report detailing in as much17

specificity as prudent information related to each allegation, initiated, ongoing18

and concluded formal investigations, referrals, fines, dismissals, and other action19

taken with regard to an allegation of a violation of the Code of Conduct.20

(2) The quarterly report shall be posted on-line.21

Sec. 119. Dismissal of meritless claim, complaint, and request for22

investigation.23

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(a) The Board may dismiss, at any stage of the proceedings, any claim,1complaint, request for investigation, investigation or portion of same, it considers2

without merit.3

(b) In addition, the Board may require an individual making any claim,4

complaint, request for investigation, to pay reasonable fees, for time spent5

reviewing or investigating a claim, complaint, or request for investigation made in6

bad faith and without merit.7

SUBTITLE C. CONFLICTS OF INTEREST8

9Sec. 120. Conflicts of interest.10

11(a) The Congress declares that elective and public office is a public trust,12

and any effort to realize personal gain through official conduct is a violation of13

that trust.14

(b) No employee, member of a board or commission, or public official15

("covered individual") shall use his or her official position or office to obtain16

financial gain for himself or herself, any member of his or her household, or any17

business with which he or she or a member of his or her household is associated,18

other than that compensation provided by law for said covered individual. This19

subsection shall not affect a vote by a public official:20

(1) On any matter which affects a class of persons (such a class21

shall include no less than 50 persons) of which such employee or public official is22

a member if the financial gain to be realized is de minimis;23

(2) on any matter relating to such employee or public official's24

compensation as authorized by law; or25

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(3) regarding any elections law. If an action is taken by any1

department, agency, board, or commission of the District of Columbia, except by2

the Council of the District of Columbia, in violation of this section, such action3

may be set aside and declared void and of no effect, upon a proper order of a court4

of competent jurisdiction.5

(c) No person shall offer or give to a covered individual or a member of a6

covered individuals household, and no covered individual shall solicit or receive7

anything of value, including a gift, favor, service, loan gratuity, discount,8

hospitality, political contribution, or promise of future employment, based on any9

understanding that such covered individual's official actions or judgment or vote10

would be influenced thereby, or where it could reasonably be inferred that the11

thing of value would influence covered individual in the discharge of his or her12

duties, or as a reward, except for political contributions publicly reported pursuant13

to section 210 and transactions made in the ordinary course of business of the14

person offering or giving the thing of value.15

(d) No person shall offer or pay to covered individual, and no covered16

individual shall solicit or receive any money, in addition to that lawfully received17

by the covered individual in his or her official capacity, for advice or assistance18

given in the course of the covered individual's employment or relating to his or19

her employment.20

(e) No covered individual shall use or disclose confidential information21

given in the course of or by reason of his or her official position or activities in22

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any way that could result in financial gain for himself or herself or for any other1

person.2

(f) No member or employee of the Council of the District of Columbia or3

Board of Education of the District of Columbia shall accept assignment to serve4

on a committee the jurisdiction of which consists of matters (other than of a de5

minimis nature) in which he or she or a member of his or her family or a business6

with which he or she is associated, has financial interest.7

(g) Any covered individual who, in the discharge of his or her official8

duties, would be required to take an action or make a decision that would affect9

directly or indirectly his or her financial interests or those of a member of his or10

her household, or a business with which he or she is associated, or must take an11

official action on a matter as to which he or she has a conflict situation created by12

a personal, family, or client interest, shall:13

(1) Prepare a written statement describing the matter requiring14

action or decision, and the nature of his or her potential conflict of interest with15

respect to such action or decision;16

(2) Cause copies of such statement to be delivered to the Ethics17

Board, and to his or her immediate superior, if any;18

(3) If he or she is a member of the Council of the District of19

Columbia or member of the Board of Education of the District of Columbia, or20

employee of either, deliver a copy of such statement to the Chairman thereof, who21

shall cause such statement to be printed in the record of proceedings, and, upon22

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request of said member or employee, shall excuse the member from votes,1

deliberations, and other action on the matter on which a potential conflict exists;2

(4) If he or she is not the Mayor or a member of the Council of the3

District of Columbia, his or her superior, if any, shall assign the matter to another4

employee who does not have a potential conflict of interest, or, if he or she has no5

immediate superior, except the Mayor, he or she shall take such steps as the6

Ethics Board prescribes through rules and regulations to remove himself or7

herself from influence over actions and decisions on the matter on which potential8

conflict exists; and9

(5) During a period when a charge of conflict of interest is under10

investigation by the Ethics Board, if he or she is not the Mayor or a member of the11

Council of the District of Columbia or a member of the Board of Education, his or12

her superior, except the Mayor, if any, shall have the arbitrary power to assign the13

matter to another employee who does not have a potential conflict of interest, or if14

he or she has no immediate superior, he or she shall take such steps as the Ethics15

Board shall prescribe through rules and regulations to remove himself or herself16

from influence over actions and decisions on the matter on which there is a17

conflict of interest.18

(h) Neither the Mayor nor any member of the Council of the District of19

Columbia may represent another person before any regulatory agency or court of20

the District of Columbia while serving in such office. The preceding sentence21

does not apply to an appearance by such an official before any such agency or22

court in his or her official capacity or to the appearance by a member of the23

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Council (not the Chairman) licensed to practice law in the District of Columbia,1

before any court or non-District of Columbia regulatory agency in any matter2

which does not affect his or her official position.3

(h-1)(1) No member of a board or commission shall be eligible for4

appointment by the members of that board or commission to any paid office or5

position under the supervision of that board or commission.6

(2) No former member of a board or commission shall be eligible for7

appointment to any paid office or position under the supervision of the board or8

commission on which he or she served, unless:9

(A) At least 45 days have passed since the date of termination of10

his or her service as a member of the board or commission; and11

(B) He or she has followed the same employment application12

requirements required of other applicants for the paid office or position.13

(i) As used in this section, the term:14

(1) Business means any corporation, partnership, sole proprietorship,15

firm, enterprise, franchise, association, organization, self-employed individual,16

holding company, joint stock, trust, and any legal entity through which business is17

conducted for profit.18

(2) Business with which he or she is associated means any business of19

which the person or member of his or her household is a director, officer, owner,20

employee, or holder of stock worth $1,000 or more at fair market value, and any21

business which is a client of that person.22

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(3) Employee" means an individual who performs a function of the District1

government and who receives compensation for the performance of such services, or2

a member of a board or commission.3

(4) Household means the public official and his or her immediate4

family.5

(5) Immediate family means the public official's spouse or domestic6

partner and any parent, brother, or sister, or child of the public official, and the7

spouse or domestic partner of any such parent, brother, sister, or child.8

Subtitle D. LOBBYISTS.9

Sec. 121. Definitions.10

For the purposes of this subtitle, the term:11

(1) Administrative decision means any activity directly related to12

action by an executive agency to issue a Mayors order, to cause to be undertaken13

a rule-making proceeding (which does not include a formal public hearing) under14

the Administrative Procedure Act, or to propose legislation or make nominations15

to the Council, the President, or the Congress.16

(2) Compensation means any money or an exchange of value17

received, regardless of its form, by a person acting as a lobbyist.18

(3) Executive agency means a department, agency, or office in19

the executive branch of the District of Columbia government under the direct20

administrative control of the Mayor; the Board of Education or any of its21

constituent elements; the University of the District of Columbia or any of its22

constituent elements; the Elections Board; and any District of Columbia23

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professional licensing and examining board under the administrative control of1

the executive branch.2

(4) Expenditure means any money or an exchange of value3

regardless of its form.4

(5) Gift means a payment, subscription, advance, forbearance,5

rendering, or deposit of money, services, or anything of value, unless6

consideration of equal or greater value is received, and shall not include a political7

contribution otherwise reported as required by law, a commercially reasonable8

loan made in the ordinary course of business, or a gift received from a member of9

the persons household as defined by section 120(i)(4).10

(6) Legislative action includes any activity conducted by an11

official in the legislative branch in the normal course of carrying out his or her12

duties as such an official, and relating to the introduction, passage, or defeat of13

any legislation in the Council.14

(7)(A) Lobbying means communicating directly with any15

official in the legislative or executive branch of the District of Columbia16

government with the purpose of influencing any legislative action or an17

administrative decision.18

(B) As used in this subtitle, the term lobbying shall not19

include:20

(i) The appearance or presentation of written21

testimony by a person in his or her own behalf, or representation by an attorney22

on behalf of any such person in a rule-making (which includes a formal public23

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hearing), rate-making, or adjudicatory hearing before an executive agency or the1

Tax Assessor;2

(ii) Information supplied in response to written3

inquiries by an executive agency or the Council of the District of Columbia or any4

public official;5

(iii) Inquiries concerning only the status of specific6

actions by an executive agency or the Council of the District of Columbia;7

(iv) Testimony given before a committee of the8

Council of the District of Columbia or before the Council of the District of9

Columbia, during which a public record is made of such proceedings or testimony10

submitted for inclusion in such a public record;11

(v) A communication made through the12

instrumentality of a newspaper, television, or radio of general circulation or a13

publication whose primary audience is the organizations membership; and14

(vi) Communications by a bona fide political party15

as defined in section 102(h).16

(8) Lobbyist means any person who engages in lobbying. Public17

officials communicating directly or soliciting others to communicate with other18

public officials shall not be deemed lobbyists for the purposes of this subchapter,19

so long as such public officials do not receive compensation in addition to their20

salary for such communications or solicitations and make such communications21

and solicitations in their official capacity.22

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(9) Official in the executive branch means the Mayor, any officer or1

employee in the Executive Service, persons employed under the authority of 1-2

609.01 through 1-609.03 (except 1-609.03(a)(3)) paid at a rate of GS-13 or3

above in the General Schedule or equivalent compensation under the provisions4

of subchapter XI of Chapter 6 of this title or designated in 1-609.08 (except5

paragraphs (9) and (10) of that section) or members of boards and commissions6

designated in section 2(e) of the Confirmation Act of 1978, effective March 3, 19797

(D.C. Law 2-142; D.C. Official Code 1-523.01(e) .8

(10) Official in the legislative branch means any candidate for9

Chairman or member of the Council in a primary, special, or general election, the10

Chairman or Chairman-elect or any member or member-elect of the Council,11

officers and employees of the Council appointed under the authority of 1-12

609.01 through 1-609.03 or designated in 1-609.08.13

(11) Public official means any official in the executive, judicial,14

or legislative branch of the District of Columbia government.15

(12) Registrant means a person who is required to register as a16

lobbyist under the provisions of section 122.17

Sec. 122. Persons required to register.18

(a) Except as provided in section 123, a person shall register with the19

Director of Government Ethics pursuant to section 144 and pay the required20

registration fee if the person receives compensation or expends funds in an21

amount of $250 or more in any 3-consecutive-calendar-month period for22

lobbying. A person who receives compensation from more than one source shall23

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register under this section if such person receives an aggregate amount of $250 or1

more in any 3-consecutive-calendar-month period for lobbying. Failure to register2

as required by this section shall result in a civil penalty..3

(b)(1) Except as provided in paragraph (2) of this subsection, the4

registration fee for lobbyists shall be $250.5

(2) The registration fee for lobbyists who lobby solely for6

nonprofit organizations shall be $50.7

(c)(1) There is established as a nonlapsing fund the Lobbyist8

Administration and Enforcement Fund (Fund), which shall be administered by9

the Ethics Board. The funds in the Fund shall be used by the Ethics Board solely10

for the purpose of administering and enforcing this subchapter.11

(2) All fees collected under subsection (b) of this section by the12

Ethics Board shall be deposited into the Fund. All funds deposited into the Fund,13

and any interest earned on those funds, shall not revert to the unrestricted fund14

balance of the General Fund of the District of Columbia at the end of a fiscal year,15

or at any other time, but shall be continually available for the uses and purposes16

set forth in paragraph (1) of this subsection without regard to fiscal year17

limitation, subject to authorization by Congress.18

Sec. 123. Exceptions.19

(a) A person need not register with the Director pursuant to section 124 if20

the person is:21

(1) A public official, or an employee of the United States acting in22

his or her official capacity;23

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(2) A publisher or working member of the press, radio, or1

television who in the ordinary course of business disseminates news or editorial2

comment to the general public;3

(3) Any candidate, member, or member-elect of an Advisory4

Neighborhood Commission; or5

(4) Any entity specified in D.C. Official Code 47-1802.01(4), no6

activities of which include lobbying, the result of which shall inure to the7

financial gain or benefit of the entity.8

(b) Any person who is exempt from registration under any provision of9

this section, except a person exempt from registration under the provisions of10

subsection (a)(1) of this section, may be a registrant for other purposes under this11

subchapter; provided, that no such activity engaged in by such person shall12

constitute a conflict of interest under the provisions of section 120. Registrants13

have no obligation to report activities in furtherance of exempt activities under14

this section in activity reports required under section 125.15

Sec. 124. Registration form.16

(a) Each registrant shall file a registration form with the Director of17

Government Ethics, signed under oath, on or before January 15th of each year, or18

not later than 15 days after becoming a lobbyist (and on or before January 15th of19

each year thereafter). If the registrant is not an individual, an authorized officer or20

agent of the registrant shall sign the form. A registrant must file a separate21

registration form for each person from whom he or she receives compensation.22

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(b)(1) Such registration shall be on a form prescribed by the Director of1

Government Ethics and shall include:2

(A) The registrants name, permanent address, and temporary3

address while lobbying;4

(B) the name and address of each person who will lobby on the5

registrants behalf;6

(C) the name, address, and nature of the business of any person7

who compensates the registrant and the terms of the compensation; and8

(D) the identification, by formal designation if known, of matters9

on which the registrant expects to lobby.10

(2) The Director of Government Ethics shall publish on or before February11

15th and on or before August 15th of each year a summary of all information12

required to be submitted under this subsection in the District of Columbia13

Register.14

(c) Not later than 10 days after a registrant files a registration form with15

the Director of Government Ethics, the Director of Government Ethics shall16

publish on the Ethics Board's website a summary of all information required to be17

submitted under this section.18

Sec. 125. Activity reports.19

(a) Each registrant shall file with the Director of Government Ethics20

between the 1st and 10th day of July and January of each year a report signed21

under oath concerning his or her lobbying activities during the previous 6-month22

period. If the registrant is not an individual, an authorized officer or agent of the23

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beneficiary, amount, and circumstances of the transaction; including the aggregate1

of all such expenditures that are less than $50;2

(4) Each official in the executive or legislative branch and any3

member of such officials staff, including personal and committee staff, who has a4

business relationship or a professional services relationship with the registrant5

shall be identified by name and nature of his or her business relationship with the6

registrant;7

(5) Each official in the executive or legislative branch with whom8

the registrant has had written or oral communications (during the reporting9

period) related to lobbying activities conducted by the registrant shall also be10

included in such report, identifying the official with whom the communication11

was made; and12

(6) Each person whom the registrant has given compensation to13

lobby on his or her behalf shall also be listed in such report.14

(b) Each registrant shall obtain and preserve all accounts, bills, receipts,15

books, papers, and documents necessary to substantiate the activity reports16

required to be made pursuant to this section for 5 years from the date of filing of17

the report containing such items. These materials shall be made available for18

inspection upon requests by the Director after reasonable notice.19

(c) Each registrant who does not file a report required by this section for a20

given period is presumed not to be receiving or expending funds which are21

required to be reported under this subchapter.22

Sec. 126. Prohibited activities.23

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(a) No registrant or anyone acting on behalf of a registrant shall offer,1

give, or cause to be given a gift or service to an official in the legislative or2

executive branch or a member of his or her staff, that exceeds $100 in value in the3

aggregate in any calendar year. This section shall not be construed to restrict in4

any manner contributions authorized in sections 131, 229, 230.5

(b) No official in the legislative or executive branch or a member of his or6

her staff shall solicit or accept anything of value in violation of subsection (a) of7

this section.8

(c) No person shall knowingly or willfully make any false or misleading9

statement or misrepresentation of the facts (relating to pending administrative10

decisions or legislative actions) to any official in the legislative or executive11

branch, or knowing a document to contain a false statement (relating to pending12

administrative decisions or legis-lative actions), cause a copy of such document to13

be transmitted to an official in the legislative or executive branch without14

notifying such official in writing of the truth.15

(d) No information copied from registration forms and activity reports16

required by this subchapter or from lists compiled from such forms and reports17

shall be sold or utilized by any person for the purpose of soliciting campaign18

contributions or selling tickets to a testimonial or similar fundraising affair or for19

any commercial purpose.20

(e) No public official shall be employed as a lobbyist while acting as a21

public official, except as provided in section 123.22

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(f) No lobbyist or registrant, as those terms are defined in section 121(8)1

and (12), or person acting on behalf of the lobbyist or registrant, shall provide2

legal representation, or other professional services, to an official in the legislative3

or executive branch, or to a member of his or her staff, at no cost or at a rate that4

is less than the lobbyist or registrant would routinely bill for the representation or5

service in the marketplace.6

Sec. 127. Penalties; prohibition from serving as lobbyist; citizen suits.7

(a) Notwithistanding section 110 of this act, any person who willfully and8

knowingly violates any of the provisions of this subtitle, except as provided in9

subsection (c) of this section, shall be fined not more than $5,000, or imprisoned10

for not more than 12 months, or both.11

(b) In addition to the penalties provided for in subsection (a) of this12

section, any person convicted of the misdemeanor specified therein may be13

prohibited, for a period of 3 years from the date of such conviction, from serving14

as a lobbyist.15

(c) Any person who files a report or registration form required under this16

subtitle, in other than a timely manner, shall be assessed a civil penalty of $10 per17

day up to 30 days (excluding Saturdays, Sundays, and holidays) the report or18

registration form is late. The Ethics Board may waive the penalty imposed under19

this subsection for good cause shown.20

(d) Should any provision of this part not be enforced by the Ethics Board,21

a citizen of the District of Columbia may bring suit in the nature of mandamus in22

the Superior Court of the District of Columbia, directing the Ethics Board to23

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enforce the provisions of this subtitle. Reasonable attorneys fees may be awarded1

to the citizen against the District should he or she prevail in this action, or if it is2

settled in substantial conformity with the relief sought in the petition, prior to3

order by the Court.4

SUBTITLE E. FINANCIAL DISCLOSURES AND HONORARIA.5

Sec. 128. Public reporting.6

(a) A public official shall file annually with the Ethics Board a public7

report containing a full and complete statement of:8

(1) the name of each business entity (including sole9

proprietorships, partnerships, trusts, non-profit organizations, and corporations),10

whether or not transacting any business with the District of Columbia11

government, in which the public official or his or her spouse, domestic partner, or12

dependent children:13

(A) has a beneficial interest (including whether held in such14

person's own name, in trust, or in the name of a nominee, securities, stocks, stock15

options, bonds, trusts) exceeding in the aggregate $1,000, or that produced16

income of $200;17

(B) honoraria and income earned for services rendered18

during a calendar year in excess of $200, as well as the identity of any client for19

whom the official performed a service in connection with the official's outside20

income if the client has a contract with the government of the District of21

Columbia or the client stands to gain a direct financial benefit from legislation22

that was pending before the Council during the calendar year. For the purpose of23

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this subsection, "outside income" means any fixed payment at regular intervals for1

services rendered, self-employment, and royalties for any publication;2

(C) serves as an officer, director, partner, employee,3

consultant, contractor, volunteer or in any other formal capacity or affiliation;4

(D) has an agreement or arrangement for a leave of5

absence, future employment, including date of agreement, or continuation of6

payment by a former employer.7

(2) any outstanding individual liability in excess of $1,000 for8

borrowing by the public official or his or her spouse, domestic partner, or9

dependent children from anyone other than a federal or state insured or regulated10

financial institution (including any revolving credit and installment accounts from11

any business enterprise regularly engaged in the business of providing revolving12

credit or installment accounts) or a member of the person's immediate family;13

(3) all real property located in the District of Columbia (and its14

actual location) in which the public official or his or her spouse, domestic partner,15

or dependent children, has an interest with a fair market value in excess of $1,000,16

or which real estate produced income of $200; provided, however, that this17

provision shall not apply to personal residences actually occupied by the public18

official or his or her spouse or domestic partner;19

(4) all professional or occupational licenses issued by the District20

of Columbia government held by a public official or his or her spouse, domestic21

partner, or dependent children;22

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(5) all gifts received in an aggregate value of $100 in a calendar1

year by a public official from a prohibited source, whether or not transacting any2

business with the District of Columbia government;3

(6) an affidavit stating that the subject candidate or office holder4

has not caused title to property to be placed in another person or entity for5

purposes of avoiding the disclosure requirements of this subsection;6

(7) A public official shall certify with such disclosure, that he or7

she has:8

(A) Filed and paid his or her income and property taxes;9

(B) Filed the required financial and other disclosure10

statements with the Office of Campaign Finance and the Ethics Board;11

(C) Diligently engaged in safe-guarding the assets of the12

taxpayers and the District;13

(D) Reported known illegal activity, including attempted14

bribes, to the appropriate authorities;15

(E) Not been offered or accepted any bribes;16

(F) Not directly or indirectly received government funds17

through illegal or improper means;18

(G) Not raised or received funds in violation of federal or19

District law; and20

(H) Not received or been given anything of value, including21

a gift, favor, service, loan gratuity, discount, hospitality, political contribution, or22

promise of future employment, based on any understanding that such public23

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official's official actions or judgment or vote would be influenced thereby, and no1

such official shall bias, favor, or benefit through any legislative action or an2

administrative decision the contributor of the thing of value.3

(8) The Ethics Board may, on a case-by-case basis, exempt a4

public official from this requirement or some portion of this requirement for good5

cause shown.6(b) Except as otherwise provided by this section, all papers filed under7

this section shall be kept by the Ethics Board in the custody of the Director for not8

less than 4 years. Upon receipt of a request by any member of the Ethics Board9

adopted by a recorded majority vote of the full Ethics Board requesting the10

examination and audit of any of the reports filed by any individual under this11

section, the Director shall transmit to the Ethics Board the envelopes containing12

such reports. Within a reasonable time after such recorded vote has been taken,13

the individual concerned shall be informed of the vote to examine and audit, and14

shall be advised of the nature and scope of such examination. If, upon such15

examination, the Ethics Board determines that further consideration by the Ethics16

Board is warranted and within the jurisdiction of the Ethics Board, or the Director17

of Government Ethics or General Counsel of the Ethics Board which is required18

for the discharge of his or her official duties, the Ethics Board may receive the19

papers as evidence, after giving to the individual concerned due notice and20

opportunity for hearing in a closed session. The Ethics Board shall publicly21

disclose not later than the 1st day of June each year the names of the candidates,22

officers, and employees who have filed a report. The Director of Government23

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Ethics shall dispose of papers filed pursuant to this section in accordance with1

Chapter 17 of Title 2.2

(c)(1) Reports required by this section (other than reports so required by3

candidates) shall be filed no later than October 1st of each year. In the case of any4

person who ceases, prior to such date in any year, to occupy the office or position,5

the occupancy of which imposes upon him or her the reporting requirements6

contained in subsection (a) of this section, he or she shall file such report on the7

last day he or she occupies such office or position, or on such later date, not more8

than 3 months after such last day, as the Ethics Board may prescribe. The Ethics9

Board shall publish, in the District of Columbia Register, not later than the 15th10

day of June each year, the name of each candidate, officer, and employee who has11

filed a report under this section; the name of each candidate, officer, and12

employee who has sought and received an extension of the deadline filing13

requirement and the reason therefor; and the name of each candidate, officer, and14

employee published in the District of Columbia Register under subsection (c) of15

this section who has not filed a report and the reason for not filing, if known. The16

Director of Government Ethics shall dispose of papers filed pursuant to this17

section in accordance with Chapter 17 of Title 2.18

(d) Reports required by this section shall be in such form and detail as the19

Ethics Board may prescribe. The Ethics Board may provide for the grouping of20

items of income, sources of income, assets, liabilities, dealings in securities or21

commodities, and purchases and sales of real property, when separate itemization22

is not feasible or is not necessary for an accurate disclosure of the income, net23

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worth, dealing in securities and commodities or purchases, and sales of rental1

property of any individual.2

(e) All public reports filed under this section shall be maintained by the3

Ethics Board as public records which, under such reasonable regulations as it4

shall prescribe, shall be available for inspection by members of the public.5

(f) For the purposes of any report required by this section, an individual6

shall be considered to have been a public official, if he or she has served as a7

public official for more than 30 days during any calendar year in a position for8

which financial disclosure reports are required under this part.9

(g) For purposes of this section, the term:10

(1) Income means gross income as defined in 61 of the Internal11

Revenue Code of 1954.12

(2) Security means security as defined in 2 of the Securities13

Act of 1933, as amended (15 U.S.C. 77b).14

(3) Commodity means commodity as defined in 2 of the15

Commodities Exchange Act, as amended (7 U.S.C. 2).16

(4) Transactions in securities or commodities means any17

acquisition, holding, withholding, use, transfer, or other disposition involving any18

security or commodity.19

(5) Immediate family means the child, parent, grandparent,20

brother, or sister of an individual, and the spouse or domestic partner of such21

person.22
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(6) Tax means the taxes imposed under Chapter 1 of the Internal1

Revenue Code of 1954, under the District of Columbia Revenue Act of 1947, and2

under the District of Columbia Public Works Act of 1954 and any other provision3

of law relating to the taxation of property within the District of Columbia.4

(7) Gift means a payment, subscription, advance, forbearance,5

rendering or deposit of money, services or anything of value, unless consideration6

of equal or greater value is received and shall not include a political contribution7

otherwise reported as required by law, a commercially reasonable loan made in8

the ordinary course of business, or a gift received from a member of the person's9

immediate family.10

(h) The Ethics Board shall provide for the annual auditing of all reports11

filed under the authority of this subsection.12

(i) The Mayor shall develop a list of of each business entity (including13

sole proprietorships, partnerships, trusts, non-profit organizations, and14

corporations), transacting any business with the District of Columbia government,15

or providing a service to the District for consideration, to include the business16

name, address, principals, and brief summary of the business transacted within the17

immediately preceding 6 months. The list shall be available online and first18

published on July 2012 and every 6 months thereafter.19

Sec. 129. Confidential disclosure of financial interest.20

(a)(1) Any employee, other than a public official, who advises in areas of21

contracting, procurement, administration of grants or subsidies, developing22

policies, land use planning, inspecting, licensing, regulating, auditing, or acting in23

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Councilmember, or a member of the Board of Education and his or her spouse.1

For the purpose of computing the $10,000 limit on honoraria established under2

this subsection, an honorarium shall be considered received in the year in which3

the right to receive the honorarium accrues.4

(b) Except as provided in subsection (d) of this section, neither the Mayor,5

the Chairman of the Council, nor any member of the Mayor's or of the Chairman6

of the Council's immediate family, as that term is defined in section 120(i)(5)7

shall accept royalties for the works of the Mayor or of the Chairman of the8

Council that exceed $10,000 in the aggregate during any calendar year. For the9

purpose of computing the limit on royalties established under this subsection, a10

royalty shall be considered received during the calendar year in which the right to11

receive the royalty accrues.12

(d) For the purpose of this section, any royalty or part of a royalty, or any13

honorarium or part of an honorarium paid to a charitable organization by or on14

behalf of any of the foregoing public officials shall not be calculated as part of an15

aggregate total.16

SUBTITLE F. CONSTITUENT SERVICES FUNDS.17

Sec. 131. Constituent Services Funds.1819

(a) The Mayor, the Chairman of the Council, and each member of the20

Council may establish constituent-service programs within the District of21

Columbia. The Mayor, the Chairman of the Council, and each member of the22

Council may finance the operation of such programs with contributions from23

persons; provided, that contributions received by the Mayor, the Chairman of the24
http://web2.westlaw.com/find/default.wl?referencepositiontype=T&docname=DCCODES1-1106.01&rp=%2ffind%2fdefault.wl&sv=Split&rs=WLW11.10&db=1000869&tf=-1&findtype=L&fn=_top&mt=20&vr=2.0&referenceposition=SP%3befae0000ab2f1&pbc=F7A0C36F&tc=-1&ordoc=10360290http://web2.westlaw.com/find/default.wl?referencepositiontype=T&docname=DCCODES1-1106.01&rp=%2ffind%2fdefault.wl&sv=Split&rs=WLW11.10&db=1000869&tf=-1&findtype=L&fn=_top&mt=20&vr=2.0&referenceposition=SP%3befae0000ab2f1&pbc=F7A0C36F&tc=-1&ordoc=10360290

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Council, and each member of the Council do not exceed an aggregate amount of1

$40,000 in any one calendar year. The Mayor, the Chairman of the Council, and2

each member of the Council may expend a maximum of $40,000 in any one3

calendar year for such programs. No person shall make any contribution which,4

and neither the Mayor, the Chairman of the Council, nor any member of the5

Council shall receive any contribution from any person which, when aggregated6

with all other contributions received from such person, exceed $500 per calendar7

year; provided, that such $500 limitation shall not apply to contributions made by8

the Mayor, the Chairman of the Council, or any member of the Council for the9

purpose of funding his or her own constituent-service programs within the District10

of Columbia. The Mayor, the Chairman of the Council, and each member of the11

Council shall file a quarterly report of all contributions received and monies12

expended in accordance with this subsection with the Director of Campaign13

Finance. No campaign activities shall be conducted nor shall campaign literature14

or paraphernalia be distributed as part of constituent-service programs conducted15

pursuant to this subsection.16

(b)(1) Funds raised pursuant to this section shall be expended only for an17

activity, service, or program which provides emergency, informational, charitable,18

scientific, educational, medical, or recreational services to the residents of the19

District of Columbia and which expenditure accrues to the primary benefit of20

residents of the District of Columbia.21

(2) Allowable expenditures include:22

(A) Funeral arrangements;23

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(B) Emergency housing;1

(C) Past due utility payments;2

(D) Food and refreshments or an in-kind equivalent on3

infrequent occasions;4

(E) Community events sponsored by the constituent-service5

program or an entity other than the District government;6

(F) Community-wide events; and7

(G) Printed, electronic and telephonic information8

dissemination of community-wide, government based activities,9

(3) Disallowable expenditures include:10

(A) Promoting or opposing, as a primary purpose, a11

political party, committee, candidate, or issue;12

(B) Fines and penalties inuring to the District;13

(C) Any expenditure of cash or cash equivalent;14

(D) Advertisements;15

(E) Sponsorships for political organizations; and16

(F) Year-long or season admissions to theatrical, sporting,17

or cultural events.18

(c) Upon the request of any member of the Council, the Mayor shall19

provide the member with suitable office space in a publicly owned building for20

the operation of a constituent-service program office located in the ward21

represented by the member. Each at-large member of the Council shall be offered22

constituent-service office space located in a ward of the member's choice.23

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Members shall be provided with space of approximately equivalent square1

footage, and in similar proximity to commercial corridors and public2

transportation where practicable. The space provided shall also be easily3

accessible by persons with disabilities or persons who are elderly. Any space so4

provided shall not be counted as an in-kind contribution. Furnishings, equipment,5

telephone service, and supplies to this office space shall be provided from funds6

other than appropriated funds of the District of Columbia government.7

(d) Every constituent-service program shall have a chairman and a8

treasurer. No contribution and no expenditure shall be accepted or made by or on9

behalf of a constituent-service program at a time when there is a vacancy in the10

office of treasurer thereof and no other person has been designated and has agreed11

to perform the functions of treasurer. No expenditure shall be made for or on12

behalf of a constituent-service program without the authorization of its chairman13

or treasurer, or their designated agents.14

(e) Contributions of personal proper