Page 1
Page 2
Page 3
Page 4
Page 5
Page 6
Page 7
Page 8
Page 9
Page 10
Page 11
Page 12
Page 13
Page 14
Page 15
Page 16
Page 17
Page 18
Page 19
Page 20
Page 21
Page 22
Page 23
Page 24
Page 25
Page 26
Page 27
Page 28
Page 29
Page 30
Page 31
Page 32
Page 33
Page 34
Page 35
Page 36
Page 37
Page 38
Page 39
Page 40
Page 41
Page 42
WASHINGTON SUBURBAN SANITARY COMMISSION CODE OF ETHICS RESOLUTION NO. 2003-1669 ADOPTED JUNE 11 2003 Amended Resolution No. 2006-1747 Adopted January 18 2006 Effective March 3 2006 Amended Resolution No. 2007-1779 Adopted June 20 2007 Effective August 1 2007 Amended Resolution No. 2010-1842 Adopted November 18 2009 Effective December 1 2009 Amended Resolution No. 2011- 1901 Adopted January 19 2011 Effective March 3 2011 Amended Resolution No. 2011-1925 Adopted June 15 2011 Effective August 15 2011 Amended Resolution No. 2012-1942 Adopted November 16 2011 Effective January 15 2012 Amended Resolution No. 2012-1943 Adopted November 16 2011 Effective January 15 2012 Amended Resolution No. 2016-2112 Adopted February 17 2016 Effective April 1 2016 i TABLE OF CONTENTS Code of Ethics ARTICLE 1. GENERAL PROVISIONS...................................................................................1 Section 1-1. Purpose and Scope.......................................................................................1 Section 1-2. Policy...........................................................................................................2 Section 1-3. Definitions...................................................................................................2 ARTICLE 2. ADMINISTRATION............................................................................................5 Section 2-1. Board of Ethics - Creation...........................................................................5 Section 2-1.1 Ethics Officer ..............................................................................................6 Section 2-2. Advisory Opinions ......................................................................................6 Section 2-3. Waivers........................................................................................................7 Section 2-4. Complaint Adjudicatory Hearing...............................................................8 Section 2-5. Complaint Disposition.................................................................................9 Section 2-6. Judicial Review .........................................................................................10 Section 2-7. Confidentiality...........................................................................................10 Section 2-8. Referral to Prosecuting Authority .............................................................11 Section 2-9. Retention of Documents............................................................................11 Section 2-10. Annual Reporting ......................................................................................11 Section 2-11. Entities Doing Business with WSSC - Listing..........................................12 Section 2-12. Ethics Training ..........................................................................................12 ARTICLE 3. CONFLICTS OF INTEREST ..........................................................................12 Section 3-1. Restrictions on Participation of Employees ..............................................12 Section 3-2. Restrictions on Other Employment and Financial Interests......................13 Section 3-3. Employment Restriction-Former Commissioners and Employees ...........14 Section 3-4. Misuse of Prestige of Office Harassment Improper Influence................14 Section 3-5. Disclosure of Confidential Information ....................................................15 Section 3-6. Soliciting or Accepting Gifts.....................................................................15 Section 3-7 Conflict of Interest COI Statement.........................................................18 ARTICLE 4. ETHICS IN PUBLIC CONTRACTING .........................................................18 Section 4-1. Reporting of Suspected Collusive or Fraudulent Bidding or Negotiation 18 Section 4-2. Illegal Gifts and Kickbacks .......................................................................18 Section 4-3. Ethics Contractor Conduct .......................................................................19 Section 4-4. Participation in Procurement.....................................................................20 Section 4-5. Consultants-Conflicts of Interest Affidavit Non-Conviction Affidavit ...20 Section 4-6. Disclosure of Procurement Information....................................................21 ii Section 4-7. Prohibited Contingent Fees .......................................................................22 Section 4-8. Civil or Administrative Remedies Against Those Who Violate Ethical Standards.................................................................................................22 Section 4-9. Penalties.....................................................................................................23 ARTICLE 5. FINANCIAL DISCLOSURE............................................................................23 Section 5-1. Who Must File Financial Disclosure Statements ......................................23 Section 5-2. When to File..............................................................................................24 Section 5-3. Statement Contents....................................................................................24 Section 5-4. Execution and Where to File Use.............................................................25 Section 5-5. Financial Disclosure Statements as Public Records..................................25 ARTICLE 6. LOBBYING DISCLOSURE.............................................................................25 Section 6-1. Who Must Register as a Lobbyist Exceptions .........................................25 Section 6-2. How and When to Register as a Lobbyist .................................................27 Section 6-3. Authority to Lobby....................................................................................28 Section 6-4. Compensation Must Not be Contingent ....................................................28 Section 6-5. Reports by Lobbyists to the Board............................................................28 Section 6-6. Public Inspection of Lobbyist Registration Documents............................29 Resolution No. 2006-1747 Amending 5-5b ................................................................................... 30 Resolution No. 2006-1779 Amending 2-5e 3-1a 3-4a 3-6b and 5-2c .............................. 31 Resolution No. 2010-1842 Adding 3-7 ..............................................................................................32 Resolution No. 2011-1901 Adding 2-12 ............................................................................................33 Resolution No. 2011- 1925 Modifying Significant Others definition ...............................................34 Resolution No. 2012-1942 Adding a new subset b to 2-2 ...............................................................35 Resolution No. 2012-1943 Adding 2-1.1 ...........................................................................................37 Resolution No. 2016-2112 Modifying 5-1a2................................................................................39 1 RESOLUTION NO.2003 - 1669 ADOPTED June 11 2003 WASHINGTON SUBURBAN SANITARY COMMISSION Subject RESOLUTION ESTABLISHING A NEW CODE OF ETHICS INCLUDING CONFLICTS OF INTERESTS FINANCIAL DISCLOSURE LOBBYING DISCLOSURE AND ETHICS IN PUBLIC CONTRACTING WHEREAS State Law requires the Washington Suburban Sanitary Commission to adopt regulations for its employees concerning conflicts of interest and financial disclosure as well as lobbying before the Commission WHEREAS The Commission adopted Resolution 82-723 Resolution 82-724 Resolution 83-779 and Resolution 96-1509 to implement those State requirements WHEREAS The Commission desires to update those regulations and include provisions concerning ethics in public contracting. NOW THEREFORE BE IT RESOLVED that Section 1. The following regulations are hereby adopted CODE OF ETHICS ARTICLE 1. GENERAL PROVISIONS Section 1-1. Purpose and Scope. The Commissioners and employees of the Washington Suburban Sanitary Commission are required to maintain the highest professional and ethical standards in the performance of their official duties. The purpose of the Code of Ethics is to identify those activities which shall be considered unethical for employees to engage in and which are therefore prohibited. The Code of Ethics also establishes an independent Board of Ethics to assist the agency in maintaining the desired ethical standards. To foster public confidence and assist in the administration of the conflict of interest provisions of the Code of Ethics requirements are established for certain financial disclosure by employees. Commissioners are subject to the State Ethics Law under Md. Annotated Code State Government Article Title 15 and specific ethics provisions in Md. Annotated Code Article 29 Title 12. Commissioners are subject to these regulations only as expressly provided herein. Registration and disclosure requirements are also established for persons or entities lobbying WSSC as required under State law. 2 Section 1-2. Policy. a The Commissioners and employees of the WSSC are responsible to all of the ratepayers of the Sanitary District and not to any favored segment or group. The business of the WSSC must be conducted in such an impartial manner that all persons understand that a WSSC Commissioner or employee cannot be improperly influenced. WSSC Commissioners and employees must avoid all situations where bias or the opportunity for personal gain could influence their decisions. Commissioners and employees must also avoid circumstances which suggest that favoritism or personal gain is a motivating factor in the performance of their official duties. b The standards of the Code of Ethics are intended to require Commissioners and employees to avoid activities which might result in the use andor the appearance of use of their public employment for private gain or for providing favored treatment to any person group or organization and to maintain the highest level of public confidence in the integrity of WSSC. c Employees found to have violated this Code will be subject to disciplinary action up to and including release. Commissioners found to have violated the State Ethics Law Article 29 or this Resolution are subject to penalties as provided by law. Section 1-3. Definitions. In this Code of Ethics unless the context clearly indicates otherwise the following words or phrases have the meanings stated a Board means the WSSC Board of Ethics. b Business means any for-profit or not-for profit enterprise including a corporation general or limited partnership sole proprietorship joint venture association firm institute trust or foundation. Business does not include a governmental entity. c Commission means the Washington Suburban Sanitary Commission and Commissioner means a member of the Commission appointed under Article 29 of the Annotated Code of Maryland. d Compensation means any money or thing of value regardless of form including the sale or delivery of tangible or intangible property that an employer pays or agrees to pay for services rendered. 3 e Doing business with WSSC means 1 being a party with WSSC to a transaction that is at least 5000 on a cumulative basis during a year regardless of when the consideration is paid 2 negotiating a transaction with WSSC that is at least 5000 on a cumulative basis during a year regardless of when the consideration is paid 3 submitting a bid or proposal to WSSC for a transaction that is at least 5000 during a year regardless of when the consideration is paid 4 being a regulated lobbyist or 5 being an entity regulated by WSSC. f Employee means any person employed by WSSC whether or not employed on a merit non-merit contract temporary permanent or part-time basis. g Employer means any person who pays or agrees to pay compensation for services rendered. h Employment or Employ means engaging in an activity for compensation. i Entity means a person or government or instrumentality of a government. j Financial Interest means 1 ownership of an interest as the result of which the owner has received within the past three years is currently receiving or in the future is entitled to receive more than 1000 per year or 2 ownership of more than 3 of a business entity by an employee or spouse or significant other of an employee or 3 ownership of securities of any kind that represent or are convertible into ownership of more than 3 of a business entity by an employee or the spouse or significant other of an employee. k Gift means the transfer of anything of economic value regardless of form without an exchange of consideration of at least equal value. Gift does not include a transfer regulated by state or federal law governing political campaigns or elections. l Honorarium means the payment of money or anything of value for 1 for speaking to participating in or attending a meeting or other function or 2 writing an article that has been or is intended to be published. Honorarium does not include payment for writing a book that has been or is intended to be published. m Immediate family means an individuals spouse significant other and dependent children. A child is considered a dependent if the child is eligible to be claimed as dependent on a persons federal income tax filing. 4 n Interest means any source of income or any other legal or equitable economic interest whether or not subject to an encumbrance or a condition which is owned or held in whole or in part jointly or severally directly or indirectly. Interest does not include 1 an interest in a time deposit or demand deposit in a financial institution 2 an interest in an insurance policy endowment policy or annuity contract under which an insurance company promises to pay a fixed number of dollars either in a lump sum or periodically for life or some other specified period 3 an interest in a mutual fund or exchange-traded fundETF 4 an interest held in the capacity of agent custodian fiduciary personal representative or trustee unless the holder has an equitable interest in the subject matter or 5 an interest in a deferred compensation plan that A has more than 25 participants and B the Internal Revenue Service has determined qualifies as a trust under section 401 457 and 501 of the Internal Revenue Code. o Lobbying means performing any act that requires registration under Article 6 of these regulations. p Member of household means 1 if sharing an individuals household the individuals spouse significant other child ward financially dependent parent or other financially dependent relative or 2 an individuals spouse child ward parent or other relative whose financial affairs the individual has legal or actual control. q Participate means to contribute in any manner to a proceeding or recommendation or to the rendering of a determination or to the approval or denial of an award license contract or transaction or failure to act with respect thereto when such failure to act is material. r Person means an individual receiver trustee guardian personal representative fiduciary representative of any kind and any partnership firm association corporation or other entity. s Qualifying Relative means a spouse significant other parent child brother or sister. t Significant Other means an employees partner who is eligible for same sex marriage or civil union partner benefits from WSSC or an employees partner over the age of 18 years of either sex who with the employee 1 shares a close personal relationship and are responsible for each others welfare 5 2 have shared the same legal residence for at least 12 months and 3 have a joint financial relationship such as a joint housing lease mortgage or deed joint ownership of a motor vehicle joint checking or credit account or designation of as a primary beneficiary on the employees life insurance retirement benefits or residuary estate under a will. u WSSC means the Washington Suburban Sanitary Commission v Year means calendar year. ARTICLE 2. ADMINISTRATION Section 2-1. Board of Ethics Creation. a A Board of Ethics is established to assist WSSC in maintaining the highest level of professional and ethical conduct and public confidence in the integrity of the agency. The Board consists of 3 members appointed by the Commission on the basis of their professionalism integrity and competence. The Montgomery County Commissioners shall nominate one member and the Prince Georges County Commissioners shall nominate one member. The third member may be nominated by any member of the Commission. One member of the Board is designated by the Commission as Chairperson and serves in that capacity for 1 year or until a successor is appointed. The Commission may appoint an alternate member to the Board. b Except as initially required to provide for staggered terms the term of each member is 3 years. Initial terms are as provided by the Commission. A Board member serves until the Commission appoints a successor unless the member resigns before a successor is confirmed. c The Commission may initiate the removal of a Board member for 1 neglect of duty 2 misconduct in office 3 disability that renders the member unable to perform the duties of office or 4 violation of law. 6 d The Board is delegated authority to 1 respond to a request for advisory opinions as provided in Section 2-2 2 act on complaints and issue the final Commission decision on complaints filed under Section 2-4 3 respond to a request for waivers as provided in Section 2-3 4 maintain as official custodian forms and records filed under these regulations 5 prepare an annual report concerning activities as provided under Section 2- 10 6 provide training to persons subject to the Code of Ethics 7 periodically review the adequacy of the Code of Ethics and 8 publish and make available to persons or entities subject to the Code of Ethics information that explains the Code and the duties imposed by it. e The Commission may provide for compensation of Board members including expenses in the WSSC budget. f The Office of Internal Audit shall provide administrative staff support to the Board. Section 2-1.1 Ethics Officer. a The Ethics Officer of the WSSC shall direct the Ethics Program of the Commission and manage all related program components and processes including program compliance. The Ethics Officer is also responsible for promoting standards ensuring the workforce is educated in the area of ethics and the WSSCs Ethics Program and responding to potential ethical violations in a timely manner. b The Board may delegate duties to the Ethics Officer as appropriate andor necessary in accordance with applicable laws and WSSC rules and regulations. c The Ethics Officer shall report administratively to the Internal Audit Manager and functionally to the Board. Section 2-2. Advisory Opinions. a Any person subject to the Code of Ethics may ask the Board for an advisory opinion on the meaning or application of this Code to that person. A supervisor may ask the Board for an advisory opinion about the meaning or application of this Code to the employment-related conduct of any employee supervised by the supervisor. In this section supervisor means a Commissioner the General Manager Deputy General Manager Team Chief Head of a Staff Office and Group Leaders. Supervisors below those levels shall make any requests through the appropriate Group Leader. Unless the subject of the opinion authorizes disclosure the Board must keep the names of the requesting party and the subject of the opinion confidential. 7 b A Commissioner may request an Advisory Opinion from the Board for a decision as to whether the Commission should enter into a professional services contract for legal services for a Commissioner in the event that the Commission rejects a contract for legal services for a Commissioner or fails to make a decision on the contract for legal services for a Commissioner and the appeal of the Commissions decision concerning the contract for legal services has not been resolved as described in SP 11-02 Section V.B.3. The Advisory Opinion of the Board shall be binding on the Commission and shall be final. c The Board must publish each opinion when it is issued unless the Board finds that the privacy interest of an employee or other person clearly and substantially outweighs the publics needs to be informed about Board actions. The Board must take all reasonable steps consistent with making the opinion useful for public guidance to keep confidential the identity of any person who is affected by the opinion request. Section 2-3. Waivers. a After receiving a written request and to the extent allowed under these regulations the Board may grant a waiver of the prohibitions of this Code if it finds that 1 the best interests of the WSSC or the public would be served by granting the waiver 2 the importance to the WSSC of a Commissioner or employee or class of employees performing official duties outweighs the actual or potential harm of any conflict of interest and 3 granting the waiver will not give a Commissioner or employee or class of employees an unfair economic advantage over other Commissioners or employees or members of the public. b After receiving a written request the Board may waive the prohibitions of Section 3-2b and Section 3-3 pertaining to secondary employment and post-employment prohibitions if it additionally finds that 1 the waiver is needed to ensure that competent services to WSSC or the public are timely and available 2 failing to grant the waiver may reduce the ability of WSSC to hire or retain highly qualified employees or 3 the proposed employment is not likely to create an actual conflict of interest. c The Board may impose appropriate conditions to fulfill the purposes of the Code of Ethics when it grants a waiver. 8 d The Board must disclose to the public any waiver that it grants. If a request for a waiver is denied the Board may publish its response as an advisory opinion under Section 2-2. The identity of any Commissioner or employee who applies for a waiver must be kept confidential until the waiver is granted. The Board may reveal the identity of any Commissioner or employee who applies for a waiver that is not granted if 1 the Commissioner or employee authorizes public disclosure or 2 the Board has reasonable cause to believe that the Commissioner or employee has engaged in the conduct for which the waiver was sought. e The Board must include the pertinent facts in each waiver. Section 2-4. Complaint Adjudicatory Hearing. a 1 The Commission or the General Manager may file a confidential written complaint with the Board. A complaint may be based on concerns raised by an employee including a supervisor to the extent provided in Section 2- 2 in writing and such employee shall be considered a complainant for purposes of this Article. An individual or entity outside WSSC may file a complaint directly with the Board. The complaint must allege facts that would support a reasonable person in concluding that a violation of this Code of Ethics occurred. 2 A The complaint must be filed within the later of 2 years after i the alleged violation or ii the complainant learned or should have learned of facts that would lead a reasonable person to conclude that a violation occurred. B A complaint may not be filed more than 3 years after the alleged violation occurred. 3 If the complaint does not allege facts sufficient to state a violation of the Code of Ethics the Board may dismiss the complaint. The Board must inform the complainant of its decision to dismiss the complaint. The Board may inform the subject of the complaint that the complaint was filed and dismissed but must not disclose the identity of the complainant. b The Board may file on it own motion a complaint if the complaint is filed within the time limits established in subsection a. c If based on a complaint the Board finds reasonable cause to believe that a violation of this Code of Ethics has occurred the Board may refer the complaint to the General Counsel who shall assign a staff counsel to the Board. The staff counsel shall collect and refer to the Board evidence relating to each violation as alleged in the complaint. d 1 Prior to submitting the evidence to the Board the staff counsel shall notify the complainant and the respondent. 9 2 The Board shall dismiss the complaint in a signed order if A the respondent within 15 days after receiving the notice takes any action that may be available to cure each alleged violation and B it finds that dismissal is not contrary to the purposes of these regulations. 3 If the complaint is dismissed under this subsection the Board shall promptly send a copy of the order to the complainant and the respondent. e If the Board determines that the evidence submitted by the staff counsel does not merit further proceedings the Board shall 1 dismiss the complaint in a signed order and 2 promptly send a copy of the order to the complainant and the respondent. f Staff counsel may recommend to the Board a pre-hearing settlement of the complaint. Any such settlement shall be incorporated in a signed order of the Board. g If a complaint is not dismissed or settled under subsections d e or f of this section the Board shall proceed to a hearing on the complaint. The hearing shall be held in accordance with WSSC procedures for contested cases. Proceedings before the Board shall be subject to the rules pertaining to ex parte communications set forth in Md. Ann. Code State Government Article 10-219. The respondent may be represented by counsel. The General Counsel may assign counsel to advise the Board including outside counsel if appropriate. h At the hearing the staff counsel 1 shall present to the Board all available evidence relating to each alleged violation of the Code of Ethics and 2 may recommend any disposition of the complaint that appears appropriate to the staff counsel. Section 2-5. Complaint Disposition. a After the Board considers all of the evidence presented at the hearing it shall make written findings of fact and conclusions of law based on the record made at the hearing. A decision shall ordinarily be rendered within 60 days of the hearing. b If the Board determines that the respondent has not violated the Code of Ethics the Board shall 1 dismiss the complaint in a signed order and 2 promptly send a copy of the order to the complainant and the respondent. c If the Board determines that the respondent has violated these regulations the Board may 10 1 issue an order of compliance directing the respondent to cease and desist from the violation 2 issue a reprimand or 3 recommend to the appropriate authority other appropriate discipline of the respondent including censure or removal if that discipline is authorized by the WSSC Personnel Policy and Benefits Programs Manual or other WSSC regulations or procedures. d With respect to disciplinary action recommended under subsection c3 above the Board is not empowered to take direct administrative action but an opinion of the Board may be utilized as the basis for an administrative action by the Commission or by the appropriate level of WSSC management. e If the respondent is a regulated lobbyist for each report required under Article 6 that is filed late the respondent shall pay a fee of 25 to WSSC for each late day not to exceed a total of 1000. Section 2-6. Judicial Review. a If a respondent is aggrieved by a final order of the Board the respondent may seek judicial review as provided in Md. Ann. Code State Government Article Title 10 Subtitle 2 Administrative Procedure Act Contested Cases. b The Commission may seek judicial enforcement of the Boards orders. Section 2-7. Confidentiality. a Except as provided in subsections b and c of this section after a complaint is filed 1 the proceedings meetings and activities of the Board and its employees relating to the complaint are confidential and 2 information relating to the complaint including the identity of the complainant and respondent may not be disclosed by the A Board B the General Counsels Office or Office of Internal Audit C complainant or D respondent. b Except as provided in subsection c of this section the restrictions in subsection a of this section apply unless 1 the matter is referred for criminal prosecution under Section 2-8 or 2 the Board finds a violation of these regulations. 11 c 1 The Board may release any information at any time if the respondent agrees in writing to the release. 2 On request of the respondent the Board at any time shall disclose the identity of the complainant to the respondent. Section 2-8. Referral to Prosecuting Authority. a If the Board while considering a complaint finds that there are reasonable grounds to believe that the respondent may have committed a criminal offense the Board promptly shall refer the matter to the General Counsel for review and submittal to the appropriate prosecuting authority if appropriate. b The Board shall make available to the prosecuting authority all pertinent evidence under its control. Section 2-9. Retention of Documents. a Any person that is required to file a report statement or record under this title shall retain each account bill receipt book paper or other document necessary to complete and substantiate the report or statement. b The person shall retain the document for 3 years after 1 the date the report statement or record was filed or 2 if the report statement or record is not filed the date the report statement or record was required to be filed. c On request by the Board and after reasonable notice the documents shall be available for inspection by the Board Section 2-10. Annual Reporting. a On or before the 15th day of April of each year the Board shall prepare in draft the report that is required to be filed by the Commission with the governing bodies of Montgomery and Prince Georges Counties concerning conflicts of interest issues that arose and were under review or resolved within the previous year. b Unless prescribed by the State Ethics Commission the form of annual report to the county governing bodies concerning conflicts of interest shall contain a case-by-case statement of the issues the regulations involved the status of proceedings and any final determination. A Commission approved report shall be provided to the governing bodies of Montgomery and Prince Georges counties. c In addition to its report concerning conflicts of interest issues the Board shall prepare in draft the annual report that is required to be filed by the Commission on lobbying before the Commission. A Commission approved report shall be provided to the governing bodies of Montgomery and Prince Georges Counties. 12 Section 2-11. Entities Doing Business with WSSC Listing. The General Manager shall cause to have published annually an alphabetized list of non-government entities doing business with WSSC during the preceding year and make it available to individuals required to file financial disclosure statements under Article 5 of this Resolution. The list shall be available for public inspection by March 1 of each year. Section 2-12. Ethics Training. The Commission shall provide at least one hour of ethics training annually to all employees. The training shall be mandatory for all employees. ARTICLE 3. CONFLICTS OF INTEREST Section 3-1. Restrictions on Participation of Employees. a An employee may not participate in any WSSC matter except to exercise a purely administrative or ministerial duty which does not affect the disposition or decision concerning that matter if the employee or a qualifying relative has an interest in the matter or the employee creates the appearance that he or she has an interest in the matter or if any of the following is a party thereto 1 A business entity in which the employee has a direct financial interest of which the employee may reasonably be expected to know 2 A business entity with which either the employee or a qualifying relative if known to the employee is an officer director trustee or employee 3 A business entity with which either the employee or a qualifying relative if known to the employee has applied for employment is negotiating employment or has arranged prospective employment 4 A business entity which is a party to an existing contract with the employee or which either knows is a party to a contract with a qualifying relative if the contract could reasonably be expected to result in a conflict between the private interests and the official duties of the employee 5 A business entity either engaged in a transaction with WSSC or subject to regulation by WSSC in which a direct financial interest is owned by another entity in which the employee has a direct financial interest if the employee reasonably may be expected to know of both financial interests 6 A business entity which is a creditor or obligee of the employee or qualifying relative if known by the employee with respect to a thing of economic value and which by reason thereof is in a position to affect directly and substantially the interest of the employee or a qualifying relative. 13 b An employee who otherwise would be disqualified from participation under subsection a of this section shall disclose the nature and circumstances of the conflict and may participate or act if 1 the disqualification would leave a body with less than a quorum capable of acting 2 the disqualified employee is required by law to act or 3 the disqualified employee is the only individual authorized to act. c Notwithstanding subsection a an employee may obtain a waiver from the Board to participate in an otherwise prohibited act or decision in accordance with Section 2-3. Section 3-2. Restrictions on Other Employment and Financial Interests. a General Restrictions. An employee must not engage in outside employment if the hours of such employment conflict with the employees normal work shift at WSSC or where the outside employment is of such a nature which does or may create a conflict of interest or the appearance of a conflict of interest. b Specific Restrictions. Unless the Board grants a waiver under Section 2-3or as permitted by an advisory opinion under Section 2-2 an employee must not 1 be employed by or have a financial interest in any business that A is regulated by WSSC B negotiates or has entered into a contract with WSSC or C is a subcontractor for any business that has a contract with WSSC 2 hold any other employment relationship that would impair the impartiality and independence of judgment of the employee or 3 be employed by an entity that is a party to a contract that binds or purports to bind WSSC if the duties of the employee include matters substantially relating to or affecting the contract and the contract binds or purports to bind WSSC to pay more than 1000. c Exceptions. Subsections a and b do not apply to an 1 employee whose government duties are ministerial if the employment does not create a conflict of interest or the appearance of a conflict of interest 2 employment that makes a conflict of interest or appearance of conflict interest remote as determined in accordance with the regulations of the State Ethics Commission COMAR 19A.02.01 or other criteria established by the Board 3 employee exempted by Board under extraordinary circumstances to recruit hire or retain highly qualified or uniquely qualified individuals for public service or to assure the availability of competent services to the public or 14 4 attorneys in the General Counsels Office providing pro bono representation in furtherance of the directives of the Court of Appeals. d Prohibition Against Contingent Compensation. An employee must not assist or represent a party for contingent compensation in a matter before or involving the WSSC. Section 3-3. Employment Restriction Former Commissioners and Employees. a A former employee may not assist or represent a party in a case contract or other specific matter for compensation involving WSSC if the former employee participated significantly in the matter as an employee. b A former Commissioner or employee may not act as an agent or representative of any person or entity in a business transaction with WSSC within 12 months of their separation from WSSC. A Commissioner holding office or employee may not knowingly become involved in any WSSC business transaction with a former Commissioner or employee within 12 months from the date of the former Commissioners or employees separation from WSSC. c This subsection does not prohibit the WSSC in its sole discretion from employing either a former Commissioner or employee or hiring an entity employing a former Commissioner or employee as a consultant or contractor provided that full disclosure to the Commission is made prior to such employment. d In this section significant participation means making a decision approval disapproval recommendation rendering advice investigation or similar action taken as an employee. Significant participation ordinarily does not include program or budget preparation review or adoption. Section 3-4. Misuse of Prestige of Office Harassment Improper Influence. a An employee must not use the prestige of office for private gain or the gain of another or create the appearance that the employee is utilizing the prestige of office for private gain or the gain of another. Performing usual and customary ratepayer or customer services without additional compensation is not prohibited by this subsection. b Unless expressly authorized by the General Manager a person must not use an official WSSC title or insignia in connection with any private enterprise. c An employee must not use any WSSC facility property or work time for personal use or for the use of another person unless the use is 1 generally available to the public or 2 authorized by a law regulation or administrative procedure 15 d 1 An employee must not appoint hire or advocate the advancement of a relative to a position that is under the jurisdiction or control of the employee. 2 A relative of an employee must not be employed in a position if the employee would exercise jurisdiction or control over the position. e An employee must not intimidate threaten coerce or discriminate against any person for the purpose of interfering with that persons freedom to engage in political activity. f A person must not influence or attempt to influence an employee to violate the Code of Ethics. g An employee may not attempt to influence a State or County official in the conduct of the officials duties for a purpose contrary to the State Ethics Law or these regulations. h In this section relative means spouse significant other parent child brother or sister uncle or aunt first cousin nephew or niece father-in-law or mother in-law son-in-law or daughter-in-law brother-in-law or sister-in-law step-parent or step- child step-brother or step-sister half-brother or half-sister or grandparent or grandchild. Section 3-5. Disclosure of Confidential Information. Except when authorized by law an employee or former employee must not disclose confidential information relating to or maintained by WSSC that is not available to the public. An employee or former employee must not use confidential information for personal gain or the gain of another. Unless expressly prohibited by law an employee may disclose validly obtained confidential information to a Commissioner or employee if the other Commissioner or employee reasonably needs the information to carry out that persons official duties. Confidential information includes information that is subject to mandatory or discretionary denial to requests from the public for disclosure under the Maryland Public Information Act or other information determined by WSSC by contractual agreement standard operating procedure or otherwise to be confidential or proprietary in nature. Section 3-6. Soliciting or Accepting Gifts. a Except as provided in subsection b an employee must not solicit a gift to the employee or another person or organization 1 from any business or individual who A is registered or must register as a lobbyist B does business with the WSSC or C is or owns or operates a business that is regulated by WSSC 16 2 during official work hours or at WSSC or from any other employee who is supervised directly or indirectly by the employee while wearing all or part of an official uniform of WSSC or while otherwise identifiable as an employee 3 for the employees own benefit unless the General Manager approves the solicitation or 4 with the intent of affecting or offering to affect any action by the WSSC. b An employee may solicit a gift 1 from employees during official work hours for a charitable drive that is approved by the Commission or General Manager when the solicitation is part of the employees official duties 2 from any person to a charitable organization as defined in the state law regulating public charities if the employee does not solicit gifts from those persons who do business with or are regulated by WSSC or from other employees who are supervised directly or indirectly by the employee 3 from any individual during official work hours while identifiable as an employee or at WSSC for the benefit of WSSC or a non-profit organization formally cooperating on a program with WSSC if the solicitation is authorized by the Commission or General Manager or 4 from other employees to express appropriate sentiment to a co-worker or relative of a co-worker regarding a personal event such as a birth birthday retirement marriage death or similar occasion. c An employee must not knowingly accept a direct or indirect gift from any individual or organization that the employee knows or reasonably should know 1 is registered or must register as a lobbyist on a matter that is or could be considered by WSSC 2 does business with WSSC 3 owns or operates a business that is regulated by WSSC or 4 has an identifiable economic or financial interest that is different from that of the general public which the employee may substantially affect in performing the employees official duties. d Notwithstanding the prohibitions of subsection c an employee may accept the following gifts unless the gift would tend to impair the impartiality and independent judgment of the employee give the appearance of impairing the impartiality and independent judgment of the employee or the employee has reason to believe that the gift is intended to impair the impartiality of the employee 1 meals and beverages under 50 received and consumed in the presence of the donor or sponsoring entity on an infrequent basis in connection with normal business discussions or if 50 or over if disclosed on the employees financial disclosure statement under Article 5 17 2 ceremonial gifts or awards with a resale value of 100 or less if the gift or award commemorates an event or achievement associated with the employee 3 items of personal property other than cash of insignificant monetary value or trivial gifts of informational value 4 reasonable expenses for food travel lodging and scheduled entertainment of the employee given in return for the employees participation in a panel or speaking at a meeting 5 gifts of tickets or free admission valued under 50 to an employee who must file a financial disclosure statement under Article 5 or if valued at 50 or over the gift A is a courtesy extended to the office B consists of tickets or free admission for the employee and not more than one guest to attend a charitable cultural civic labor trade sports or political event including meals and beverages served at the event and C is disclosed on the financial disclosure statement 6 any item that is solely informational or of an advertising nature including a book report periodical or pamphlet if the resale value of the item is 50 or less 7 gifts from a relativean honorarium except as provided in subsection e or 8 a specific gift or class of gifts which the Board exempts from this Section after finding in writing that accepting the gift or class of gifts is not detrimental to the impartial conduct of the business of the WSSC. e 1 Except as provided in paragraph 2 of this subsection an employee may not accept an honorarium if the payer of the honorarium has an interest that may be substantially and materially affected in a manner distinguishable from the public generally by the performance of the individuals official duty and the offering of the honorarium is in any way related to the individuals official position. 2 An employee may accept an honorarium under this subsection if the honorarium is limited to reasonable expenses incurred for the employees meals travel and lodging and reasonable and verifiable expenses for care of a child or dependent adult or gifts that are otherwise permitted under paragraphs 2 3 and 6 of subsection d of this section. f Subsection c does not apply to unsolicited gifts to the WSSC. g An employee who receives a gift that the employee must not accept under this Section must report the gift to the Board and return the gift to the donor or transfer the gift to the WSSC. 18 Section 3-7. Conflict of Interest Statement. Persons who are not required to file an annual financial disclosure statement pursuant to Section 5-1a of the Code shall be required to file an annual Conflict of Interest statement. The statement which shall be filed by April 30th of each year shall request at a minimum information regarding relatives employed by WSSC as defined in Code Section 3-4h and outside employment. The Conflict of Interest statement shall be prepared dated and signed under oath by the employee and submitted to the employees supervisor as designated by the General Manager for review as to completeness and potential or existing conflicts of interests or appearance of conflicts of interest. Completed Conflict of Interest statements shall be maintained by the Human Resources Office. ARTICLE 4. ETHICS IN PUBLIC CONTRACTING Section 4-1. Reporting of Suspected Collusive or Fraudulent Bidding or Negotiation. a Notification to the General Counsel. When for any reason collusion or fraud is suspected among any bidders or offerors a written notice of such suspicion must be transmitted by a Commissioner or employee to the General Counsel. b Retention of all documents. All documents involved in any procurement in which collusion is suspected must be retained until the General Counsel determines otherwise. All retained documents must be made available to the General Counsel or designee upon request. Section 4-2. Illegal Gifts and Kickbacks. a Gifts. A bidder offeror or contractor must not make or offer to make a gift to a Commissioner or employee that the Commissioner or employee is prohibited from accepting under Article 3 or other law. b Kickbacks. 1 In these regulations a kickback means any money fee commission credit gift or compensation of any kind which is provided directly or indirectly to a prime contractor a prime contractor employee a subcontractor a subcontractor employee a Commissioner or employee or other person for the purpose of obtaining or rewarding favorable treatment in the award of a prime contract or a subcontract in connection with a contract awarded by WSSC. 2 A person must not A provide attempt to provide or offer to provide a kickback B solicit accept or attempt to accept a kickback 19 C include directly or indirectly the amount of a kickback in the price charged by the subcontractor to the contractor or by the prime contractor in the price charged by the prime contractor to WSSC or D claim that the unlawfully induced contract or subcontract fulfills any legal regulatory or contractual requirement. 3 WSSC may offset the amount of a kickback from any sum owed to the prime contractor by WSSC. Section 4-3. Ethics Contractor Conduct. a During the conduct of a procurement a bidder or offeror or any officer employee representative agent or consultant of any bidder or offeror may not knowingly 1 make any offer or promise of future employment or business opportunity to or engage in any discussion of future employment or business opportunity with any WSSC employee or Commissioner involved in the procurement 2 offer give or promise to offer or give any money gratuity or other thing of value to any WSSC employee or Commissioner involved in the procurement or 3 solicit or obtain from any employee or Commissioner of WSSC before the award of a contract any proprietary or source selection information regarding the procurement. b A contractor providing an analysis or recommendation to WSSC concerning a particular matter must not without first obtaining the written consent of the General Manager after comment from the Board 1 assist A another party in the matter or B another person if the person has a direct and substantial interest in the matter or 2 seek or obtain an economic benefit from the matter in addition to payment to the contractor by WSSC. c A contractor must not use confidential information obtained in relation to performing a contract except as expressly authorized in the contract or by the General Manager. d In connection with a contract with WSSC a person must not willfully 1 falsify conceal or suppress a material fact by any scheme or device 2 make a false or fraudulent statement or representation of material fact or 3 use a false writing or document that contains a false or fraudulent statement or entry of a material fact. 20 e A person may not aid or conspire with another person to commit an act under subsection d. Section 4-4. Participation in Procurement. a An individual or entity that employs an individual who assists WSSC in the drafting of specifications an invitation for bids a request for proposals for a procurement or the selection or award made in response to an invitation for bids or a request for proposals may not 1 submit a bid or proposal for that procurement or 2 assist or represent another person directly or indirectly who is submitting a bid or proposal for that procurement. b For purposes of subsection a of this section assisting in the drafting of specifications does not include 1 providing descriptive literature such as catalogue sheets brochures technical data sheets or standard specification samples whether requested by WSSC or provided on an unsolicited basis 2 submitting written comments on a specification prepared by WSSC or on a solicitation or bid or proposal when comments are solicited from two or more persons as part of a request for information or a pre-bid or pre-proposal process 3 providing specifications for a sole source procurement made in accordance with the Procurement Manual or 4 providing architectural and engineering services for programming master planning or other project planning services. Section 4-5. Consultants-Conflicts of Interest Affidavit Non-Conviction Affidavit. a Each invitation for bids or requests for proposals for a contract that will involve the selection of a consultant who is to assist WSSC in the formation award or execution of any WSSC contract shall require that a bidder or offeror provide WSSC with an affidavit that discloses any actual or potential conflict of interest of which the bidder or offeror knows or reasonably can be expected to know. b Requirements for disclosure of conflicts of interests under this section shall be consistent with those applicable to State agency consultants under Md. Ann. Code State Finance and Procurement Article 13-212. 21 c Except as may be provided in WSSC procurement regulations each person upon submitting a bid or proposal or other application for a contract with WSSC shall submit an affidavit of non-conviction and related affirmation in accordance with Md. Ann. Code State Finance and Procurement Article 16-311. The affidavit additionally shall cover any convictions of making a payment of a gratuity to or supplementing the salary of a public official or similar offenses relating to public graft. The affidavit shall cover any conviction by any officer director partner or employee of the person or if the person is a business the business itself. To the extent known the affidavit shall also cover convictions of any officer director partner employee of and including a business related by common ownership or management control including subsidiaries affiliates or parent corporations. d Conviction including an accepted plea of nolo contendre of any of the offenses set forth in subsection c may be grounds for debarment or a determination by WSSC that a bidder or offeror is not responsible to perform the contract. e This section is not intended to preclude WSSC from imposing similar conflict of interest requirements as conditions in its other contracts. Section 4-6. Disclosure of Procurement Information. a After a solicitation is issued and until a recommendation is made by a procurement officer or a project manager the procurement officer project manager or any other WSSC employee or Commissioner involved in the procurement may only disclose to a person outside WSSC 1 whether a decision has been made regarding the solicitation and 2 information that is available to the public under the Maryland Public Information Act. b After a solicitation is issued a procurement officer or project manager shall record and include in the procurement file the following information from a source outside WSSC 1 the date and time of the inquiry or communication 2 the name and affiliation of the person making the inquiry or communication and 3 the substance and nature of the inquiry or communication. c After a recommendation is made by a procurement officer or project manager but before final action on the procurement a WSSC employee or Commissioner responsible for approving or recommending the contract award shall provide the procurement officer or project manager for inclusion in the procurement file a written summary of any inquiries or communications from a source outside WSSC in the manner provided in subsection b of this section. 22 d This section is not intended to cover inquiries or communications in the course of activities clearly contemplated under WSSCs procurement procedures such as pre- bid conferences proposal evaluation interviews competitive or sole source negotiation or the negotiation and execution of contracts. Section 4-7. Prohibited Contingent Fees. a A person must not retain another to secure a contract from WSSC under an agreement that in exchange for the contract the person will pay another a commission percentage of the contract or a contingent fee. b This section does not apply to 1 a bona fide employee or commercial selling agency retained by the person for the purpose of securing business or 2 an attorney rendering professional legal services consistent with applicable canons of ethics. Section 4-8. Civil or Administrative Remedies Against Those Who Violate Ethical Standards. a Violation of the provisions of this Article may result in the voiding by WSSC of the applicable contract suspension debarment or a determination that a bidder or offeror is not responsible to perform a contract. Any civil and administrative remedies for violations of ethical standards which are codified elsewhere in law or regulation or which are applicable by contract are not impaired. b The value of anything received by any person for a violation of the ethical standards contained in this Article are recoverable from the person by WSSC by setoff attachment garnishment or other appropriate legal action. A person who for the purpose of defrauding WSSC acts in collusion with another person in connection with procurement process is liable for damages equal to three times the value of the loss to WSSC that is attributable to the collusion under Md. Ann. Code State Finance and Procurement Article 11-205. c If a person makes a kickback in connection with the award of a contract subcontract or order WSSC is entitled to presume conclusively that the amount of the kickback was included in the price of the contract subcontract or order and ultimately borne by WSSC. The amount of the kickback may be recovered from the 1 recipient or 2 person making the kickback. 23 Section 4-9. Penalties. a Any criminal penalties for violations of ethical standards codified elsewhere by law or regulation are not impaired. b Following a final criminal conviction of an employee for violation of a provision of this Article WSSC must release the convicted employee. Pending completion of any criminal proceedings the WSSC may suspend with or without pay the accused employee. ARTICLE 5. FINANCIAL DISCLOSURE Section 5-1. Who Must File Financial Disclosure Statements. a The following persons must file a financial disclosure statement under oath 1 All persons holding positions under the Executive Salary Schedule merit and non-merit positions 2 All persons holding merit or non-merit positions on level of Grade 12 or above and 3 Other persons holding positions designated by the General Manager after review and recommendation by Team Chiefs and the heads of the staff offices that are responsible either as a decision-maker or an advisor to another making decisions for A contracting or procurement including the drafting of specifications and the negotiating or executing of contracts and the approval of invoices for payment that exceed 500 B regulatory matters including planning sewer category classifications development or permit review and inspections legal matters and the payment or settlement of claims C financial matters including audit benefits and retirement administration including staff and members of the Retirement Plan Board of Trustees and the administration of grants subsidies or credits D land acquisition E law enforcement F controlling confidential information including information technology systems and G other matters that would further the purposes of this Article. b Members of WSSC advisory boards or committees must file financial disclosure forms. However the Board shall limit the information required on such forms to information concerning any financial interest or gift that may create a conflict of 24 interest between the board or committee members personal interests and advisory duties. Section 5-2. When to File. a Financial disclosure statements shall be filed on or before the 30th of April of each year. Statements due April 30th of each year shall be for the period commencing January 1st and ending December 31st of the preceding year. b A person who is appointed or hired on or after April 30th of any year to fill a position for which a disclosure statement is required shall file within 30 days of employment. The disclosure statement shall cover the previous year whether or not employed by WSSC during the previous year. c A person who leaves a position for which a disclosure statement is required shall file the statement within 60 days after leaving the position. The disclosure statement shall cover the year proceeding the year in which the person left the position unless a disclosure statement covering that year has already been filed. In addition the disclosure statement shall cover the portion of the current year in which the person held the position. Section 5-3. Statement Contents. a Forms shall be developed by the Office of Internal Audit in consultation with the Board. Except as provided in subsections b and d or otherwise required by this Code the disclosure statement to be filed by the employee shall be substantially similar to the form and content prescribed by the State Ethics Commission for State employees under Md. Ann. Code State Government Article 15-607. b References in the State Ethics Commission form to business with the State and employment with the State shall be deemed to mean business with WSSC and employed by WSSC respectively. c Attribution of interests for disclosure shall be as provided under Md. Ann. Code State Government Article 15-608. However for purposes of this subsection the interests of a significant other shall be attributed to an employee to the same extent required for a spouse. d The Commission may develop electronic forms if secured and at no cost to employees. It may also simplify State forms and among other things use ranges to reflect the dollar values of interests held by filers similar to those in use by the Montgomery County Government. 25 Section 5-4 Execution and Where to File Use. a The financial disclosure statement shall be prepared dated and signed under oath by the maker and submitted to an employees supervisor as designated by the General Manager for review as to completeness and potential or existing conflicts of interests or appearance of conflict of interest. The General Managers financial disclosure statement shall be reviewed by the Internal Auditor. After review all financial disclosure statements shall be delivered to the Office of Internal Audit by April 30th of the current year. b A financial disclosure statement is filed under oath if the person signs a declaration that the financial disclosure statement is made under the penalties of perjury. Section 5-5. Financial Disclosure Statements as Public Records. a Once reviewed and transmitted to the Office of Internal Audit under Section 5-4 financial disclosure statements are public documents. These statements shall be made available by the Office of Internal Audit to the public for examination and copying subject to a reasonable fee for the time and material. A financial disclosure statement is filed under oath if the person signs a declaration that the financial disclosure statement is made under the penalties of perjury. b Any person requesting to examine andor copy a financial disclosure statement shall provide to the Office of Internal Audit that persons name business address and home address and the name of the employee whose disclosure statement is to be examined andor copied. The person shall also provide a drivers license or other government issued photo identification card which may be copied by the Office of Internal Audit. In addition the Office of Internal Audit may not release the requested financial disclosure statement until 24 hours after the request has been made in order to allow time to attempt to transmit notification of the request to the employee prior to the release of the requested financial disclosure statement. ARTICLE 6. LOBBYING DISCLOSURE Section 6-1. Who Must Register as a Lobbyist Exceptions. a Any individual or organization must register as a lobbyist if during a year that individual or organization communicates with a Commissioner or employee to influence executive or administrative action by WSSC and for those purposes 1 expends a cumulative amount of 100 or more during a reporting period on WSSC Commissioners or employees for meals beverages special events or gifts 26 2 is compensated 2500 or more in a reporting period from all lobbying employers cumulatively for all such communications or incurs expenses of 500 or more per lobbying employer other than for personal travel or subsistence to influence the development or adoption of WSSC regulations or policies or procedures land acquisition or service extension decisions or WSSC recommendations to county government or state government including the General Assembly 3 is compensated to influence WSSC on a procurement contract that exceeds 100000 or may be reasonably anticipated to exceed 100000 under circumstances set forth under subsection b unless the person is a bona fide salesperson or commercial selling agency employed or retained by the employer 4 is compensated by a business entity to secure a grant credit or other subsidy from WSSC with a value of more than 100000 if the expense or compensation thresholds of paragraph 2 of this section are met unless the person is a bona fide salesperson or commercial selling agent employed or retained by the employer or 5 spends at least 2500 to provide compensation to one or more entities required to register under this subsection. b Paragraph a3 of this section applies to 1 communications made prior to a formal solicitation being issued 2 communications made after a solicitation is issued that are required to be included in the procurement file under Section 4-6 of these regulations or 3 communications to a Commissioner on a procurement that is scheduled or to be scheduled for consideration on a Commission agenda including testimony and 4 expense or compensation thresholds stated in subsection a2 are met. c Subsection a does not apply to 1 advising clients on proposed or pending WSSC regulations or policies without other attempt to influence the Commission if the individual engages in no other acts in the reporting period that requires registration 2 communicating with WSSC when requested by WSSC without engaging in any other activity to influence administrative or executive action on the subject of the communication 3 communicating with WSSC concerning the submission or interpretation of plans drawings blueprints or similar non-policy architectural engineering construction or maintenance requirements 4 communicating with WSSC as an official act of an official or employee of the state a political subdivision of the state or the United States and not on behalf of any other person or business 27 5 actions of a publisher or working journalist in the ordinary course of disseminating news or making editorial comment to the general public without engaging in other lobbying that would directly and specifically benefit the economic interests of a specific person or business and 6 appearing before WSSC at the request of a lobbyist if the witness A takes no other action to influence administrative or executive action and B identifies himself or herself as testifying at the request of the lobbyist. d Except for the authorization required by Section 6-3 an individual or organization is exempt from the reporting requirements of this Article if the individual or organization 1 compensates one or more lobbyists 2 reasonably believes that each lobbyist will timely register and report all expenditures required to be reported and 3 engages in no other lobbying. e Notwithstanding subsection b of this section if a lobbyist fails to report timely any information required under this Article the lobbyists employer is immediately subject to the reporting requirements of this Article. Section 6-2. How and When to Register as a Lobbyist. a Every person required to register with the Board under Section 6-1 must disclose the following information on a form provided by the Board 1 the lobbyists name and permanent address 2 the name and permanent address of any person who will lobby on behalf of the lobbyist 3 the name address and nature of business of any person who compensates the lobbyist and 4 the identification by formal designation if known of each matter on which the lobbyist expects to lobby or employs someone to lobby. b This form must be filed not later than 5 days after an individual or organization first meets the requirements for registration under this Article. c A lobbyist must register separately for each employer. d Each registration if applicable shall include the authorization required under Section 6-3. e Each registration form shall be accompanied by a fee of 20 or other amount specified in the WSSC schedule of fees and charges. 28 f Each lobbyist may file a notice of termination within 30 days after 1 stopping any lobbying activity and 2 filing the reports required under this Article. Section 6-3. Authority to Lobby. a An entity that engages a lobbyist for the purpose of lobbying shall provide a signed authorization for the regulated person to act. If the entity is a corporation an authorized officer or agent other than the lobbyist shall sign the authorization. b The authorization to act required by subsection a of this section shall include the name and address of the lobbyist the period during which the lobbyist is authorized to act subject to subsequent modification and the subject matter on which the lobbyist represents the entity. Section 6-4. Compensation Must Not be Contingent. Any person must not pay another person compensation that depends on or varies with the success or defeat of any administrative or executive action by WSSC. Section 6-5. Reports by Lobbyists to the Board. a Each registered lobbyist must file with the Board under oath 1 a report covering the period from January through June 30 filed by July 31 and 2 a report covering the period from July 1 through December 31 filed by January 31. b If the lobbyist is not an individual an authorized officer or agent of the lobbyist must sign the form. Each lobbyist must file a separate report for each individual or organization that compensates the lobbyist. c Each report must include 1 a complete and current statement of the information required under Section 6-2 for registration 2 disclosure regarding compensation gifts expenses gifts fees and other costs related to lobbying efforts to the extent authorized under Md. Ann. Code State Government Article 15-704 and 15-705 and 3 disclosure of business transactions that an individual lobbyist has with a Commissioner or General Manager to the extent authorized under Md. Ann. Code State Government Article 15-706. 29 d Forms shall be substantially similar to those used by the State Ethics Commission and shall use the same method of allocating costs required by that agency. Section 6-6. Public Inspection of Lobbyist Registration Documents. a The Board must maintain all required documents under this Article and make them available to the public for inspection and copying. b The Board may establish procedures for inspection. The Board may charge fees for copying as specified in the WSSC schedule of fees and charges. Section 2. Except for Section 2-1 pertaining to the appointment of the Board of Ethics Section 1 of this Resolution shall be effective on November 1 2003. On that date Commission Resolution 82-723 Resolution 82-724 Resolution 83-779 and Resolution 96-1509 are repealed. Any inconsistent provisions in the WSSC Personnel Policy and Benefits Programs Manual shall also be superseded on November 1 2003. Section 3. The General Counsel after consultation with the General Manager is delegated authority to recodify renumber or otherwise make technical corrections to the text of this Resolution. Provisions related to Ethics in Public Contracts may be transferred to or otherwise appear in procedures related to WSSC procurement. Section 4. The General Manager shall take all necessary administrative action necessary to implement this Resolution. The General Manager and Internal Auditor are delegated authority to adopt guidelines not inconsistent with this Resolution necessary for proper implementation of Section 1. Section 5. Notice of this Resolution shall be published in a newspaper circulated in both Prince Georges and Montgomery Counties on or before July 1 2003. Except as otherwise provided in Section 2 this Resolution shall be effective 30 days from the date of publication. A True Copy. Attest _______signed__________________ Secretary 30 31 32 33 34 35 36 37 38 39