15103104D
SENATE BILL NO. 1345
Offered January 19, 2015
A BILL to amend and reenact §§2.2-419, 2.2-426, 2.2-431,
2.2-433, 2.2-3101, 2.2-3103, 2.2-3103.1, 2.2-3104, 2.2-3106, 2.2-3114 through
2.2-3118, 2.2-3121, 2.2-3124, 2.2-3131, 24.2-954, 30-101, 30-103, 30-103.1,
30-110, 30-111, 30-123, 30-124, 30-126, 30-127, and 30-129.1 of the Code of
Virginia; to amend the Code of Virginia by adding in Chapter 25 of Title 2.2 an
article numbered 10, consisting of sections numbered 2.2-2537 through 2.2-2546;
and to repeal §§2.2-428 and 30-112 through 30-119 and Chapter 56 (§§30-355
through 30-358) of Title 30 of the Code of Virginia, relating to State and
Local Government Conflict of Interests Act and General Assembly Conflicts of
Interests Act; establishing the Virginia Independent Ethics Review Commission;
penalty.
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Patron-- McEachin
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Referred to Committee on Rules
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Be it enacted by the General Assembly of Virginia:
1. That §§2.2-419, 2.2-426, 2.2-431, 2.2-433, 2.2-3101,
2.2-3103, 2.2-3103.1, 2.2-3104, 2.2-3106, 2.2-3114 through 2.2-3118, 2.2-3121,
2.2-3124, 2.2-3131, 24.2-954, 30-101, 30-103, 30-103.1, 30-110, 30-111, 30-123,
30-124, 30-126, 30-127, and 30-129.1 of the Code of Virginia are amended and
reenacted and that the Code of Virginia is amended by adding in Chapter 25 of
Title 2.2 an article numbered 10, consisting of sections numbered 2.2-2537
through 2.2-2546, as follows:
§2.2-419. Definitions.
As used in this article, unless the context requires a
different meaning:
"Anything of value" means:
1. A pecuniary item, including money, or a bank bill or note;
2. A promissory note, bill of exchange, order, draft, warrant,
check, or bond given for the payment of money;
3. A contract, agreement, promise, or other obligation for an
advance, conveyance, forgiveness of indebtedness, deposit, distribution, loan,
payment, gift, pledge, or transfer of money;
4. A stock, bond, note, or other investment interest in an
entity;
5. A receipt given for the payment of money or other property;
6. A right in action;
7. A gift, tangible good, chattel, or an interest in a gift,
tangible good, or chattel;
8. A loan or forgiveness of indebtedness;
9. A work of art, antique, or collectible;
10. An automobile or other means of personal transportation;
11. Real property or an interest in real property, including
title to realty, a fee simple or partial interest, present or future,
contingent or vested within realty, a leasehold interest, or other beneficial
interest in realty;
12. An honorarium or compensation for services;
13. A rebate or discount in the price of anything of value
unless the rebate or discount is made in the ordinary course of business to a
member of the public without regard to that person's status as an executive or
legislative official, or the sale or trade of something for reasonable
compensation that would ordinarily not be available to a member of the public;
14. A promise or offer of employment; or
15. Any other thing of value that is pecuniary or compensatory
in value to a person.
"Anything of value" does not mean a campaign
contribution properly received and reported pursuant to Chapter 9.3 (§24.2-945
et seq.) of Title 24.2.
"Commission"
means the Virginia Independent Ethics Review Commission established in
Article 10 (§§2.2-2537 et seq.) of Chapter 25.
"Compensation" means:
1. An advance, conveyance, forgiveness of indebtedness,
deposit, distribution, loan, payment, gift, pledge, or transfer of money or
anything of value; or
2. A contract, agreement, promise or other obligation for an
advance, conveyance, forgiveness of indebtedness, deposit, distribution, loan,
payment, gift, pledge, or transfer of money or anything of value, for services
rendered or to be rendered.
"Compensation" does not mean reimbursement of
expenses if the reimbursement does not exceed the amount actually expended for
the expenses and it is substantiated by an itemization of expenses.
"Dependent"
means a son, daughter, father, mother, sister, or other person, whether or not
related by blood or marriage, if such persons receives from the executive
or legislative official, or provides to the executive or legislative official,
more than one-half of his financial support.
"Executive action" means the proposal, drafting,
development, consideration, amendment, adoption, approval, promulgation,
issuance, modification, rejection, or postponement by an executive agency or
official of legislation or executive orders issued by the Governor.
"Executive agency" means an agency, board,
commission, or other body in the executive branch of state government.
"Executive agency" includes the State Corporation Commission, the
Virginia Workers' Compensation Commission, and the Virginia Lottery.
"Executive official" means:
1. The Governor;
2. The Lieutenant Governor;
3. The Attorney General;
4. Any officer or employee of the office of the Governor or
Lieutenant Governor other than a clerical or secretarial employee;
5. The Governor's Secretaries, the Deputy Secretaries, and the
chief executive officer of each executive agency; or
6. Members of supervisory and policy boards, commissions and councils,
as defined in §2.2-2100, however selected.
"Expenditure" means:
1. A purchase, payment, distribution, loan, forgiveness of a
loan or payment of a loan by a third party, advance, deposit, transfer of
funds, a promise to make a payment, or a gift of money or anything of value for
any purpose;
2. A payment to a lobbyist for salary, fee, reimbursement for
expenses, or other purpose by a person employing, retaining, or contracting for
the services of the lobbyist separately or jointly with other persons;
3. A payment in support of or assistance to a lobbyist or the
lobbyist's activities, including the direct payment of expenses incurred at the
request or suggestion of the lobbyist;
4. A payment that directly benefits an executive or
legislative official or a member of the official's immediate family;
5. A payment, including compensation, payment, or
reimbursement for the services, time, or expenses of an employee for or in
connection with direct communication with an executive or legislative official;
6. A payment for or in connection with soliciting or urging
other persons to enter into direct communication with an executive or
legislative official; or
7. A payment or reimbursement for categories of expenditures
required to be reported pursuant to this chapter.
"Expenditure" does not mean a campaign contribution
properly received and reported pursuant to Chapter 9.3 (§24.2-945 et seq.) of
Title 24.2.
"Fair market value" means the price that a good or
service would bring between a willing seller and a willing buyer in the open
market after negotiations. If the fair market value cannot be determined, the
actual price paid for the good or service shall be given consideration.
"Gift" means anything of value to the extent that a
consideration of equal or greater value is not received.
"Gift" does not mean:
1. Printed informational or promotional material;
2. A gift that is not used and, no later than 60 days after
receipt, is returned to the donor or delivered to a charitable organization and
is not claimed as a charitable contribution for federal income tax purposes;
3. A gift, devise, or inheritance from an individual's spouse,
child, parent, grandparent, brother, sister, parent-in-law, brother-in-law,
sister-in-law, nephew, niece, aunt, uncle, or first cousin or the spouse of
that individual, if the donor is not acting as the agent or intermediary for
someone other than a person covered by this subdivision; or
4. A gift of a value of $50 $25 or less.
"Immediate family" means (i) the spouse and (ii) any child who resides other person residing in the
same household as the executive or legislative official and, who is a dependent of the
official.
"Legislative action" means:
1. Preparation, research, drafting, introduction,
consideration, modification, amendment, approval, passage, enactment, tabling,
postponement, defeat, or rejection of a bill, resolution, amendment, motion,
report, nomination, appointment, or other matter by the General Assembly or a
legislative official;
2. Action by the Governor in approving, vetoing, or
recommending amendments for a bill passed by the General Assembly; or
3. Action by the General Assembly in overriding or sustaining
a veto by the Governor, considering amendments recommended by the Governor, or
considering, confirming, or rejecting an appointment of the Governor.
"Legislative official" means:
1. A member or member-elect of the General Assembly;
2. A member of a committee, subcommittee, commission, or other
entity established by and responsible to the General Assembly or either house
of the General Assembly; or
3. Persons employed by the General Assembly or an entity
established by and responsible to the General Assembly.
"Lobbying" means:
1. Influencing or attempting to influence executive or
legislative action through oral or written communication with an executive or
legislative official; or
2. Solicitation of others to influence an executive or
legislative official.
"Lobbying" does not mean:
1. Requests for appointments, information on the status of
pending executive and legislative actions, or other ministerial contacts if
there is no attempt to influence executive or legislative actions;
2. Responses to published notices soliciting public comment
submitted to the public official designated in the notice to receive the
responses;
3. The solicitation of an association by its members to
influence legislative or executive action; or
4. Communications between an association and its members and
communications between a principal and its lobbyists.
"Lobbyist" means:
1. An individual who is employed and receives payments, or who
contracts for economic consideration, including reimbursement for reasonable
travel and living expenses, for the purpose of lobbying;
2. An individual who represents an organization, association,
or other group for the purpose of lobbying; or
3. A local government employee who lobbies.
"Lobbyist's principal" or "principal"
means the entity on whose behalf the lobbyist influences or attempts to
influence executive or legislative action. An organization whose employees
conduct lobbying activities on its behalf is both a principal and an employer
of the lobbyists. In the case of a coalition or association that employs or
retains others to conduct lobbying activities on behalf of its membership, the
principal is the coalition or association and not its individual members.
"Local government" means:
1. Any county, city, town, or other local or regional
political subdivision;
2. Any school division;
3. Any organization or entity that exercises governmental
powers that is established pursuant to an interstate compact; or
4. Any organization composed of members representing entities
listed in subdivisions 1, 2, or 3 of this definition.
"Local government employee" means a public employee
of a local government.
"Person" means an individual, proprietorship, firm,
partnership, joint venture, joint stock company, syndicate, business trust,
estate, company, corporation, association, club, committee, organization, or
group of persons acting in concert.
"Secretary"
means the Secretary of the Commonwealth.
"Value" means the actual cost or fair market value
of an item or items, whichever is greater. If the fair market value cannot be
determined, the actual amount paid for the item or items shall be given
consideration.
§2.2-426. Lobbyist reporting; penalty.
A. Each lobbyist shall file with the Virginia Conflict of Interest and Ethics Advisory Council Independent Ethics Review Commission
a separate semiannual report of expenditures, including gifts, for each
principal for whom he lobbies by December 15 for the preceding six-month period
complete through the last day of October and June 15 for the preceding
six-month period complete through the last day of April.
B. Each principal who expends more than $500 to employ or
compensate multiple lobbyists shall be responsible for filing a consolidated
lobbyist report pursuant to this section in any case in which the lobbyists are
each exempt under the provisions of subdivision 7 or 8 of §2.2-420 from the
reporting requirements of this section.
C. The report shall be on a form
provided prescribed and made
available by the Virginia Conflict of
Interest and Ethics Advisory Council, which shall be
substantially as follows and shall be accompanied by instructions provided by
the Council Commission. All reports shall be submitted electronically and
in accordance with the standards approved by the Commission pursuant to the
provisions of §2.2-2540. A person required
to file this
disclosure statement who does so knowing
it to contain a material misstatement of fact is guilty of a Class 5 felony.
LOBBYIST'S DISCLOSURE STATEMENT
PART I:
(1) PRINCIPAL: _____________________________________________________
In Part I, item 2a, provide the name of the individual
authorizing your employment as a lobbyist. The lobbyist filing
this statement MAY NOT list his name in item 2a.
(2a) Name: __________________________________________________________
(2b) Permanent Business Address: ____________________________________
(2c) Business Telephone: ____________________________________________
(3) Provide a list of executive and legislative actions (with as
much specificity as possible) for which you lobbied and a
description of activities conducted.
________________________________________________________________
________________________________________________________________
________________________________________________________________
(4) INCORPORATED FILINGS: If you are filing an incorporated
disclosure statement, please complete the following:
Individual filing financial information: _______________________
Individuals to be included in the filing: ______________________
________________________________________________________________
(5) Please indicate which schedules will be attached to your
disclosure statement:
[ ] Schedule A: Entertainment Expenses
[ ] Schedule B: Gifts
[ ] Schedule C: Other Expenses
(6) EXPENDITURE TOTALS:
a) ENTERTAINMENT $ ______
b) GIFTS $ ______
c) COMMUNICATIONS $ ______
d) PERSONAL LIVING AND TRAVEL EXPENSES $ ______
e) COMPENSATION OF LOBBYISTS $ ______
f) HONORARIA $ ______
g) OTHER $ ______
TOTAL $ ______
PART II:
(1a) NAME OF LOBBYIST: ______________________________________________
(1b) Permanent Business Address: ____________________________________
(1c) Business Telephone: ____________________________________________
(2) As a lobbyist, you are (check one)
[ ] EMPLOYED (on the payroll of the principal)
[ ] RETAINED (not on the payroll of the principal, however
compensated)
[ ] NOT COMPENSATED (not compensated; expenses may be reimbursed)
(3) List all lobbyists other than yourself who registered to
represent your principal.
________________________________________________________________
________________________________________________________________
________________________________________________________________
(4) If you selected "EMPLOYED" as your answer to Part II, item 2,
provide your job title.
________________________________________________________________
PLEASE NOTE: Some lobbyists are not individually compensated for
lobbying activities. This may occur when several members of a firm
represent a single principal. The principal, in turn, makes a single
payment to the firm. If this describes your situation, do not answer
Part II, items 5a and 5b. Instead, complete Part III, items 1 and 2.
(5a) What was the DOLLAR AMOUNT OF YOUR COMPENSATION as a lobbyist?
(If you have job responsibilities other than those involving
lobbying, you may have to prorate to determine the part of your
salary attributable to your lobbying activities.) Transfer your
answer to this item to Part I, item 6e.
(5b) Explain how you arrived at your answer to Part II, item 5a.
________________________________________________________________
________________________________________________________________
________________________________________________________________
PART III:
PLEASE NOTE: If you answered Part II, items 5a and 5b, you WILL NOT
complete this section.
(1) List all members of your firm, organization, association,
corporation, or other entity who furnished lobbying services to
your principal.
________________________________________________________________
________________________________________________________________
________________________________________________________________
(2) Indicate the total amount paid to your firm, organization,
association, corporation or other entity for services rendered.
Transfer your answer to this item to Part I, item 6e____________
SCHEDULE A
ENTERTAINMENT EXPENSES
PLEASE NOTE: Any single entertainment event included in the expense
totals of the principal, with a value greater than $50, should be
itemized below. Transfer any totals from this schedule to Part I,
item 6a. (Please duplicate as needed.)
Date and Location of Event:
_____________________________________________________________________
_____________________________________________________________________
Description of Event:
_____________________________________________________________________
_____________________________________________________________________
Total Number of Persons Attending:
.....................................................................
Names of Legislative and Executive Officials or Members of Their
Immediate Families Attending: (List names only if the average value
for each person attending the event was greater than $50.)
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
Food $ ______
Beverages $ ______
Transportation of Legislative and Executive Officials
or Members of Their Immediate Families $ ______
Lodging of Legislative and Executive Officials or
Members of Their Immediate Families $ ______
Performers, Speakers, Etc. $ ______
Displays $ ______
Rentals $ ______
Service Personnel $ ______
Miscellaneous $ ______
TOTAL $ ______
SCHEDULE B
GIFTS
PLEASE NOTE: Any single gift reported in the expense totals of the
principal, with a value greater than $50, should be itemized below.
(Report meals, entertainment and travel under Schedule A.) Transfer
any totals from this schedule to Part I, item 6b. (Please duplicate
as needed.)
Name of each
legislative or
executive official
or member of his
immediate family Cost of
Date Description who is a recipient individual
of gift: of gift: of a gift: gift:
___________ _____________________ ______________________ $ ______
___________ _____________________ ______________________ $ ______
___________ _____________________ ______________________ $ ______
___________ _____________________ ______________________ $ ______
TOTAL COST TO PRINCIPAL $ ______
SCHEDULE C
OTHER EXPENSES
PLEASE NOTE: This section is provided for any lobbying-related
expenses not covered in Part I, items 6a - 6f. An example of an
expenditure to be listed on schedule C would be the rental of a
bill box during the General Assembly session. Transfer the total
from this schedule to Part I, item 6g. (Please duplicate as needed.)
DATE OF EXPENSE DESCRIPTION OF EXPENSE AMOUNT
__________________ ____________________________________ $ ______
__________________ ____________________________________ $ ______
__________________ ____________________________________ $ ______
__________________ ____________________________________ $ ______
__________________ ____________________________________ $ ______
__________________ ____________________________________ $ ______
__________________ ____________________________________ $ ______
__________________ ____________________________________ $ ______
__________________ ____________________________________ $ ______
TOTAL "OTHER" EXPENSES $ ______
PART IV: STATEMENTS
The following items are mandatory and if they are not properly
completed, the entire filing will be rejected and returned to
the lobbyist:
(1) All signatures on the statement must be ORIGINAL in the format
specified in the instructions provided by the Council that
accompany this form. No stamps, or other reproductions of the
individual's signature will be accepted.
(2) An individual MAY NOT sign the disclosure statement as lobbyist
and principal officer.
STATEMENT OF LOBBYIST
I, the undersigned registered lobbyist, do state that the information
furnished on this disclosure statement and on all accompanying
attachments required to be made thereto is, to the best of my
knowledge and belief, complete and accurate.
________________________
Signature of lobbyist
________________________
Date
STATEMENT OF PRINCIPAL
I, the undersigned principal (or an authorized official thereof), do
state that the information furnished on this disclosure statement
and on all accompanying attachments required to be made thereto is,
to the best of my knowledge and belief, complete and accurate.
________________________
Signature of principal
________________________
Date
D. A person who signs the
disclosure statement knowing it to contain a material misstatement of fact is
guilty of a Class 5 felony.
Certain information regarding the principal and the lobbyist shall be reported.
Such report shall include:
1. The name and contact
information of the lobbyist;
2. The name and contact
information of each principal for whom the lobbyist or the firm, organization,
association, corporation, or other entity employing the lobbyist provided
lobbying services;
3. The total amount
paid by each principal to the lobbyist or the firm, organization,
association, corporation, or other entity employing the lobbyist for services
rendered; and
4. A list of executive
and legislative actions for which the lobbyist lobbied on behalf of each
principal and a description of activities conducted.
E. Certain information regarding
entertainment expenses shall be reported. For each entertainment event with a
value exceeding $25, such
report shall include:
1. The date and
location of the event;
2. A description of the
event;
3. The total number of
persons in attendance;
4. The names of
legislative and executive officials and members of their immediate families in
attendance; and
5. The total amount of
the expenses for:
a. Food;
b.
Beverages;
c.
Transportation of legislative and executive officials and members of their
immediate families;
d.
Lodging of legislative and executive officials and members of their immediate
families;
e.
Performers or speakers;
f.
Displays;
g.
Rentals;
h.
Service personnel; and
i.
Miscellaneous items.
F. Certain information
regarding gifts shall be reported. Only gifts with a value
exceeding $25 shall be reported. For each gift provided
to a legislative or executive official or a member of his immediate family,
such report shall include:
1. The date of the
gift;
2. The name of the
recipient or recipients;
3. The exact gift; and
4. The value of the
gift.
G. Certain information
regarding other lobbying-related expenses shall be reported. The Commission
shall provide guidance on what constitutes a lobbying-related expense.
H.
Each lobbyist shall send to each legislative and executive official who is
required to be identified by name on Schedule A or B of the gifts or entertainment reports of
the Lobbyist's Disclosure Form a copy of Schedule A or B the report or a summary of the
information pertaining to that official. Copies or summaries shall be provided
to the official by November 21 for the preceding six-month period complete
through the last day of October and by May 21 for the preceding six-month
period complete through the last day of April.
§2.2-431. Penalties; filing of substituted statement.
A. Every Any lobbyist failing
required to file the statement prescribed by §2.2-426 who fails to file such statement
within the time period
prescribed therein shall be assessed a
civil penalty of fifty dollars in an amount equal to $250, and every individual failing to file the
statement within ten days after the time prescribed herein shall be
assessed an additional civil penalty of fifty dollars per day from the eleventh day of such default
until the statement is filed. The
Commission shall notify the Secretary of any lobbyist's failure to file the
statement within 30 days of the deadline for filing, and
the penalties shall be assessed and collected by the
Secretary. The Attorney General shall assist the Secretary in collecting the
penalties, upon request.
B. Every Any lobbyist's principal whose
lobbyist fails to file the statement prescribed by §2.2-426 shall be assessed
a civil penalty of fifty dollars in an amount equal to $250, and shall be assessed an additional civil penalty
of fifty dollars per day from the eleventh day of such default
until the statement is filed. The
Commission shall notify the Secretary of any lobbyist's failure to file the
statement within 30 days of the deadline for filing, and
the penalty shall be assessed and collected by the
Secretary. The Attorney General shall assist the Secretary in collecting the
penalties, upon request.
C. No individual who has failed to file the statement required
by §2.2-426 or who has failed to pay all penalties assessed pursuant to this
section, shall register or act as a
lobbyist as long as he remains in default.
D. Whenever any lobbyist is or will be in default under §
2.2-426, and the reasons for such default are or will be beyond his control, or
the control of his principal, or both, the Secretary may suspend the assessment
of any penalty otherwise assessable and accept a substituted statement, upon
the submission of sworn proofs that shall satisfy him that the default has been
beyond the control of the lobbyist or his principal, and that the substituted
statement contains the most accurate and complete information available after
the exercise of due diligence.
E. Penalties collected pursuant to this section shall be
payable to the State Treasurer for deposit to the general fund.
§2.2-433. Prohibited acts; violation a misdemeanor.
A. No lobbyist shall:
1. Lobby in violation of the provisions of this article;
2. Make any expenditure, or obligate himself to do so, in
connection with lobbying, unless he fully discloses the expenditure as required
in this article; or
3. Misrepresent in any
material respect or omit Omit
any information required to be reported pursuant to this article.
B. No lobbyist's principal shall:
1. Fail to file any statement required to be filed by the
provisions of this article;
2. Misrepresent in any
material respect or omit Omit
any information required to be reported pursuant to this article; or
3. Violate any of the provisions of this article.
C. Except as provided in subsection D C of §2.2-426, any lobbyist
or lobbyist's principal violating any provision of this article shall be guilty
of a Class 1 misdemeanor. However, a lobbyist who receives no compensation or
anything of value for lobbying shall not be subject to the criminal penalties
prescribed by this section.
Article 10.
Virginia Independent Ethics
Review Commission.
§2.2-2537. Virginia
Independent Ethics Review Commission
established.
The Virginia
Independent Ethics Review Commission (the
Commission) is hereby established as an independent commission in state
government to encourage and facilitate compliance with, and investigate
violations of, the State and Local Government Conflict of Interests Act (§
2.2-3100 et seq.) and the General Assembly Conflicts of Interests Act (§30-100
et seq.) (the Acts) and the lobbying laws in Article 3 (§2.2-418 et seq.) of
Chapter 4 (Article 3).
§2.2-2538. Membership;
terms; prohibited activities.
A. The Commission shall
consist of seven members as follows: two
nonlegislative citizen members appointed by
the House of Delegates, one of whom shall be a
former member of the House and shall be appointed by
the Speaker of the House of Delegates, and
one of whom shall be an at-large member and shall be
appointed by the leader of the party
with the second highest number of members elected to the House
of Delegates; two nonlegislative citizen members
appointed by the Senate of Virginia, one of whom shall be a
former member of the Senate and shall be appointed by
the leader of the party with the highest
number of members elected to the Senate, and
one of whom shall be an at-large member and shall be
appointed by the leader of the party with the
second highest number of members elected to the Senate; and three
nonlegislative citizen members appointed by the Governor, one of whom shall be
a retired local government official. The
Virginia Municipal League and the Virginia Association of Counties shall
provide a list of recommended individuals to the Governor and the General
Assembly for consideration for appointments to the Commission. Nonlegislative
citizen members of the Commission shall be citizens of the Commonwealth.
Vacancies shall be filled in the same manner as the original appointments.
B. Following the
initial staggering of terms, members shall serve for terms of three
years, except that appointments to fill vacancies shall be for the unexpired
term. All members may be reappointed but no member shall be eligible to serve
for more than two successive three-year
terms. As a condition to assuming office, each member of the Commission shall
file the disclosure form prescribed in §2.2-3117.
C. During his term and
for one year prior to his term, no member of the Commission shall (i) hold or
campaign for any public office; (ii) be employed by or volunteer for any local,
state, or federal campaign; (iii) hold office in any political party, political
committee, or partisan organization; (iv) contribute to any candidate or
campaign committee; (v) employ or be employed as a lobbyist; or (vi) solicit,
accept, or receive any gift from any person subject to Article 3 or the Acts.
§2.2-2539. Meetings of
the Commission; expenses; staff;
report.
A. The
Commission shall elect a chairman and vice-chairman from among its membership. A
majority of the Commission shall constitute a quorum. Except as provided in §
2.2-2542, the votes of a majority of the members present are required for any
action or recommendation of the Commission. The Commission shall hold meetings quarterly or
upon the call of the chairman or whenever a majority
of the members so request.
B. Members shall
receive no compensation for their services but shall be reimbursed for all
reasonable and necessary expenses incurred in the performance of their duties
as provided in §§2.2-2813 and 2.2-2825. Funding for the expenses of the
members shall be provided from existing appropriations to the Commission.
C. The Commission shall
employ an executive director and a chief counsel. The executive director shall
be responsible for the administrative operations of the Commission and shall
perform other duties as may be delegated or assigned to him by the Commission. He
shall be responsible for the hiring of staff sufficient for carrying out the
responsibilities of the Commission. Such staff shall be not
be provided by any other agency. The chief counsel shall
be the chief legal officer of the Commission.
§2.2-2540. Disclosure
forms.
A. The Commission shall prescribe the
forms required for complying with the disclosure requirements of Article 3 and
the Acts. The Commission may amend the forms as it deems necessary, but in no
case shall the forms require less information than that which is required to be
reported by Article 3 or the Acts. These forms shall be the only forms used in
complying with the provisions of Article 3 and the Acts.
B. The Commission shall
make available on its website the forms for disclosure required to be filed by
Article 3 and the Acts. The Commission shall
provide guidance and other instructions for
persons required to file a disclosure form by Article 3 or the Acts to assist
in the completion of the forms. Any person so required
to file a disclosure form may request, and the Commission shall provide to him,
the disclosure form he is required to file in its paper form.
C. The
Commission shall provide software or electronic access for filing the
required disclosure forms to any
filer subject to the disclosure requirements of Article
3 or the Acts without charge. It shall
prescribe the method of execution and certification of electronically filed
forms, including the use of an electronic signature as authorized by the
Uniform Electronic Transactions Act (§59.1-479 et seq.). The Commission shall
maintain a searchable database on its website of all disclosure forms properly
filed.
D. The
Commission shall initially review all disclosure forms to ensure those persons
required to file a disclosure form have filed such a form and to determine if
the disclosure form has been fully completed. If a disclosure form is found to
have not been filed or to have been incomplete as filed, the Commission shall
notify the filer in writing and direct the filer to file a completed disclosure
form within 10 days.
§2.2-2541. Waivers
for travel and certain prohibited
gifts.
A. The
Commission shall receive, review, and approve or deny applications for
waivers submitted by persons required to
file the disclosure form prescribed in §2.2-3117 or
30-111 to accept any transportation, lodging, meal, hospitality, or
other travel-related thing of value provided by a third party that
exceeds the limitation prescribed in §2.2-3103.1 or
30-103.1. A waiver shall not be
required for acceptance of travel paid for or provided by the
government of the United States, any
of its territories, or another
state in the United States or the political
subdivision of such other state.
B. The Commission shall
receive, review, and approve or deny applications
for waivers submitted by persons required to file the disclosure form
prescribed in §2.2-3117 or 30-111 to accept any loan in excess of $5,000 from
any noncommercial lender.
C.
Within 10 days of receipt of an
application for a waiver, the Commission shall approve or
deny the waiver, unless additional
information has been requested. If additional information has been requested,
the Commission shall approve or deny the waiver
within 10 days of receipt of such information. When reviewing the application
for a waiver, the Commission shall consider the purpose of the
travel as it relates to the official duties of the requester. The Commission
may approve the waiver in whole or in part,
which may include limiting the duration of the trip.
Within 48 hours of approving an
application for a waiver, the Commission shall post the waiver
on its website.
D. An
application for a waiver pursuant to subsection
A or B shall be on a form prescribed by the Commission and
made available on its website.
1. The
application required by subsection
A shall include specific information
regarding the travel, including a detailed agenda and
estimated costs. All information
included in the application will be subject to public disclosure.
2. The application
required by subsection B shall include specific information regarding the
noncommercial lender and the terms of the loan. This application shall be required
for loans provided to the spouse and dependent children of those persons
required to file the disclosure form prescribed in §§
2.2-3117 and 30-111.
E. No
person shall be prosecuted, assessed a civil penalty, or otherwise disciplined
for acceptance of a gift, loan, or travel-related thing
of value if he accepted such gift, loan, or travel-related
thing of value after receiving a waiver under this section and the waiver was
granted after his full disclosure of the material facts.
F. The
Commission shall provide instructions for
completing and submitting an application
pursuant to this section. It shall
prescribe the procedures for receiving and reviewing
applications for waivers and the
standards for approving or denying such waivers.
§2.2-2542.
Advisory opinions.
A. Upon the request of
any person subject to the requirements of Article 3 or the Acts, the Commission
shall furnish informal advice or formal advisory opinions or guidance with
respect to ethics, conflicts issues, or such person's duties under Article 3 or
the Acts.
B. Formal advisory
opinions are public record and shall be
published on the Commission's website within 48 hours of
issuance. Published formal advisory opinions may have such
deletions and changes as may be necessary to protect the identity of the person
involved. The informal advice given by the Commission is confidential and
excluded from the provisions of the Virginia Freedom of Information Act (§
2.2-3700 et seq.).
C. No person shall be
prosecuted, assessed a civil penalty, or otherwise disciplined for a violation
of Article 3 or the Acts if the alleged violation resulted from his good faith
reliance on a formal advisory opinion issued under this section and the opinion
was issued after his full disclosure of the material facts.
§2.2-2543. Audits.
The Commission shall
conduct a semiannual audit of a random sample of the disclosure forms filed
pursuant to Article 3 and the Acts. This audit shall be performed by the
Commission in accordance with generally accepted auditing standards and shall
review each disclosure form to determine (i) compliance with applicable
disclosure requirements, (ii) compliance with applicable limitations on gifts,
(iii) the accuracy of the information disclosed, and (iv) whether filing
deadlines were met. The Commission may initiate an investigation pursuant to §
2.2-2544 into any discrepancies or possible violations of Article 3 or the Acts
discovered in the course of the audit.
§2.2-2544.
Investigations.
A. Investigations into
alleged violations of the Acts may be initiated upon the Commission's own
motion or in response to the signed and sworn complaint of any citizen of the
Commonwealth. Such a complaint shall be subscribed by its maker as true under
penalty of perjury. No investigation shall be initiated in the 60 days
immediately preceding a primary election or other nominating event or before a
general election in which the subject of the complaint or Commission's motion
is running for office.
B. Upon its own motion,
the Commission, through its executive director, may initiate an investigation
into an alleged violation of the Acts. The investigation shall begin within 30
days of the Commission's discovery of the facts giving rise to the alleged
violation.
C. Upon receipt of a
citizen complaint, the Commission, through its executive director, shall
conduct a preliminary inquiry into any alleged violation of the Acts no later
than 30 days after receipt of the complaint. The Commission shall notify the
subject of the inquiry and forward to him a copy of the complaint. During its
preliminary inquiry, the Commission shall determine whether the facts stated in
the complaint, when taken as true, are sufficient to show a violation of the
Acts. It shall complete its preliminary inquiry within 30 days of the
initiation of the inquiry. All documents,
records, and other information related to the preliminary inquiry are
confidential and are excluded from the provisions of the Virginia Freedom of
Information Act (§2.2-3700 et seq.). If the preliminary inquiry establishes
that the facts stated in the complaint taken as true are not sufficient to show
a violation of the Acts, the complaint shall be dismissed, and the Commission
shall notify the subject of the inquiry and the complainant. If the preliminary
inquiry establishes that the facts stated in the complaint taken as true are
sufficient to show a violation of the Acts, the Commission, through its
executive director, shall initiate an investigation to determine if there has
been a violation. The investigation shall begin within 30 days of the
completion of the preliminary inquiry.
D. An investigation
initiated pursuant to subsection B or C shall not begin until the subject of
the investigation has been notified and provided a general statement of the
alleged violation and the applicable statutes with respect to such violation.
Service of notice is complete upon mailing by certified or registered mail.
During the investigation, the Commission, its executive director, and its staff
shall conduct interviews, take statements, receive and inspect documents and
records, and gather other evidence as may be relevant. The Commission shall
have the authority to issue subpoenas to compel the production of documents,
records, and other information. The Commission shall complete its investigation
no later than 180 days after the
initiation of the investigation and
within 30 days of completion of the investigation shall make a written report
of its findings and shall provide of a copy of that report to the subject of
the investigation. If the Commission finds that
no violation was committed, the Commission shall put in the written report its
reasons for dismissal of the complaint and shall notify the subject of the
investigation and the complainant, if there is one. In
all other cases, the written report shall include the pertinent findings of
fact and the Commission shall schedule a hearing on the matter.
E. Any hearing
conducted pursuant to subsection D shall be open to the public and shall be
held no later than 30 days after the issuance of the findings report. At any
hearing, the Commission shall have the authority to issue subpoenas to compel
the attendance of witnesses or the production of documents, records, and other
information, and the Commission shall issue such
subpoenas upon the request of the subject of the investigation. The subject of
the investigation shall have the right to request the issuance of subpoenas,
present evidence, have access to any evidence used or developed by the
Commission during its investigation, cross-examine witnesses, face and examine
the complainant, if there was one, and be represented by
counsel. At the conclusion of the hearing, the Commission shall deliberate on
the evidence and determine whether there has been a violation of the Acts. At
least five members of the Commission must find a violation by clear and
convincing evidence.
F. Within 30 days
following the conclusion of a hearing conducted pursuant to subsections D and
E, the Commission shall issue a final order. The final order shall set forth
the alleged violation, the findings of fact, and the conclusions of law. It may
also include recommendations for disciplinary action, civil penalties, or
criminal prosecution. Final orders are public record and shall be published on
the Commission's website.
G. Any person
subpoenaed pursuant to subsection D or E may immediately procure by petition a
decision on the validity of the subpoena in the circuit court as provided in §
2.2-4003.
§2.2-2545. Violations.
A. If
the Commission, after conducting an investigation pursuant to §2.2-2544, finds
a person subject to the requirements of the State and Local Government Conflict
of Interests Act (§2.2-3100 et seq.) has knowingly violated
one or more provisions of that Act, it shall refer a matter
involving a state officer or employee by its final order to the Attorney
General and a matter involving a local officer or employee by its final order
to the attorney for the Commonwealth within the political subdivision for which
he was elected or is employed.
B. If
the Commission, after conducting an investigation pursuant to §
2.2-2544, finds a person subject to the requirements of the
General Assembly Conflicts of Interests Act (§30-100 et seq.) has knowingly
violated one or more of the provisions of that Act,
it shall refer the matter by its final order to the
Attorney General.
C. The final orders
referred to the Attorney General or an attorney
for the Commonwealth pursuant to subsection
A or B shall contain recommendations for civil penalties or criminal prosecution.
§2.2-2546.
Other powers and duties.
The Commission shall:
1. Conduct training
seminars and educational programs for lobbyists, state and local government
officers and employees, legislators, and other interested persons on the
requirements of Article 3 and the Acts and provide ethics orientation sessions
for legislators in compliance with Article 6 (§30-129.1 et seq.) of Chapter 13
of Title 30;
2. Approve orientation
courses conducted pursuant to §2.2-3128 and, upon request, review the
educational materials and approve any training or course on the requirements of
Article 3 and the Acts conducted for state and local government officers and
employees;
3. Publish such
educational materials as it deems appropriate on the provisions of Article 3
and the Acts;
4. Request from any
agency of state or local government such assistance, services, and information
as will enable the Commission to effectively carry out its responsibilities.
Information provided to the Commission by an agency of state or local
government shall not be released to any other party unless authorized by such
agency;
5. Report on or before
December 1 of each year on its activities and findings regarding Article 3 and
the Acts, including recommendations for changes in the laws, to the General
Assembly and the Governor. The annual report shall be submitted by the chairman
as provided in the procedures of the Division of Legislative Automated Systems
for the processing of legislative documents and reports and shall be published
as a state document; and
6. Do all acts
necessary or convenient to carry out the purposes of this chapter.
§2.2-3101. Definitions.
As used in this chapter, unless the context requires a
different meaning:
"Advisory agency" means any board, commission,
committee or post which does not exercise any sovereign power or duty, but is
appointed by a governmental agency or officer or is created by law for the
purpose of making studies or recommendations, or advising or consulting with a
governmental agency.
"Affiliated business entity relationship" means a
relationship, other than a parent-subsidiary relationship, that exists when (i)
one business entity has a controlling ownership interest in the other business
entity, (ii) a controlling owner in one entity is also a controlling owner in
the other entity, or (iii) there is shared management or control between the
business entities. Factors that may be considered in determining the existence
of an affiliated business entity relationship include that the same person or substantially
the same person owns or manages the two entities, there are common or
commingled funds or assets, the business entities share the use of the same
offices or employees, or otherwise share activities, resources or personnel on
a regular basis, or there is otherwise a close working relationship between the
entities.
"Business" means a corporation, partnership, sole
proprietorship, firm, enterprise, franchise, association, trust or foundation,
or any other individual or entity carrying on a business or profession, whether
or not for profit.
"Commission"
means the Virginia Independent Ethics Review Commission established in Article
10 (§2.2-2537 et seq.) of Chapter 25.
"Contract" means any agreement to which a
governmental agency is a party, or any agreement on behalf of a governmental
agency that involves the payment of money appropriated by the General Assembly
or a political subdivision, whether or not such agreement is executed in the
name of the Commonwealth, or some political subdivision thereof.
"Contract" includes a subcontract only when the contract of which it
is a part is with the officer's or employee's own governmental agency.
"Council"
means the Virginia Conflict of Interest and Ethics Advisory Council established
in §30-355.
"Dependent"
means a son, daughter, father, mother, brother, sister,
or other person, whether or not related by blood or
marriage, if such person receives from the officer or employee, or provides to
the officer or employee, more than one-half of his financial support.
"Employee" means all persons employed by a
governmental or advisory agency, unless otherwise limited by the context of its
use.
"Financial institution" means any bank, trust
company, savings institution, industrial loan association, consumer finance
company, credit union, broker-dealer as defined in subsection A of §13.1-501,
or investment company or advisor registered under the federal Investment
Advisors Act or Investment Company Act of 1940.
"Gift" means any gratuity, favor, discount,
entertainment, hospitality, loan, forbearance, or other item having monetary
value. It includes services as well as gifts of transportation, local travel,
lodgings, and meals, whether provided
in-kind, or
by purchase of a ticket, payment in advance,
or reimbursement after the expense has been incurred. "Gift" does not
include (i) any offer of a ticket, coupon, or other admission or pass unless
the ticket, coupon, admission, or pass is used; (ii) honorary degrees; (iii)
any athletic, merit, or need-based scholarship or any other financial aid
awarded by a public or private school, institution of higher education, or
other educational program pursuant to such school, institution, or program's
financial aid standards and procedures applicable to the general public; (iv) unsolicited, personally inscribed
awards of appreciation or recognition in the form of a plaque, trophy, wall
memento, or similar item that is given in recognition of public, civic,
charitable, or professional service; (v) a campaign
contribution properly received and reported pursuant to
Chapter 9.3 the Campaign Finance
Disclosure Act (§24.2-945 et seq.) of
Title 24.2; (v) (vi) any gift related to the
private profession or occupation of an officer or employee or of a member of
his immediate family; or (vi) (vii) gifts from relatives or
personal friends. For the purpose of this definition, "relative"
means the donee's spouse, child, uncle, aunt, niece, or nephew; a person to
whom the donee is engaged to be married; the donee's or his spouse's parent, grandparent,
grandchild, brother, or sister; or the donee's brother's or sister's spouse. For the purpose of this definition, "personal
friend" does not include any person that the filer knows or has reason to
know is (a) a lobbyist registered pursuant to Article 3 (§2.2-418 et seq.) of
Chapter 4 of Title 2.2; (b) a lobbyist's principal as defined in §2.2-419; (c)
for an officer or employee of a local governmental or advisory agency, a
person, organization, or business who is a party to or is seeking to become a
party to a contract with the local agency of which he is an officer or an
employee; or (d) for an officer or employee of a state governmental or advisory
agency, a person, organization, or business who is a party to or is seeking to
become a party to a contract with the Commonwealth. For purposes of this
definition, "person, organization, or business" includes individuals
who are officers, directors, or owners of or who have a controlling ownership
interest in such organization or business. In determining whether a person giving a gift is a
personal friend, the following factors shall be considered: (a) the history of
the relationship between the individual receiving the gift and the person
giving the gift, including any previous exchange of gifts between them; (b)
whether the gift was personally paid for by the person giving the gift or
whether he sought a tax deduction or business reimbursement for the gift, and
the knowledge of the individual receiving the gift of such fact; and (c)
whether the person giving the gift also gave the same or similar gifts to other
officers or employees, and the knowledge of the individual receiving the gift
of such fact.
"Governmental agency" means each component part of
the legislative, executive or judicial branches of state and local government,
including each office, department, authority, post, commission, committee, and
each institution or board created by law to exercise some regulatory or
sovereign power or duty as distinguished from purely advisory powers or duties.
Corporations organized or controlled by the Virginia Retirement System are
"governmental agencies" for purposes of this chapter.
"Immediate family" means (i) a spouse and (ii) any child who resides other person residing in the
same household as the officer or employee and, who is a dependent of the
officer or employee.
"Officer" means any person appointed or elected to
any governmental or advisory agency including local school boards, whether or
not he receives compensation or other emolument of office. Unless the context
requires otherwise, "officer" includes members of the judiciary.
"Parent-subsidiary relationship" means a
relationship that exists when one corporation directly or indirectly owns
shares possessing more than 50 percent of the voting power of another
corporation.
"Personal interest" means a financial benefit or
liability accruing to an officer or employee or to a member of his immediate
family. Such interest shall exist by reason of (i) ownership in a business if
the ownership interest exceeds three percent of the total equity of the
business; (ii) annual income that exceeds, or may reasonably be anticipated to
exceed, $5,000 from ownership in real or personal property or a business; (iii)
salary, other compensation, fringe benefits, or benefits from the use of
property, or any combination thereof, paid or provided by a business or
governmental agency that exceeds, or may reasonably be anticipated to exceed,
$5,000 annually; (iv) ownership of real or personal property if the interest exceeds
$5,000 in value and excluding ownership in a business, income, or salary, other
compensation, fringe benefits or benefits from the use of property; (v)
personal liability incurred or assumed on behalf of a business if the liability
exceeds three percent of the asset value of the business; or (vi) an option for
ownership of a business or real or personal property if the ownership interest
will consist of clause (i) or (iv) above.
"Personal interest in a contract" means a personal
interest that an officer or employee has in a contract with a governmental
agency, whether due to his being a party to the contract or due to a personal
interest in a business that is a party to the contract.
"Personal interest in a transaction" means a
personal interest of an officer or employee in any matter considered by his
agency. Such personal interest exists when an officer or employee or,
a member of his immediate family, or his child,
grandchild, parent, or sibling has a personal interest in
property or a business or governmental agency, or represents or provides
services to any individual or business and such property, business or
represented or served individual or business (i) is the subject of the
transaction or (ii) may realize a reasonably foreseeable direct or indirect
benefit or detriment as a result of the action of the agency considering the
transaction. Notwithstanding the above, such personal interest in a transaction
shall not be deemed to exist where (a) an elected member of a local governing
body serves without remuneration as a member of the board of trustees of a
not-for-profit entity and such elected member or member of his immediate family
has no personal interest related to the not-for-profit entity or (b) an
officer, employee, or elected member of a local governing body is appointed by
such local governing body to serve on a governmental agency, or an officer,
employee, or elected member of a separate local governmental agency formed by a
local governing body is appointed to serve on a governmental agency, and the
personal interest in the transaction of the governmental agency is the result
of the salary, other compensation, fringe benefits, or benefits provided by the
local governing body or the separate governmental agency to the officer,
employee, elected member, or member of his immediate family.
"State and local government officers and employees"
shall not include members of the General Assembly.
"State filer" means those officers and employees
required to file a disclosure statement of their personal interests pursuant to
subsection A or B of §2.2-3114.
"Transaction" means any matter considered by any
governmental or advisory agency, whether in a committee, subcommittee, or other
entity of that agency or before the agency itself, on which official action is
taken or contemplated.
§2.2-3103. Prohibited conduct.
No officer or employee of a state or local governmental or
advisory agency shall:
1. Solicit or accept money or other thing of value for
services performed within the scope of his official duties, except the
compensation, expenses or other remuneration paid by the agency of which he is
an officer or employee. This prohibition shall not apply to the acceptance of
special benefits that may be authorized by law;
2. Offer or accept any money or other thing of value for or in
consideration of obtaining employment, appointment, or promotion of any person
with any governmental or advisory agency;
3. Offer or accept any money or other thing of value for or in
consideration of the use of his public position to obtain a contract for any
person or business with any governmental or advisory agency;
4. Use for his own economic benefit or that of another party
confidential information that he has acquired by reason of his public position
and which is not available to the public;
5. Accept any money, loan, gift, favor, service, or business
or professional opportunity that reasonably tends to influence him in the
performance of his official duties. This subdivision shall not apply to any
political contribution actually used for political campaign or constituent
service purposes and reported as required by Chapter 9.3 (§24.2-945 et seq.)
of Title 24.2;
6. Accept any business or professional opportunity when he
knows that there is a reasonable likelihood that the opportunity is being
afforded him to influence him in the performance of his official duties;
7. Accept any honoraria for any appearance, speech, or article
in which the officer or employee provides expertise or opinions related to the
performance of his official duties. The term "honoraria" shall not
include any payment for or reimbursement to such person for his actual travel,
lodging, or subsistence expenses incurred in connection with such appearance,
speech, or article or in the alternative a payment of money or anything of
value not in excess of the per diem deduction allowable under §162 of the
Internal Revenue Code, as amended from time to time. The prohibition in this
subdivision shall apply only to the Governor, Lieutenant Governor, Attorney
General, Governor's Secretaries, and heads of departments of state government;
8. Accept a gift from a person who has interests that may be
substantially affected by the performance of the officer's or employee's
official duties under circumstances where the timing and nature of the gift
would cause a reasonable person to question the officer's or employee's
impartiality in the matter affecting the donor. Violations of this subdivision
shall not be subject to criminal law penalties; or
9. Accept gifts from sources on a basis so frequent as to
raise an appearance of the use of his public office for private gain.
Violations of this subdivision shall not be subject to criminal law penalties; or
10. Solicit, accept, or
receive any transportation, lodging, meal, hospitality, or
other travel-related thing of value exceeding the
limitation prescribed in §2.2-3103.1 that is to be provided
by a third party
prior to submitting to the Commission an application for a waiver to accept
such travel-related thing of value and receiving such a waiver pursuant to §
2.2-2541.
§2.2-3103.1. Certain gifts prohibited.
A. For purposes of this section:
"Intangible
gift" means a thing of temporary value or a thing that upon the happening
of a certain event or expiration of a given date loses its value.
"Intangible gift" includes entertainment, hospitality, a ticket,
admission, or pass, transportation, lodgings, and meals that are reportable on
Schedule E of the disclosure form prescribed in §2.2-3117.
"Tangible
gift" means a thing of value that does not lose its value upon the
happening of a certain event or expiration of a given date. "Tangible
gift" includes currency, negotiable instruments, securities, stock
options, or other financial instruments that are reportable on Schedule E of
the disclosure form prescribed in §2.2-3117. "Tangible gift" does
not include payments or reimbursements received for any intangible gift.
"Bundled
gift" means separate gifts that are paid for or otherwise provided by a
person, organization, or a group of persons or organizations and are delivered
by a single person or organization.
"Widely attended
event" means an event for
which there is a reasonable expectation that at least 25 persons will attend
the event and the event is open to individuals from throughout a particular
industry or profession or who represent persons interested in a particular
issue.
B. An officer or employee of a
state or local governmental or advisory agency or candidate
required to file the disclosure form prescribed in §2.2-3117 (i), or a
member of his immediate family,
shall not solicit, accept, or receive within any calendar year any single tangible gift with a value in excess of $250 $100 or a combination of tangible gifts with an
aggregate value in excess of $250 $100 from any person that he knows or has reason to know is (a) a
lobbyist registered pursuant to Article 3 (§2.2-418 et seq.) of Chapter 4; (b)
a lobbyist's principal as defined in §2.2-419; or (c) a person, organization,
or business who is a party to or is seeking to become a party to a contract
with the local agency of which he is an officer or an employee; (ii) shall
report any tangible gift with a value of $250 or less or any intangible gift
received from any person listed in clause (i) on Schedule E of such disclosure
form; and (iii) shall report any payments for talks, meetings, and publications
on Schedule D of such disclosure form,
other than a relative or personal friend. For purposes of this prohibition and
the disclosure requirements, the total value of a
bundled gift shall be attributed to each person or organization contributing to
the bundled gift.
C. An officer or employee of a state or
local governmental or advisory agency or candidate required
to file the disclosure form prescribed in §2.2-3117 (i)
shall not solicit, accept, or receive within any calendar year any single
tangible gift with a value in excess
of $250 or a combination of
tangible gifts with an aggregate value in excess of $250 from
any person that he knows or has reason to know is (a) a
lobbyist registered pursuant to Article 3 (§2.2-418 et seq.) of Chapter 4; (b)
a lobbyist's principal as defined in §2.2-419; or (c) a person, organization,
or business who is a party to or is seeking to become a party to a contract
with the Commonwealth; (ii) shall report any tangible gift with a value of $250
or less or any intangible gift received from any person listed in clause (i) on
Schedule E of such disclosure form; and (iii) shall report any payments for
talks, meetings, and publications on Schedule D of such disclosure form, or a member of his
immediate family, may accept an
invitation to a widely attended event related to his
official duties and accept any meal otherwise
prohibited by subsection B when such meal is offered to all attendees as part
of the event. Such meals
shall be reported on the disclosure form prescribed in §2.2-3117.
D. An officer or employee
of a state or local governmental or advisory agency or candidate required to
file the disclosure form prescribed in §2.2-3117 may
accept or receive a
travel-related gift that is otherwise prohibited by subsection B when he has
submitted an application for a waiver to the Commission and the
Commission has granted a waiver
pursuant to §2.2-2541. An application for a waiver shall be submitted to the
Commission no later than 10 days prior to the expected date of receipt of such
a gift. Gifts accepted or received pursuant to this subsection shall be
reported on the disclosure form prescribed in §2.2-3117.
E. During
the pendency of a civil action in any state or federal court to which the
Commonwealth is a party, the Governor or the Attorney General or any employee
of the Governor or the Attorney General who is subject to the provisions of
this chapter shall not solicit, accept, or receive any
tangible gift from any person that he knows or has reason
to know is a person, organization, or business who is a party to such civil
action. A person, organization, or business who is a party to such civil action
shall not knowingly give any tangible
gift to the Governor or the Attorney General or any of their employees who are
subject to the provisions of this chapter.
E. The $250 limitation
imposed in accordance with this section shall be adjusted by the Council every
five years, as of January 1 of that year, in an amount equal to the annual
increases for that five-year period in the United States Average Consumer Price
Index for all items, all urban consumers (CPI-U), as published by the Bureau of
Labor Statistics of the U.S. Department of Labor, rounded to the nearest whole
dollar.
F. For
purposes of this section subsection, "person,
organization, or business" includes individuals who are officers,
directors, or owners of or who have a controlling ownership interest in such
organization or business.
§2.2-3104. Prohibited conduct for certain officers and
employees of state government.
For one year after the termination of public employment or
service, no state officer or employee shall, before the agency of which he was
an officer or employee, represent a client or act in a representative capacity
on behalf of any person or group, for compensation, on matters related to
legislation, executive orders, or regulations promulgated by the agency of
which he was an officer or employee. This prohibition shall be in addition to
the prohibitions contained in §2.2-3103.
For the purposes of this section, "state officer or
employee" shall mean means (i) the Governor,
Lieutenant Governor, Attorney General, and officers appointed by the Governor, whether
confirmation by the General Assembly or by either house thereof is required or
not, who are regularly employed on a full-time salaried basis; those officers
and employees of executive branch agencies who report directly to the agency
head; and those at the level immediately below those who report directly to the
agency head and are at a payband 6 or higher and (ii) the officers and
professional employees of the legislative branch designated by the joint rules
committee of the General Assembly. For the purposes of this section, the
General Assembly and the legislative branch agencies shall be deemed one
agency.
As this prohibition
applies to the Governor's Secretaries, "agency" means all agencies
assigned to the Secretary by law or by executive order of the Governor.
Any person subject to the provisions of this section may apply
to the Council
Commission or Attorney General, as provided in §2.2-2542, 2.2-3121, or 2.2-3126, for an advisory
opinion as to the application of the restriction imposed by this section on any
post-public employment position or opportunity.
§2.2-3106. Prohibited contracts by officers and employees of
state government and Eastern Virginia Medical School.
A. No officer or employee of any governmental agency of state
government or Eastern Virginia Medical School shall have a personal interest in
a contract with the governmental agency of which he is an officer or employee,
other than his own contract of employment.
B. No officer or employee of any governmental agency of state
government or Eastern Virginia Medical School shall have a personal interest in
a contract with any other governmental agency of state government unless such
contract is (i) awarded as a result of competitive sealed bidding or
competitive negotiation as set forth in §2.2-4302.1 or 2.2-4302.2 or (ii) is
awarded after a finding, in writing, by the administrative head of the
governmental agency that competitive bidding or negotiation is contrary to the
best interest of the public.
C. The provisions of this section shall not apply to:
1. An employee's personal interest in additional contracts of
employment with his own governmental agency that accrue to him because of a
member of his immediate family, provided the employee does not exercise any
control over the employment or the employment activities of the member of his
immediate family and the employee is not in a position to influence those
activities;
2. The personal interest of an officer or employee of a state
institution of higher education or the Eastern Virginia Medical School in
additional contracts of employment with his own governmental agency that accrue
to him because of a member of his immediate family, provided (i) the officer or
employee and the immediate family member are engaged in teaching, research or
administrative support positions at the educational institution or the Eastern
Virginia Medical School, (ii) the governing board of the educational
institution finds that it is in the best interests of the institution or the
Eastern Virginia Medical School and the Commonwealth for such dual employment
to exist, and (iii) after such finding, the governing board of the educational
institution or the Eastern Virginia Medical School ensures that the officer or
employee, or the immediate family member, does not have sole authority to
supervise, evaluate or make personnel decisions regarding the other;
3. An officer's or employee's personal interest in a contract
of employment with any other governmental agency of state government;
4. Contracts for the sale by a governmental agency or the
Eastern Virginia Medical School of services or goods at uniform prices
available to the general public;
5. An employee's personal interest in a contract between a
public institution of higher education in Virginia or the Eastern Virginia
Medical School and a publisher or wholesaler of textbooks or other educational
materials for students, which accrues to him solely because he has authored or
otherwise created such textbooks or materials;
6. An employee's personal interest in a contract with his or
her employing public institution of higher education to acquire the collections
or scholarly works owned by the employee, including manuscripts, musical
scores, poetry, paintings, books or other materials, writings, or papers of an
academic, research, or cultural value to the institution, provided the
president of the institution approves the acquisition of such collections or
scholarly works as being in the best interests of the institution's public
mission of service, research, or education;
7. Subject to approval by the board of visitors, an employee's
personal interest in a contract between the Eastern Virginia Medical School or
a public institution of higher education in Virginia that operates a school of
medicine or dentistry and a not-for-profit nonstock corporation that operates a
clinical practice within such public institution of higher education or the
Eastern Virginia Medical School and of which such employee is a member or
employee;
8. Subject to approval by the relevant board of visitors, an
employee's personal interest in a contract for research and development or
commercialization of intellectual property between a public institution of
higher education in Virginia or the Eastern Virginia Medical School and a
business in which the employee has a personal interest, if (i) the employee's
personal interest has been disclosed to and approved by such public institution
of higher education or the Eastern Virginia Medical School prior to the time at
which the contract is entered into; (ii) the employee promptly files a
disclosure statement pursuant to §2.2-3117 and thereafter files such statement
annually on or before January December 15; (iii) the
institution has established a formal policy regarding such contracts, approved
by the State Council of Higher Education or, in the case of the Eastern
Virginia Medical School, a formal policy regarding such contracts in conformity
with any applicable federal regulations that has been approved by its board of
visitors; and (iv) no later than December 31 of each year, the institution or
the Eastern Virginia Medical School files an annual report with the Secretary
of the Commonwealth disclosing each open contract entered into subject to this
provision, the names of the parties to each contract, the date each contract
was executed and its term, the subject of each contractual arrangement, the
nature of the conflict of interest, the institution's or the Eastern Virginia
Medical School's employee responsible for administering each contract, the
details of the institution's or the Eastern Virginia Medical School's
commitment or investment of resources or finances for each contract, and any
other information requested by the Secretary of the Commonwealth; or
9. Subject to approval by the relevant board of visitors, an
employee's personal interest in a contract between a public institution of
higher education in Virginia or the Eastern Virginia Medical School and a
business in which the employee has a personal interest, if (i) the personal
interest has been disclosed to the institution or the Eastern Virginia Medical
School prior to the time the contract is entered into; (ii) the employee files
a disclosure statement pursuant to §2.2-3117 and thereafter annually on or
before January December
15; (iii) the employee does not participate in the institution's or the Eastern
Virginia Medical School's decision to contract; (iv) the president of the
institution or the Eastern Virginia Medical School finds and certifies in
writing that the contract is for goods and services needed for quality patient
care, including related medical education or research, by the institution's
medical center or the Eastern Virginia Medical School, its affiliated teaching
hospitals and other organizations necessary for the fulfillment of its mission,
including the acquisition of drugs, therapies and medical technologies; and (v)
no later than December 31 of each year, the institution or the Eastern Virginia
Medical School files an annual report with the Secretary of the Commonwealth
disclosing each open contract entered subject to this provision, the names of
the parties to each contract, the date each contract was executed and its term,
the subject of each contractual arrangement, the nature of the conflict of interest,
the institution's or the Eastern Virginia Medical School's employee responsible
for administering each contract, the details of the institution's or the
Eastern Virginia Medical School's commitment or investment of resources or
finances for each contract, and any other information requested by the
Secretary of the Commonwealth.
D. Notwithstanding the provisions of subdivisions C 8 and C 9,
if the research and development or commercialization of intellectual property
or the employee's personal interest in a contract with a business is subject to
policies and regulations governing conflicts of interest promulgated by any
agency of the United States government, including the adoption of policies
requiring the disclosure and management of such conflicts of interests, the
policies established by the Eastern Virginia Medical School pursuant to such
federal requirements shall constitute compliance with subdivisions C 8 and C 9,
upon notification by the Eastern Virginia Medical School to the Secretary of
the Commonwealth by January 31 of each year of evidence of their compliance
with such federal policies and regulations.
E. The board of visitors may delegate the authority granted
under subdivision C 8 to the president of the institution. If the board elects
to delegate such authority, the board shall include this delegation of
authority in the formal policy required by clause (iii) of subdivision C 8. In
those instances where the board has delegated such authority, on or before
December 1 of each year, the president of the relevant institution shall file a
report with the relevant board of visitors disclosing each open contract
entered into subject to this provision, the names of the parties to each
contract, the date each contract was executed and its term, the subject of each
contractual arrangement, the nature of the conflict of interest, the
institution's or the Eastern Virginia Medical School's employee responsible for
administering each contract, the details of the institution's or the Eastern
Virginia Medical School's commitment or investment of resources or finances for
each contract, the details of how revenues are to be dispersed, and any other
information requested by the board of visitors.
§2.2-3114. Disclosure by state officers and employees.
A. The Governor, Lieutenant Governor, Attorney General,
Justices of the Supreme Court, judges of the Court of Appeals, judges of any
circuit court, judges and substitute judges of any district court, members of
the State Corporation Commission, members of the Virginia Workers' Compensation
Commission, members of the Commonwealth Transportation Board, members of the
Board of Trustees of the Virginia Retirement System, and members of the
Virginia Lottery Board and other persons occupying such offices or positions of
trust or employment in state government, including members of the governing
bodies of authorities, as may be designated by the Governor or, in the case of
officers or employees of the legislative branch, by the Joint Rules Committee
of the General Assembly, shall file with the
Council Commission,
as a condition to assuming office or employment, a disclosure statement of
their personal interests and such other information as is specified on the form
set forth in §2.2-3117 and thereafter shall file such a statement semiannually
by December 15 for the preceding six-month period complete through the last day
of October and by June 15 for the preceding six-month period complete through
the last day of April. When the filing deadline falls on a Saturday, Sunday, or
legal holiday, the disclosure statement shall be filed on the next day that is
not a Saturday, Sunday, or legal holiday.
B. Nonsalaried citizen members of all policy and supervisory
boards, commissions and councils in the executive branch of state government,
other than the Commonwealth Transportation Board, members of the Board of
Trustees of the Virginia Retirement System, and the Virginia Lottery Board,
shall file with the Council Commission, as a condition to
assuming office, a disclosure form of their personal interests and such other
information as is specified on the form set forth in §2.2-3118 and thereafter
shall file such form annually on or before December 15. When the filing
deadline falls on a Saturday, Sunday, or legal holiday, the disclosure
statement shall be filed on the next day that is not a Saturday, Sunday, or
legal holiday. Nonsalaried citizen members of other boards, commissions and
councils, including advisory boards and authorities, may be required to file a
disclosure form if so designated by the Governor, in which case the form shall
be that set forth in §2.2-3118.
C. The disclosure forms required by subsections A and B shall
be provided made
available by the Council to
each officer and employee so designated, including officers appointed by
legislative authorities Commission
at least 30 days prior to the filing deadline. Disclosure forms shall be filed and
submitted electronically with the Commission in accordance with the standards approved by
the Commission pursuant to §2.2-2540. All forms shall be
maintained as public records for five years in the office of the Council
Commission.
D. Candidates for the offices of Governor, Lieutenant Governor
or Attorney General shall file a disclosure statement of their personal interests
as required by §24.2-502.
E. Any officer or employee of state government who has a
personal interest in any transaction before the governmental or advisory agency
of which he is an officer or employee and who is disqualified from
participating in that transaction pursuant to subdivision A 1 of §2.2-3112, or
otherwise elects to disqualify himself, shall forthwith make disclosure of the
existence of his interest, including the full name and address of the business
and the address or parcel number for the real estate if the interest involves a
business or real estate, and his disclosure shall also be reflected in the
public records of the agency for five years in the office of the administrative
head of the officer's or employee's governmental agency or advisory agency or,
if the agency has a clerk, in the clerk's office.
F. An officer or employee of state government who is required
to declare his interest pursuant to subdivision A 2 of §2.2-3112, shall
declare his interest by stating (i) the transaction involved, (ii) the nature
of the officer's or employee's personal interest affected by the transaction,
(iii) that he is a member of a business, profession, occupation, or group the
members of which are affected by the transaction, and (iv) that he is able to
participate in the transaction fairly, objectively, and in the public interest.
The officer or employee shall either make his declaration orally to be recorded
in written minutes for his agency or file a signed written declaration with the
clerk or administrative head of his governmental or advisory agency, as
appropriate, who shall, in either case, retain and make available for public
inspection such declaration for a period of five years from the date of
recording or receipt. If reasonable time is not available to comply with the
provisions of this subsection prior to participation in the transaction, the
officer or employee shall prepare and file the required declaration by the end
of the next business day.
G. An officer or employee of state government who is required
to declare his interest pursuant to subdivision A 3 of §2.2-3112, shall
declare his interest by stating (i) the transaction involved, (ii) that a party
to the transaction is a client of his firm, (iii) that he does not personally
represent or provide services to the client, and (iv) that he is able to
participate in the transaction fairly, objectively, and in the public interest.
The officer or employee shall either make his declaration orally to be recorded
in written minutes for his agency or file a signed written declaration with the
clerk or administrative head of his governmental or advisory agency, as
appropriate, who shall, in either case, retain and make available for public
inspection such declaration for a period of five years from the date of
recording or receipt. If reasonable time is not available to comply with the
provisions of this subsection prior to participation in the transaction, the
officer or employee shall prepare and file the required declaration by the end
of the next business day.
§2.2-3114.1. Filings of statements of economic interests by
General Assembly members.
The filing of a current statement of economic interests by a
General Assembly member, member-elect, or candidate for the General Assembly
pursuant to §§30-110 and 30-111 of the General Assembly Conflicts of Interests
Act (§30-100 et seq.) shall suffice for the purposes of this chapter (§
2.2-3100 et seq.). The Secretary of the Commonwealth may obtain from the Clerk of the House of Delegates or the Senate, as
appropriate, Commission
a copy of the statement of a General Assembly member who is appointed to a
position for which a statement is required pursuant to §2.2-3114. No General
Assembly member, member-elect, or candidate shall be required to file a
separate statement of economic interests for the purposes of §2.2-3114.
§2.2-3115. Disclosure by local government officers and
employees.
A. The members of every governing body and school board of
each county and city and of towns with populations in excess of 3,500 shall
file with the Council Commission, as a condition to
assuming office or employment, a disclosure statement of their personal
interests and other information as is specified on the form set forth in §
2.2-3117 and thereafter shall file such a statement semiannually by December 15
for the preceding six-month period complete through the last day of October and
by June 15 for the preceding six-month period complete through the last day of
April.
The members of the governing body of any authority established
in any county or city, or part or combination thereof, and having the power to
issue bonds or expend funds in excess of $10,000 in any fiscal year, shall file
with the Virginia Conflict of Interest and Ethics Advisory
Council Commission,
as a condition to assuming office, a disclosure statement of their personal
interests and other information as is specified on the form set forth in §
2.2-3118 and thereafter shall file such a statement annually on or before
December 15, unless the governing body of the jurisdiction that appoints the
members requires that the members file the form set forth in §2.2-3117
semiannually by December 15 for the preceding six-month period complete through
the last day of October and by June 15 for the preceding six-month period
complete through the last day of April.
Persons occupying such positions of trust appointed by
governing bodies and persons occupying such positions of employment with
governing bodies as may be designated to file by ordinance of the governing
body shall file with the Virginia Conflict of
Interest and Ethics Advisory Council
Commission, as a condition to assuming office or
employment, a disclosure statement of their personal interests and other
information as is specified on the form set forth in §2.2-3117 and thereafter
shall file such a statement semiannually by December 15 for the preceding
six-month period complete through the last day of October and by June 15 for
the preceding six-month period complete through the last day of April.
Persons occupying such positions of trust appointed by school
boards and persons occupying such positions of employment with school boards as
may be designated to file by an adopted policy of the school board shall file
with the Virginia Conflict of Interest and Ethics Advisory
Council Commission,
as a condition to assuming office or employment, a disclosure statement of
their personal interests and other information as is specified on the form set
forth in §2.2-3117 and thereafter shall file such a statement semiannually by
December 15 for the preceding six-month period complete through the last day of
October and by June 15 for the preceding six-month period complete through the
last day of April.
B. Nonsalaried citizen members of local boards, commissions
and councils as may be designated by the governing body shall file with the Virginia Conflict of Interest and Ethics Advisory
Council Commission,
as a condition to assuming office, a disclosure form of their personal
interests and such other information as is specified on the form set forth in §
2.2-3118 and thereafter shall file such form annually on or before December 15.
C. No person shall be mandated to file any disclosure not
otherwise required by this article.
D. The disclosure forms required by subsections A and B shall
be provided made
available by the Virginia Conflict of
Interest and Ethics Advisory Council to the clerks of the
governing bodies and school boards
Commission at least 30 days prior to the filing deadline, and the clerks of the governing body and school
board shall distribute the forms to designated individuals at least 20 days
prior to the filing deadline. Forms shall be filed and maintained as public
records for five years in the office of the Virginia Conflict of Interest and
Ethics Advisory Council. Forms filed by members of governing bodies of
authorities. Disclosure
forms shall be submitted electronically in
accordance with the standards approved by
the Commission pursuant to §2.2-2540. The clerks
of the governing body shall be permitted to submit the required disclosure form
on behalf of any person required by this section to do so. All
forms shall be filed and
maintained as public records for five years in the office of the Virginia Conflict of Interest and Ethics Advisory
Council Commission.
E. Candidates for membership in the governing body or school
board of any county, city or town with a population of more than 3,500 persons
shall file a disclosure statement of their personal interests as required by §
24.2-502.
F. Any officer or employee of local government who has a
personal interest in any transaction before the governmental or advisory agency
of which he is an officer or employee and who is disqualified from
participating in that transaction pursuant to subdivision A 1 of §2.2-3112 or
otherwise elects to disqualify himself, shall forthwith make disclosure of the
existence of his interest, including the full name and address of the business
and the address or parcel number for the real estate if the interest involves a
business or real estate, and his disclosure shall be reflected in the public
records of the agency for five years in the office of the administrative head
of the officer's or employee's governmental or advisory agency.
G. In addition to any disclosure required by subsections A and
B, in each county and city and in towns with populations in excess of 3,500,
members of planning commissions, boards of zoning appeals, real estate
assessors, and all county, city and town managers or executive officers shall
make annual disclosures of all their interests in real estate located in the
county, city or town in which they are elected, appointed, or employed. Such
disclosure shall include any business in which such persons own an interest, or
from which income is received, if the primary purpose of the business is to
own, develop or derive compensation through the sale, exchange or development
of real estate in the county, city or town. Such disclosure shall be filed as a
condition to assuming office or employment, and thereafter shall be filed
annually with the Virginia Conflict of
Interest and Ethics Advisory Council
Commission on or before December 15. Such disclosures shall
be filed and maintained as public records for five years. Forms for the filing
of such reports shall be prepared and
distributed made available
by the Virginia Conflict of Interest and Ethics Advisory
Council to the clerk of each governing body Commission.
H. An officer or employee of local government who is required
to declare his interest pursuant to subdivision A 2 of §2.2-3112 shall declare
his interest by stating (i) the transaction involved, (ii) the nature of the
officer's or employee's personal interest affected by the transaction, (iii)
that he is a member of a business, profession, occupation, or group the members
of which are affected by the transaction, and (iv) that he is able to
participate in the transaction fairly, objectively, and in the public interest.
The officer or employee shall either make his declaration orally to be recorded
in written minutes of his agency or file a signed written declaration with the
clerk or administrative head of his governmental or advisory agency, as
appropriate, who shall, in either case, retain and make available for public
inspection such declaration for a period of five years from the date of
recording or receipt. If reasonable time is not available to comply with the
provisions of this subsection prior to participation in the transaction, the
officer or employee shall prepare and file the required declaration by the end
of the next business day. The officer or employee shall also orally disclose
the existence of the interest during each meeting of the governmental or
advisory agency at which the transaction is discussed and such disclosure shall
be recorded in the minutes of the meeting.
I. An officer or employee of local government who is required
to declare his interest pursuant to subdivision A 3 of §2.2-3112, shall
declare his interest by stating (i) the transaction involved, (ii) that a party
to the transaction is a client of his firm, (iii) that he does not personally
represent or provide services to the client, and (iv) that he is able to
participate in the transaction fairly, objectively, and in the public interest.
The officer or employee shall either make his declaration orally to be recorded
in written minutes for his agency or file a signed written declaration with the
clerk or administrative head of his governmental or advisory agency, as
appropriate, who shall, in either case, retain and make available for public
inspection such declaration for a period of five years from the date of
recording or receipt. If reasonable time is not available to comply with the
provisions of this subsection prior to participation in the transaction, the
officer or employee shall prepare and file the required declaration by the end
of the next business day.
§2.2-3116. Disclosure by certain constitutional officers.
For the purposes of this chapter, holders of the
constitutional offices of treasurer, sheriff, attorney for the Commonwealth,
clerk of the circuit court and commissioner of the revenue of each county and
city, shall be deemed to be local officers and shall be
required to file with the Commission, as
a condition to assuming office, the Statement of Economic
Interests set forth in §2.2-3117. These officers shall file statements
pursuant to §2.2-3115 and candidates such forms
semiannually by December 15 for the preceding six-month period complete through
the last day of October and by June 15 for the preceding six-month period
complete through the last day of April. Candidates
shall file statements such
forms as required by §24.2-502. Disclosure
forms shall be submitted electronically with the
Commission in accordance with the standards approved by
the Commission pursuant to §2.2-2540.
These officers shall be subject to the prohibition on certain gifts set forth
in subsection B of §2.2-3103.1.
§2.2-3117. Disclosure form.
A. The
disclosure form to be used for filings required by subsections A and D of §
2.2-3114 and subsections A and E of §2.2-3115 shall be
substantially as follows: on a
form prescribed by the Commission. All completed forms shall be submitted
electronically and in accordance with the standards approved by
the Commission pursuant to §2.2-2540. A person required to
file this disclosure form who does so knowing it to contain a material
misstatement of fact is guilty of a Class 5 felony.
STATEMENT OF ECONOMIC INTERESTS.
Name ...............................................................
Office or position held or sought ..................................
Address ............................................................
Names of members of immediate family ...............................
DEFINITIONS AND
EXPLANATORY MATERIAL.
"Business"
means a corporation, partnership, sole proprietorship, firm, enterprise,
franchise, association, trust or foundation, or any other individual or entity
carrying on a business or profession, whether or not for profit.
"Close financial
association" means an association in which the person filing shares
significant financial involvement with an individual and the filer would
reasonably be expected to be aware of the individual's business activities and
would have access to the necessary records either directly or through the
individual. "Close financial association" does not mean an
association based on (i) the receipt of retirement benefits or deferred
compensation from a business by which the person filing this statement is no
longer employed, or (ii) the receipt of compensation for work performed by the
person filing as an independent contractor of a business that represents an
entity before any state governmental agency when the person filing has had no
communications with the state governmental agency.
"Contingent
liability" means a liability that is not presently fixed or determined,
but may become fixed or determined in the future with the occurrence of some
certain event.
"Gift" means
any gratuity, favor, discount, entertainment, hospitality, loan, forbearance,
or other item having monetary value. It includes services as well as gifts of
transportation, lodgings and meals, whether provided in-kind, by purchase of a
ticket, payment in advance or reimbursement after the expense has been
incurred. "Gift" does not include (i) any offer of a ticket, coupon,
or other admission or pass unless the ticket, coupon, admission, or pass is
used; (ii) honorary degrees; (iii) any athletic, merit, or need-based scholarship
or any other financial aid awarded by a public or private school, institution
of higher education, or other educational program pursuant to such school,
institution, or program's financial aid standards and procedures applicable to
the general public; (iv) a campaign contribution properly received and reported
pursuant to Chapter 9.3 (§24.2-945 et seq.) of Title 24.2; (v) any gift
related to the private profession or occupation of an officer or employee or of
a member of his immediate family; or (vi) gifts from relatives or personal
friends. "Relative" means the donee's spouse, child, uncle, aunt,
niece, or nephew; a person to whom the donee is engaged to be married; the
donee's or his spouse's parent, grandparent, grandchild, brother, or sister; or
the donee's brother's or sister's spouse. "Personal friend" does not
include any person that the filer knows or has reason to know is (a) a lobbyist
registered pursuant to Article 3 (§2.2-418 et seq.) of Chapter 4 of Title 2.2;
(b) a lobbyist's principal as defined in §2.2-419; (c) for an officer or
employee of a local governmental or advisory agency, a person, organization, or
business who is a party to or is seeking to become a party to a contract with
the local agency of which he is an officer or an employee; or (d) for an
officer or employee of a state governmental or advisory agency, a person,
organization, or business who is a party to or is seeking to become a party to
a contract with the Commonwealth. "Person, organization, or business"
includes individuals who are officers, directors, or owners of or who have a
controlling ownership interest in such organization or business.
"Immediate
family" means (i) a spouse and (ii) any child who resides in the same
household as the officer or employee and who is a dependent of the officer or
employee.
TRUST. If you or your
immediate family, separately or together, are the only beneficiaries of a
trust, treat the trust's assets as if you own them directly. If you or your
immediate family has a proportional interest in a trust, treat that proportion
of the trust's assets as if you own them directly. For example, if you and your
immediate family have a one-third interest in a trust, complete your Statement
as if you own one-third of each of the trust's assets. If you or a member of
your immediate family created a trust and can revoke it without the
beneficiaries' consent, treat its assets as if you own them directly.
REPORT TO THE BEST OF
INFORMATION AND BELIEF. Information required on this Statement must be provided
on the basis of the best knowledge, information, and belief of the individual
filing the Statement as of the date of this report unless otherwise stated.
COMPLETE ITEMS 1
THROUGH 10. REFER TO SCHEDULES ONLY IF DIRECTED.
You may attach
additional explanatory information.
1. Offices and
Directorships.
Are you or a member of
your immediate family a paid officer or paid director of a business?
EITHER check NO / / OR
check YES / / and complete Schedule A.
2. Personal
Liabilities.
Do you or a member of
your immediate family owe more than $5,000 to any one creditor including
contingent liabilities? (Exclude debts to any government and loans secured by
recorded liens on property at least equal in value to the loan.)
EITHER check NO / / OR
check YES / / and complete Schedule B.
3. Securities.
Do you or a member of
your immediate family, directly or indirectly, separately or together, own
securities valued in excess of $5,000 invested in one business? Account for
mutual funds, limited partnerships and trusts.
EITHER check NO / / OR
check YES / / and complete Schedule C.
4. Payments for Talks,
Meetings, and Publications.
During the past six
months did you receive in your capacity as an officer or employee of your
agency lodging, transportation, money, or anything else of value with a
combined value exceeding $200 (i) for a single talk, meeting, or published work
or (ii) for a meeting, conference, or event where your attendance at the
meeting, conference, or event was designed to (a) educate you on issues
relevant to your duties as an officer or employee of your agency or (b) enhance
your knowledge and skills relative to your duties as an officer or employee of
your agency?
EITHER check NO / / OR
check YES / / and complete Schedule D.
5. Gifts.
During the past six
months did a business, government, or individual other than a relative or
personal friend (i) furnish you or a member of your immediate family with any
gift or entertainment at a single event, and the value received exceeded $50 or
(ii) furnish you or a member of your immediate family with gifts or
entertainment in any combination and the total value received exceeded $100,
and for which you or the member of your immediate family neither paid nor
rendered services in exchange? Account for entertainment events only if the
average value per person attending the event exceeded $50. Account for all
business entertainment (except if related to the private profession or
occupation of you or the member of your immediate family who received such
business entertainment) even if unrelated to your official duties.
EITHER check NO / / OR
check YES / / and complete Schedule E.
6. Salary and Wages.
List each employer that
pays you or a member of your immediate family salary or wages in excess of
$5,000 annually. (Exclude state or local government or advisory agencies.)
If no reportable salary
or wages, check here / /.
______________________________________________________________________
______________________________________________________________________
______________________________________________________________________
7. Business Interests.
Do you or a member of
your immediate family, separately or together, operate your own business, or
own or control an interest in excess of $5,000 in a business?
EITHER check NO / / OR
check YES / / and complete Schedule F.
8. Payments for
Representation and Other Services.
8A. Did you represent,
excluding activity defined as lobbying in §2.2-419, any businesses before any
state governmental agencies, excluding courts or judges, for which you received
total compensation during the past six months in excess of $1,000, excluding
compensation for other services to such businesses and representation
consisting solely of the filing of mandatory papers and subsequent representation
regarding the mandatory papers? (Officers and employees of local governmental
and advisory agencies do NOT need to answer this question or complete Schedule
G-1.)
EITHER check NO / / OR
check YES / / and complete Schedule G-1.
8B. Subject to the same
exceptions as in 8A, did persons with whom you have a close financial
association (partners, associates or others) represent, excluding activity
defined as lobbying in §2.2-419, any businesses before any state governmental
agency for which total compensation was received during the past six months in
excess of $1,000? (Officers and employees of local governmental and advisory
agencies do NOT need to answer this question or complete Schedule G-2.)
EITHER check NO / / OR
check YES / / and complete Schedule G-2.
8C. Did you or persons
with whom you have a close financial association furnish services to businesses
operating in Virginia pursuant to an agreement between you and such businesses,
or between persons with whom you have a close financial association and such
businesses for which total compensation in excess of $1,000 was received during
the past six months? Services reported under this provision shall not include
services involving the representation of businesses that are reported under
item 8A or 8B.
EITHER check NO / / OR
check YES / / and complete Schedule G-3.
9. Real Estate.
9A. State Officers and
Employees.
Do you or a member of
your immediate family hold an interest, including a partnership interest,
valued at more than $5,000 in real property (other than your principal
residence) for which you have not already listed the full address on Schedule
F? Account for real estate held in trust.
EITHER check NO / / OR
check YES / / and complete Schedule H-1.
9B. Local Officers and
Employees.
Do you or a member of
your immediate family hold an interest, including a partnership interest, or
option, easement, or land contract, valued at more than $5,000 in real property
(other than your principal residence) for which you have not already listed the
full address on Schedule F? Account for real estate held in trust.
EITHER check NO / / OR
check YES / / and complete Schedule H-2.
10. Real Estate
Contracts with Governmental Agencies.
Do you or a member of
your immediate family hold an interest valued at more than $5,000 in real
estate, including a corporate, partnership, or trust interest, option,
easement, or land contract, which real estate is the subject of a contract,
whether pending or completed within the past six months, with a governmental agency?
If the real estate contract provides for the leasing of the property to a
governmental agency, do you or a member of your immediate family hold an
interest in the real estate valued at more than $1,000? Account for all such
contracts whether or not your interest is reported in Schedule F, H-1, or H-2.
This requirement to disclose an interest in a lease does not apply to an
interest derived through an ownership interest in a business unless the
ownership interest exceeds three percent of the total equity of the business.
EITHER check NO / / OR
check YES / / and complete Schedule I.
Statements of Economic
Interests are open for public inspection.
AFFIRMATION BY ALL
FILERS.
I swear or affirm that
the foregoing information is full, true and correct to the best of my
knowledge.
Signature
......................................................
(Return only if needed
to complete Statement.)
SCHEDULES
to
STATEMENT OF ECONOMIC INTERESTS.
NAME
......................................................
SCHEDULE A - OFFICES
AND DIRECTORSHIPS.
Identify each business
of which you or a member of your immediate family is a paid officer or paid
director.
_______________________________________________________________________
Name of Business Address of Business Position Held and by Whom
___________________ _____________________ _________________________
___________________ _____________________ _________________________
___________________ _____________________ _________________________
___________________ _____________________ _________________________
_______________________________________________________________________
RETURN TO ITEM 2
SCHEDULE B - PERSONAL
LIABILITIES.
Report personal
liability by checking each category. Report only debts in excess of $5,000. Do
not report debts to any government. Do not report loans secured by recorded
liens on property at least equal in value to the loan.
Report contingent
liabilities below and indicate which debts are contingent.
1. My personal debts
are as follows:
_______________________________________________________________________
Check Check one
appropriate $5,001 to More than
categories $50,000 $50,000
Banks __________ _________
Savings institutions __________ _________
Other loan or finance companies __________ _________
Insurance companies __________ _________
Stock, commodity or other brokerage companies __________ _________
Other businesses:
(State principal business activity for each
creditor and its name.)
_________________________________________ __________ _________
_________________________________________ __________ _________
_________________________________________ __________ _________
Individual creditors:
(State principal business or occupation of
each creditor and its name.)
_________________________________________ __________ _________
_________________________________________ __________ _________
_________________________________________ __________ _________
_______________________________________________________________________
2. The personal debts
of the members of my immediate family are as follows:
_______________________________________________________________________
Check Check one
appropriate $5,001 to More than
categories $50,000 $50,000
Banks __________ _________
Savings institutions __________ _________
Other loan or finance companies __________ _________
Insurance companies __________ _________
Stock, commodity or other brokerage companies __________ _________
Other businesses:
(State principal business activity for each
creditor and its name.)
_________________________________________ __________ _________
_________________________________________ __________ _________
_________________________________________ __________ _________
Individual creditors:
(State principal business or occupation of
each creditor and its name.)
_________________________________________ __________ _________
_________________________________________ __________ _________
_________________________________________ __________ _________
_______________________________________________________________________
RETURN TO ITEM 3
SCHEDULE C -
SECURITIES.
"Securities"
INCLUDES stocks, bonds, mutual funds, limited partnerships, and commodity
futures contracts.
"Securities"
EXCLUDES certificates of deposit, money market funds, annuity contracts, and
insurance policies.
Identify each business
or Virginia governmental entity in which you or a member of your immediate
family, directly or indirectly, separately or together, own securities valued
in excess of $5,000. Name each issuer and type of security individually.
Do not list U.S. Bonds
or other government securities not issued by the Commonwealth of Virginia or
its authorities, agencies, or local governments. Do not list organizations that
do not do business in this Commonwealth, but most major businesses conduct
business in Virginia. Account for securities held in trust.
If no reportable
securities, check here / /.
____________________________________________________________________________
Check one
Type of Security $5,001 $50,001 More
(stocks, bonds, mutual to to than
Name of Issuer funds, etc.) $50,000 $250,000 $250,000
________________________ _______________________ _______ _______ ________
________________________ _______________________ _______ _______ ________
________________________ _______________________ _______ _______ ________
________________________ _______________________ _______ _______ ________
____________________________________________________________________________
RETURN TO ITEM 4
SCHEDULE D - PAYMENTS
FOR TALKS, MEETINGS, AND PUBLICATIONS.
List each source from
which you received during the past six months in your capacity as an officer or
employee of your agency lodging, transportation, money, or any other thing of
value with combined value exceeding $200 (i) for your presentation of a single
talk, participation in one meeting, or publication of a work or (ii) for your
attendance at a meeting, conference, or event where your attendance at the
meeting, conference, or event was designed to (a) educate you on issues
relevant to your duties as an officer or employee of your agency or (b) enhance
your knowledge and skills relative to your duties as an officer or employee of
your agency. Any lodging, transportation, money, or other thing of value
received by an officer or employee that does not satisfy the provisions of
clause (i), (ii) (a), or (ii) (b) shall be listed as a gift on Schedule E.
List payments or
reimbursements by an advisory or governmental agency only for meetings or
travel outside the Commonwealth.
List a payment even if
you donated it to charity.
Do not list information
about a payment if you returned it within 60 days or if you received it from an
employer already listed under Item 6 or from a source of income listed on
Schedule F.
If no payment must be
listed, check here / /.
__________________________________________________________________________
Type of payment
(e.g. honoraria,
travel reimburse-
Payer Approximate Value Circumstances ment, etc.)
__________ _____________________ ________________ _________________
__________ _____________________ ________________ _________________
__________ _____________________ ________________ _________________
__________ _____________________ ________________ _________________
__________________________________________________________________________
RETURN TO ITEM 5
SCHEDULE E - GIFTS.
List each business,
governmental entity, or individual that, during the past six months, (i)
furnished you or a member of your immediate family with any gift or
entertainment at a single event, and the value received exceeded $50 or (ii)
furnished you or a member of your immediate family with gifts or entertainment
in any combination and the total value received exceeded $100, and for which
you or the member of your immediate family neither paid nor rendered services
in exchange. List each such gift or event. Do not list entertainment events
unless the average value per person attending the event exceeded $50. Do not
list business entertainment related to the private profession or occupation of
you or the member of your immediate family who received such business
entertainment. Do not list gifts or other things of value given by a relative
or personal friend for reasons clearly unrelated to your public position. Do
not list campaign contributions publicly reported as required by Chapter 9.3 (§
24.2-945 et seq.) of Title 24.2 of the Code of Virginia.
__________________________________________________________________________
Name of Business, City or Exact
Name of Organization, or County Gift or Approximate
Recipient Individual and State Event Value
____________ __________________ __________ ___________ ___________
____________ __________________ __________ ___________ ___________
____________ __________________ __________ ___________ ___________
____________ __________________ __________ ___________ ___________
_________________________________________________ ________________________
RETURN TO ITEM 6
SCHEDULE F - BUSINESS
INTERESTS.
Complete this Schedule
for each self-owned or family-owned business (including rental property, a
farm, or consulting work), partnership, or corporation in which you or a member
of your immediate family, separately or together, own an interest having a
value in excess of $5,000.
If the enterprise is
owned or operated under a trade, partnership, or corporate name, list that
name; otherwise, merely explain the nature of the enterprise. If rental
property is owned or operated under a trade, partnership, or corporate name,
list the name only; otherwise, give the address of each property. Account for
business interests held in trust.
___________________________________________________________________________
Name of Business, Gross Income
Corporation,
Partnership, City or Nature of Enterprise $50,001 More
Farm; Address of County (farming, law, rental $50,000 to than
Rental Property and State property, etc.) or less $250,000 $250,000
________________ _________ _____________________ ________ ________ ________
________________ _________ _____________________ ________ ________ ________
________________ _________ _____________________ ________ ________ ________
________________ _________ _____________________ ________ ________ ________
___________________________________________________________________________
RETURN TO ITEM 8
SCHEDULE G-1 - PAYMENTS
FOR REPRESENTATION BY YOU.
List the businesses you
represented, excluding activity defined as lobbying in §2.2-419, before any
state governmental agency, excluding any court or judge, for which you received
total compensation during the past six months in excess of $1,000, excluding
compensation for other services to such businesses and representation
consisting solely of the filing of mandatory papers and subsequent
representation regarding the mandatory papers filed by you.
Identify each business,
the nature of the representation and the amount received by dollar category
from each such business. You may state the type, rather than name, of the
business if you are required by law not to reveal the name of the business
represented by you.
Only STATE officers and
employees should complete this Schedule.
_____________________________________________________________________
Pur- Amount Received
pose
Name Type of Name
of of Repre- of $1,001 $10,001 $50,001 $100,001 $250,001
Busi- Busi- senta- Agen- to to to to and
ness ness tion cy $10,000 $50,000 $100,000 $250,000 over
_____ _____ ______ ______ _______ _______ ________ _________ ________
_____ _____ ______ ______ _______ _______ ________ _________ ________
_____ _____ ______ ______ _______ _______ ________ _________ ________
_____ _____ ______ ______ _______ _______ ________ _________ ________
_____________________________________________________________________
If you have received
$250,001 or more from a single business within the reporting period, indicate
the amount received, rounded to the nearest $10,000.
Amount Received:______.
SCHEDULE G-2 - PAYMENTS
FOR REPRESENTATION BY ASSOCIATES.
List the businesses
that have been represented, excluding activity defined as lobbying in §
2.2-419, before any state governmental agency, excluding any court or judge, by
persons who are your partners, associates or others with whom you have a close
financial association and who received total compensation in excess of $1,000
for such representation during the past six months, excluding representation
consisting solely of the filing of mandatory papers and subsequent
representation regarding the mandatory papers filed by your partners,
associates or others with whom you have a close financial association.
Identify such
businesses by type and also name the state governmental agencies before which
such person appeared on behalf of such businesses.
Only STATE officers and
employees should complete this Schedule.
______________________________________________________________
Type of business Name of state governmental agency
____________________ ______________________________________
____________________ ______________________________________
____________________ ______________________________________
____________________ ______________________________________
______________________________________________________________
SCHEDULE G-3 - PAYMENTS
FOR OTHER SERVICES GENERALLY.
Indicate below types of
businesses that operate in Virginia to which services were furnished by you or
persons with whom you have a close financial association pursuant to an
agreement between you and such businesses, or between persons with whom you
have a close financial association and such businesses and for which total
compensation in excess of $1,000 was received during the past six months.
Services reported in this Schedule shall not include services involving the
representation of businesses that are reported in Schedule G-1 or G-2.
Identify opposite each
category of businesses listed below (i) the type of business, (ii) the type of
service rendered and (iii) the value by dollar category of the compensation
received for all businesses falling within each category.
___________________________________________________________________________
Check Value of Compensation
if Type
ser- of
vices ser-
were vice $1,001 $10,001 $50,001 $100,001 $250,001
ren- ren- to to to to and
dered dered $10,000 $50,000 $100,000 $250,000 over
Electric utilities _____ _____ _______ _______ ________ ________ ________
Gas utilities _____ _____ _______ _______ ________ ________ ________
Telephone utilities _____ _____ _______ _______ ________ ________ ________
Water utilities _____ _____ _______ _______ ________ ________ ________
Cable television
companies _____ _____ _______ _______ ________ ________ ________
Interstate
transportation
companies _____ _____ _______ _______ ________ ________ ________
Intrastate
transportation
companies _____ _____ _______ _______ ________ ________ ________
Oil or gas retail
companies _____ _____ _______ _______ ________ ________ ________
Banks _____ _____ _______ _______ ________ ________ ________
Savings institutions _____ _____ _______ _______ ________ ________ ________
Loan or finance
companies _____ _____ _______ _______ ________ ________ ________
Manufacturing
companies (state
type of product,
e.g., textile,
furniture, etc.) _____ _____ _______ _______ ________ ________ ________
Mining companies _____ _____ _______ _______ ________ ________ ________
Life insurance
companies _____ _____ _______ _______ ________ ________ ________
Casualty insurance
companies _____ _____ _______ _______ ________ ________ ________
Other insurance
companies _____ _____ _______ _______ ________ ________ ________
Retail companies _____ _____ _______ _______ ________ ________ ________
Beer, wine or liquor
companies or
distributors _____ _____ _______ _______ ________ ________ ________
Trade associations _____ _____ _______ _______ ________ ________ ________
Professional
associations _____ _____ _______ _______ ________ ________ ________
Associations of
public employees
or officials _____ _____ _______ _______ ________ ________ ________
Counties, cities
or towns _____ _____ _______ _______ ________ ________ ________
Labor organizations _____ _____ _______ _______ ________ ________ ________
Other _____ _____ _______ _______ ________ ________ ________
___________________________________________________________________________
RETURN TO ITEM 9
SCHEDULE H-1 - REAL ESTATE
- STATE OFFICERS AND EMPLOYEES.
List real estate other
than your principal residence in which you or a member of your immediate family
holds an interest, including a partnership interest, option, easement, or land
contract, valued at more than $5,000. Each parcel shall be listed individually.
_________________________________________________________________________
Describe the type of real
List each location estate you own in each If the real estate is
(state, and county location (business, recre- owned or recorded in
or city) where you ational, apartment, com- a name other than your
own real estate. mercial, open land, etc.). own, list that name.
_____________________ __________________________ ______________________
_____________________ __________________________ ______________________
_____________________ __________________________ ______________________
_____________________ __________________________ ______________________
_____________________ __________________________ ______________________
_________________________________________________________________________
SCHEDULE H-2 - REAL
ESTATE - LOCAL OFFICERS AND EMPLOYEES.
List real estate other
than your principal residence in which you or a member of your immediate family
holds an interest, including a partnership interest or option, easement, or
land contract, valued at more than $5,000. Each parcel shall be listed
individually. Also list the names of any co-owners of such property, if
applicable.
_________________________________________________________________________
Describe the type
of real estate
you own in
each location If the real estate
List each location (business, is owned or rec-
(state, and county recreational, orded in a name
or city) where apartment, com- other than your List the names
you own real mercial, open own, list that of any co-owners,
estate. land, etc.). name. if applicable.
__________________ _________________ __________________ _________________
__________________ _________________ __________________ _________________
__________________ _________________ __________________ _________________
__________________ _________________ __________________ _________________
__________________ _________________ __________________ _________________
_________________________________________________________________________
SCHEDULE I - REAL
ESTATE CONTRACTS WITH GOVERNMENTAL AGENCIES.
List all contracts,
whether pending or completed within the past six months, with a governmental
agency for the sale or exchange of real estate in which you or a member of your
immediate family holds an interest, including a corporate, partnership or trust
interest, option, easement, or land contract, valued at more than $10,000. List
all contracts with a governmental agency for the lease of real estate in which
you or a member of your immediate family holds such an interest valued at more
than $1,000. This requirement to disclose an interest in a lease does not apply
to an interest derived through an ownership interest in a business unless the
ownership interest exceeds three percent of the total equity of the business.
State officers and
employees report contracts with state agencies.
Local officers and
employees report contracts with local agencies.
_______________________________________________________________________
List your real estate
interest and the
person or entity,
including the type
of entity, which
is party to
the contract. State the annual
Describe any income from the
management role and List each governmental contract, and the
the percentage agency which is a amount, if any, of
ownership party to the contract income you or any
interest you or your and indicate the immediate family
immediate family county or city where member derives
member has in the real the real estate annually from the
estate or entity. is located. contract.
______________________ ________________________ ___________________
______________________ ________________________ ___________________
______________________ ________________________ ___________________
______________________ ________________________ ___________________
______________________ ________________________ ___________________
_______________________________________________________________________
B. Certain information
regarding the offices, directorships, and paid employments of the filer and the
members of his immediate family
shall be reported. For each office,
directorship, or paid employment, the report shall include:
1. The name and address
of the business or employer;
2. The position held
and by whom; and
3. The salary, wages,
or other remuneration received.
C. Certain information
regarding the personal liabilities held by the filer or a member of his
immediate family shall be reported. For
each debt held, the report shall include:
1. The type of personal
liability;
2. The name and
principal business activity of the creditor; and
3. The amount of debt
held.
For an individual
creditor, the name and occupation of such creditor shall be reported, in
addition to the date of the waiver granted by the Commission pursuant to §
2.2-2541.
D. Certain information
regarding any securities owned by the
filer or a member of his immediate family, directly or indirectly,
together or separately, shall be reported. For
purposes of disclosure, security shall include at least stocks, bonds, mutual
funds, limited partnerships, and commodity futures contracts. For
each security owned, the report shall include:
1. The type of
security;
2. The name of the issuer; and
3. The
value of the security owned.
E. Certain information
regarding any business owned by the filer or a member of his immediate family
or any business in which the filer or a member of his immediate family has a
controlling ownership interest shall be reported. For
purposes of disclosure, "business"
shall include at least corporations, partnerships, sole proprietorships, firms,
enterprises, franchises, associations, trusts or foundations, or any other
individual or entity carrying on a business or profession, whether or not for
profit. For each such business, the
report shall include:
1. The
name of the business;
2. The
nature of the business;
3. The county or city
and the state where the
business is located, unless it is a rental property, in which case, the
physical address; and
4. The total income
earned from the business.
F. Certain information
regarding representation before governmental
agencies by the filer or a person with whom the filer has a
close financial association shall be reported. For
each instance of representation, the report shall include:
1. The name and type of
the business
represented by the filer or the person with whom the filer has a close
financial association;
2. The purpose of the
representation;
3. The name of the
agency before which the filer, or
the person with whom the filer has a close financial association,
appeared; and
4. The amount received
for the representation.
G. Certain information
regarding real estate in which the filer or a member of his immediate family
holds an interest, including a partnership interest, options, easement, or land
contract, shall be reported. For each parcel, the report shall include:
1. Whether or not it is
the principal residence of the filer
or the member of his immediate family;
2. The physical
address;
3. The type of real
estate;
4. The name in which
the parcel is owned or recorded, and the names of any other persons in whose
name the parcel is owned or recorded; and
5. Information
regarding any contract with a governmental agency for the sale or exchange of
the real estate.
H. Certain
information regarding payments or reimbursements received
by the filer for his attendance or participation at meetings, conferences, or
other events, where he attended or
participated in his official capacity, shall be reported.
For each payment, the report shall include:
1. The person or entity
paying or reimbursing the filer;
2. The date and
location of the meeting, conference, or other event;
3. The purpose of the
meeting, conference, or other event;
4. The type of payment
or reimbursement received; and
5. The approximate
value of the payment or reimbursement received.
I. Certain information
regarding gifts accepted or received by the filer or a member of his immediate
family shall be reported. Only
gifts with a value in excess of $25 shall be reported. For
each gift, the report shall include:
1. The name
of the recipient;
2. The
individual or entity providing the
gift;
3. The
exact gift; and
4. The value of the
gift.
J. Certain information
regarding travel not paid for by a governmental entity of
the United States or another state of the United States
shall be reported. For each trip, the report shall include:
1. The date and
destination of the trip;
2. The purpose
of the travel; and
3. An itemized
accounting of all expenses related to the trip. For each expense, the report
shall include:
a. The
person or entity paying for the expense;
b. The
type of expense;
c. The
amount of the expense; and
d. The
date the expense was received.
§2.2-3118. Disclosure form; certain citizen members.
A. The financial disclosure form to be used for filings
required pursuant to subsection B of §2.2-3114 and subsection B of §2.2-3115
shall be filed in accordance with the provisions of §
30-356. The financial
disclosure form shall be substantially as follows: on a form prescribed by the Commission. All
completed forms shall be submitted electronically and in accordance with the
standards approved by the Commission pursuant to §2.2-2540. The
Commission may specify which parts of the disclosure form are not applicable to
officers and employees of local governmental and local advisory agencies.
DEFINITIONS AND
EXPLANATORY MATERIAL.
"Business"
means a corporation, partnership, sole proprietorship, firm, enterprise,
franchise, association, trust or foundation, or any other individual or entity
carrying on a business or profession, whether or not for profit.
"Close financial
association" means an association in which the person filing shares
significant financial involvement with an individual and the filer would
reasonably be expected to be aware of the individual's business activities and
would have access to the necessary records either directly or through the
individual. "Close financial association" does not mean an
association based on (i) the receipt of retirement benefits or deferred
compensation from a business by which the person filing this statement is no
longer employed, or (ii) the receipt of compensation for work performed by the
person filing as an independent contractor of a business that represents an
entity before any state governmental agency when the person filing has no
communications with the state governmental agency.
"Contingent
liability" means a liability that is not presently fixed or determined,
but may become fixed or determined in the future with the occurrence of some
certain event.
"Immediate
family" means (i) a spouse and (ii) any child who resides in the same
household as the filer and who is a dependent of the filer.
"Personal
interest" means, for the purposes of this form only, a personal and
financial benefit or liability accruing to a filer or a member of his immediate
family. Such interest shall exist by reason of (i) ownership in real or
personal property, tangible or intangible; (ii) ownership in a business; (iii)
income from a business; or (iv) personal liability on behalf of a business;
however, unless the ownership interest in a business exceeds three percent of
the total equity of the business, or the liability on behalf of a business
exceeds three percent of the total assets of the business, or the annual
income, and/or property or use of such property, from the business exceeds
$10,000 or may reasonably be anticipated to exceed $10,000, such interest shall
not constitute a "personal interest."
Name ...................................................................
Office or position held or to be held
........................................................................
Address ................................................................
I. FINANCIAL INTERESTS
My B. Certain information regarding the personal
interests and those of my of the filer and his immediate
family are as follows: Include all forms of
personal interests held at the time of filing:, including real estate,
stocks, bonds, and
equity interests in proprietorships and partnerships held
at the time of filing shall be reported. You may exclude:
1. Deposits and interest
bearing accounts in banks, savings institutions and other institutions
accepting such deposits or accounts;
2. Interests in any
business, other than a news medium, representing less than three percent of the
total equity value of the business;
3. Liability on behalf
of any business representing less than three percent of the total assets of
such business; and
4. Income (other than
from salary) less than $10,000 annually from any business. You need not state
the value of any interest. You must state the name or principal business
activity of each business in which you have a personal interest.
A. My personal
interests are Such report shall
include:
1. Residence, The address, or, if no address, location
........................................ of the filer's residence;
2. Other real estate, The address, or, if no address, location
.............................. or
addresses of other real estate owned by the filer or member
of his immediate family;
3. Name The name or principal business
activity of each business in which stock, bond,
or equity interest is held
........................................... by the filer or member of his immediate family.
B. The personal
interests of my immediate family are:
1. Real estate, address
or, if no address, location .......................................
2. Name or principal
business activity of each business in which stock, bond or equity interest is
held ...........................................
II. OFFICES,
DIRECTORSHIPS AND SALARIED EMPLOYMENTS
The C. Certain information
regarding the paid offices, paid
directorships,
and salaried employments which I hold or which
members of my of the filer and the
members of his immediate family hold
and shall be reported.
This report shall also include the businesses from which I the
filer or members of my his immediate family receive
retirement benefits are as follows. For each paid office,
paid directorship, salaried employment, or retirement benefits, such
report shall include:
1. The name of the
business or employer; and
2. The position held
and by whom.
(You need not state any
dollar amounts.)
A. My paid offices,
paid directorships and salaried employments are:
_____________________________________________________________________
Position held Name of business
_______________________________ __________________________________
_______________________________ __________________________________
_______________________________ __________________________________
_____________________________________________________________________
B. The paid offices,
paid directorships and salaried employments of members of my immediate family
are:
_____________________________________________________________________
Position held Name of business
_______________________________ __________________________________
_______________________________ __________________________________
_______________________________ __________________________________
_____________________________________________________________________
III. BUSINESSES TO
WHICH SERVICES WERE FURNISHED
A. The businesses I
have represented, excluding activity defined as lobbying in §2.2-419, before
any state governmental agency, excluding any court or judge, for which I have
received total compensation in excess of $1,000 during the preceding year,
excluding compensation for other services to such businesses and representation
consisting solely of the filing of mandatory papers, are as follows:
Identify businesses by
name and name the state governmental agencies before which you appeared on
behalf of such businesses.
_____________________________________________________________________
Name of business Name of governmental agency
_____________________________ _________________________________
_____________________________ _________________________________
_____________________________ _________________________________
_____________________________________________________________________
B. The businesses that,
to my knowledge, have been represented, excluding activity defined as lobbying
in §2.2-419, before any state governmental agency, excluding any court or
judge, by persons with whom I have a close financial association and who
received total compensation in excess of $1,000 during the preceding year,
excluding compensation for other services to such businesses and representation
consisting solely of the filing of mandatory papers, are as follows:
Identify businesses by
type and name the state governmental agencies before which such person appeared
on behalf of such businesses.
_____________________________________________________________________
Type of business Name of state governmental agency
______________________________ ___________________________________
______________________________ ___________________________________
______________________________ ___________________________________
_____________________________________________________________________
C. All other businesses
listed below that operate in Virginia to which services were furnished pursuant
to an agreement between you and such businesses and for which total
compensation in excess of $1,000 was received during the preceding year:
Check each category of
business to which services were furnished.
_____________________________________________________
Electric utilities __________
Gas utilities __________
Telephone utilities __________
Water utilities __________
Cable television companies __________
Intrastate transportation companies __________
Interstate transportation companies __________
Oil or gas retail companies __________
Banks __________
Savings institutions __________
Loan or finance companies __________
Manufacturing companies (state type
of product, e.g., textile, furniture,
etc.) __________
Mining companies __________
Life insurance companies __________
Casualty insurance companies __________
Other insurance companies __________
Retail companies __________
Beer, wine or liquor companies or
distributors __________
Trade associations __________
Professional associations __________
Associations of public employees or
officials __________
Counties, cities or towns __________
Labor organizations __________
_____________________________________________________
IV. COMPENSATION FOR
EXPENSES
The D. Certain information regarding representation
before any state government agency by the filer or a person with whom the filer
has a close financial association shall be reported. For each instance of
representation, the report shall include:
1. The name and type of
the business represented by the filer or the person with whom the filer has a
close financial association; and
2. The name of the
agency before which the filer, or the person with whom the filer has a close
financial association, appeared.
E. Certain information
regarding remuneration received by the filer or a member of his immediate
family from persons, associations, or
other sources other than my a
governmental agency of the United States or another state of the
United States from which I or a
member of my immediate family received remuneration in excess of $200 during
the preceding year, in cash or otherwise, as
honorariums or payment of expenses in connection with my his attendance at any meeting
or other function to which I he was invited in my his
official capacity are as follows shall be reported. For each honorarium or payment
of expenses, the report shall
include:
1. The name of the
person, association, or other source;
2. A description of the
occasion; and
3. The amount of
remuneration received.
_______________________________________________________________________
Description Amount of remuneration
Name of Source of occasion for each occasion
_____________________ ______________________ ______________________
_____________________ ______________________ ______________________
_____________________ ______________________ ______________________
_______________________________________________________________________
B. The provisions of
Part III A and B of the disclosure form prescribed by this section shall not be
applicable to officers and employees of local governmental and local advisory
agencies.
C. Except for real
estate located within the county, city or town in which the officer or employee
serves or a county, city or town contiguous to the county, city or town in
which the officer or employee serves, officers and employees of local
governmental or advisory agencies shall not be required to disclose under Part
I of the form any other interests in real estate.
§2.2-3121. Advisory opinions.
A. A state officer or employee shall not be prosecuted for a
knowing violation of this chapter if the alleged violation resulted from his
good faith reliance on a written opinion of the Attorney General or the Virginia Conflict of Interest and Ethics Advisory
Council Commission
made in response to his written request for such opinion and the opinion was
made after a full disclosure of the facts.
B. A local officer or employee shall not be prosecuted for a
knowing violation of this chapter if the alleged violation resulted from his
good faith reliance on a written opinion of the attorney for the Commonwealth
or the Council
Commission made in response to his written request for such
opinion and the opinion was made after a full disclosure of the facts. The
written opinion shall be a public record and shall be released upon request.
C. If any officer or employee serving at the local level of
government is charged with a knowing violation of this chapter, and the alleged
violation resulted from his reliance upon a written opinion of his city, county
or town attorney, made after a full disclosure of the facts, that such action
was not in violation of this chapter, then the officer or employee shall have
the right to introduce a copy of the opinion at his trial as evidence that he
did not knowingly violate this chapter.
§2.2-3124. Civil penalty from violation of this chapter.
A. In
addition to any other fine or penalty provided by law, an officer or employee
who knowingly violates any provision of §§2.2-3103 through 2.2-3112 shall be
subject to a civil penalty in an amount equal to the amount of money or thing
of value received as a result of such violation. If the thing of value received
by the officer or employee in violation of §§2.2-3103 through 2.2-3112
increases in value between the time of the violation and the time of discovery
of the violation, the greater value shall determine the amount of the civil
penalty. Further, all money or other things of value received as a result of
such violation shall be forfeited in accordance with the provisions of §
19.2-386.33.
B. An officer or
employee required to file the disclosure form prescribed by §
2.2-3117 who fails to file such form within the time period
prescribed shall be assessed a
civil penalty in an amount equal to $250. The
Commission shall notify the Attorney General of any
state officer's or employee's failure to file the
required form and the Attorney General shall assess and collect the civil
penalty. The Commission shall
notify the attorney for the Commonwealth of any
local officer's or employee's
failure to file the required form and the attorney for the Commonwealth shall
assess and collect the civil penalty. The Commission shall notify the Attorney
General and the attorney for the Commonwealth within 30 days of the
deadline for filing.
§2.2-3131. Exemptions.
A. The requirements of §2.2-3130 shall not apply to state
filers with a state agency who have taken an equivalent ethics orientation
course through another state agency within the time periods set forth in
subdivision 1 or 2 of §2.2-3130, as applicable.
B. State agencies may jointly conduct and state filers from
more than one state agency may jointly attend an orientation course required by
§2.2-3128, as long as the course content is relevant to the official duties of
the attending state filers.
C. Before conducting each orientation course required by §
2.2-3128, state agencies shall consult with the Attorney General and the Virginia Conflict of Interest and Ethics Advisory
Council Commission
regarding appropriate course content.
§24.2-954. Campaign fundraising; legislative sessions;
penalties.
A. No member of the General Assembly or statewide official and
no campaign committee of a member of the General Assembly or statewide official
shall solicit or accept a contribution for the campaign committee of any member
of the General Assembly or statewide official, or for any political committee,
from any person or political committee on and after the first day of a regular or special session of the
General Assembly through adjournment sine die of that session.
B. No person or political committee shall make or promise to
make a contribution to a member of the General Assembly or statewide official
or his campaign committee on and after the first day of a regular or special session of the
General Assembly through adjournment sine die of that session.
C. The restrictions of this section shall not apply to a
contribution (i) made by a member of the General Assembly or statewide official
from his personal funds or (ii) made to the campaign committee of a candidate
in a special election.
D. As used in this section:
"Adjournment sine die" means adjournment on the last
legislative day of the regular or special
session, and such session does not include the ensuing reconvened session;
"Campaign committee," "contribution,"
"person," and "political committee" shall be defined as
provided in §24.2-945.1 except that "contribution" shall not include
money, services, or things of value in any way provided by a candidate to his
own campaign and the payment by the candidate of any primary filing fee;
"Solicit" means request a contribution, orally or in
writing, but shall not include a request for support of a candidate or his
position on an issue; and
"Statewide official" means the Governor, Lieutenant
Governor, and Attorney General.
E. Any person who violates, or aids, abets, or participates in
the violation of, this section shall be subject to a civil penalty equal to the
amount of the prohibited contribution or promised contribution or $500,
whichever amount is greater. The attorney for the Commonwealth shall initiate
civil proceedings to enforce the civil penalty provided herein. Any civil
penalties collected shall be payable to the State Treasurer for deposit to the
general fund.
§30-101. Definitions.
As used in this chapter, unless the context requires a
different meaning:
"Advisory agency" means any board, commission,
committee or post which does not exercise any sovereign power or duty, but is
appointed by a governmental agency or officer or is created by law for the
purpose of making studies or recommendations, or advising or consulting with a
governmental agency.
"Business" means a corporation, partnership, sole
proprietorship, firm, enterprise, franchise, association, trust or foundation,
or any other individual or entity carrying on a business or profession, whether
or not for profit.
"Commission"
means the Virginia Independent Ethics Review Commission established in Article
10 (§2.2-2537 et seq.) of Chapter 25 of Title 2.2.
"Contract" means any agreement to which a
governmental agency is a party, or any agreement on behalf of a governmental
agency that involves the payment of money appropriated by the General Assembly
or a political subdivision, whether or not such agreement is executed in the
name of the Commonwealth, or some political subdivision thereof.
"Contract" includes a subcontract only when the contract of which it
is a part is with the legislator's own governmental agency.
"Council"
means the Virginia Conflict of Interest and Ethics Advisory Council established
in §30-355.
"Dependent"
means a son, daughter, father, mother, brother, sister,
or other person, whether or not related by blood or marriage, if such person
receives from the legislator, or provides to the legislator, more than one-half
of his financial support.
"Financial institution" means any bank, trust
company, savings institution, industrial loan association, consumer finance
company, credit union, broker-dealer as defined in subsection A of §13.1-501,
or investment company or advisor registered under the federal Investment
Advisors Act or Investment Company Act of 1940.
"Gift" means any gratuity, favor, discount,
entertainment, hospitality, loan, forbearance, or other item having monetary
value. It includes services as well as gifts of transportation, lodgings, and meals, whether provided
in-kind, or
by purchase of a ticket, payment in advance,
or reimbursement after the expense has been incurred. "Gift" does not
include (i) any offer of a ticket, coupon, or other admission or pass unless
the ticket, coupon, admission, or pass is used; (ii) honorary degrees; (iii)
any athletic, merit, or need-based scholarship or any other financial aid
awarded by a public or private school, institution of higher education, or
other educational program pursuant to such school, institution, or program's
financial aid standards and procedures applicable to the general public; (iv) unsolicited, personally inscribed
awards of appreciation or recognition in the form of a plaque, trophy, wall
memento, or similar item that is given in recognition of public, civic,
charitable, or professional service; (v) a campaign
contribution properly received and reported pursuant to
Chapter 9.3 the Campaign Finance
Disclosure Act (§24.2-945 et seq.) of
Title 24.2; (v) (vi) any gift related to the private
profession or occupation of a legislator or of a member of his immediate
family; or (vi)
(vii) gifts from relatives or personal friends. For the
purpose of this definition, "relative" means the donee's spouse,
child, uncle, aunt, niece, or nephew; a person to whom the donee is engaged to
be married; the donee's or his spouse's parent, grandparent, grandchild,
brother, or sister; or the donee's brother's or sister's spouse. For the purpose of this definition, "personal
friend" does not include any person that the filer knows or has reason to
know is (a) a lobbyist registered pursuant to Article 3 (§2.2-418 et seq.) of
Chapter 4 of Title 2.2; (b) a lobbyist's principal as defined in §2.2-419; or
(c) a person, organization, or business who is a party to or is seeking to
become a party to a contract with the Commonwealth. For purposes of this
definition, "person, organization, or business" includes individuals
who are officers, directors, or owners of or who have a controlling ownership
interest in such organization or business. In determining whether
a person giving a gift is a personal friend, the following factors shall be
considered: (a) the history of the relationship between the individual
receiving the gift and the person giving the gift, including any previous
exchange of gifts between them; (b) whether the gift was personally
paid for by the person giving the gift or whether he sought
a tax deduction or business reimbursement for the gift, and the knowledge of
the individual receiving of the gift of such fact; and (c) whether
the person giving the gift also gave the same or
similar gifts to other legislators, and the knowledge of the individual
receiving the gift of such fact.
"Governmental agency" means each component part of
the legislative, executive or judicial branches of state and local government,
including each office, department, authority, post, commission, committee, and
each institution or board created by law to exercise some regulatory or
sovereign power or duty as distinguished from purely advisory powers or duties.
"Immediate family" means (i) a spouse and (ii) any child who resides other person residing in the
same household as the legislator and, who is a dependent of the
legislator.
"Legislator" means a member of the General Assembly.
"Personal interest" means a financial benefit or
liability accruing to a legislator or to a member of his immediate family. Such
interest shall exist by reason of (i) ownership in a business if the ownership
interest exceeds three percent of the total equity of the business; (ii) annual
income that exceeds, or may reasonably be anticipated to exceed, $5,000 from
ownership in real or personal property or a business; (iii) salary, other
compensation, fringe benefits, or benefits from the use of property, or any
combination thereof, paid or provided by a business or governmental agency that
exceeds, or may reasonably be anticipated to exceed, $5,000 annually; (iv)
ownership of real or personal property if the interest exceeds $5,000 in value
and excluding ownership in a business, income, or salary, other compensation,
fringe benefits or benefits from the use of property; (v) personal liability
incurred or assumed on behalf of a business if the liability exceeds three
percent of the asset value of the business; or (vi) an option for ownership of
a business or real or personal property if the ownership interest will consist
of clause (i) or (iv).
"Personal interest in a contract" means a personal
interest that a legislator has in a contract with a governmental agency,
whether due to his being a party to the contract or due to a personal interest
in a business that is a party to the contract.
"Personal interest in a transaction" means a
personal interest of a legislator in any matter considered by the General
Assembly. Such personal interest exists when an officer or employee or a member
of his immediate family has a personal interest in property or a business, or
represents or provides services to any individual or business and such
property, business or represented or served individual or business (i) is the
subject of the transaction or (ii) may realize a reasonably foreseeable direct
or indirect benefit or detriment as a result of the action of the agency
considering the transaction. A "personal interest in a transaction"
exists only if the legislator or member of his immediate family or an
individual or business represented or served by the legislator is affected in a
way that is substantially different from the general public or from persons
comprising a profession, occupation, trade, business or other comparable and
generally recognizable class or group of which he or the individual or business
he represents or serves is a member.
"Transaction" means any matter considered by the
General Assembly, whether in a committee, subcommittee, or other entity of the
General Assembly or before the General Assembly itself, on which official
action is taken or contemplated.
§30-103. Prohibited conduct.
No legislator shall:
1. Solicit or accept money or other thing of value for
services performed within the scope of his official duties, except the
compensation, expenses or other remuneration paid to him by the General
Assembly. This prohibition shall not apply to the acceptance of special
benefits which may be authorized by law;
2. Offer or accept any money or other thing of value for or in
consideration of obtaining employment, appointment, or promotion of any person
with any governmental or advisory agency;
3. Offer or accept any money or other thing of value for or in
consideration of the use of his public position to obtain a contract for any
person or business with any governmental or advisory agency;
4. Use for his own economic benefit or that of another party
confidential information which he has acquired by reason of his public position
and which is not available to the public;
5. Accept any money, loan, gift, favor, service, or business
or professional opportunity that reasonably tends to influence him in the
performance of his official duties. This subdivision shall not apply to any
political contribution actually used for political campaign or constituent
service purposes and reported as required by Chapter 9.3 (§24.2-945 et seq.)
of Title 24.2;
6. Accept any business or professional opportunity when he
knows that there is a reasonable likelihood that the opportunity is being
afforded him to influence him in the performance of his official duties;
7. During the one year after the termination of his service as
a legislator, represent a client or act in a representative capacity on behalf
of any person or group, for compensation, on any matter before the General
Assembly or any agency of the legislative branch of government. The
prohibitions of this subdivision shall apply only to persons engaged in activities
that would require registration as a lobbyist under §2.2-422. Any person
subject to the provisions of this subdivision may apply to the Attorney
General, as provided in §30-122, for an advisory opinion as to the application
of the restriction imposed by this subdivision on any post-public employment
position or opportunity;
8. Accept any honoraria for any appearance, speech, or article
in which the legislator provides expertise or opinions related to the
performance of his official duties. The term "honoraria" shall not
include any payment for or reimbursement to such person for his actual travel,
lodging, or subsistence expenses incurred in connection with such appearance,
speech, or article or in the alternative a payment of money or anything of value
not in excess of the per diem deduction allowable under §162 of the Internal
Revenue Code, as amended from time to time;
9. Accept appointment to serve on a body or board of any
corporation, company or other legal entity, vested with the management of the
corporation, company or entity, and on which two other members of the General
Assembly already serve, which is operated for profit and regulated by the State
Corporation Commission as (i) a financial institution, (ii) a mortgage lender
or broker, (iii) any business under Chapter 5 (§13.1-501 et seq.) of Title
13.1, (iv) any business under Title 38.2, or (v) any business under Title 56;
10. Accept a gift from a person who has interests that may be
substantially affected by the performance of the legislator's official duties
under circumstances where the timing and nature of the gift would cause a
reasonable person to question the legislator's impartiality in the matter
affecting the donor. Violations of this subdivision shall not be subject to
criminal law penalties; or
11. Accept gifts from sources on a basis so frequent as to
raise an appearance of the use of his public office for private gain.
Violations of this subdivision shall not be subject to criminal law penalties; or
12. Solicit, accept, or
receive any transportation, lodging, meal, hospitality, or other travel-related
thing of value exceeding the limitation prescribed in §30-103.1 that is to be
provided by a third party prior to
submitting to the Commission an application for a waiver to accept such
travel-related thing of value and receiving such a waiver pursuant to §
2.2-2541.
§30-103.1. Certain gifts prohibited.
A. For purposes of this section:
"Intangible
gift" means a thing of temporary value or a thing that upon the happening
of a certain event or expiration of a given date loses its value.
"Intangible gift" includes entertainment, hospitality, a ticket,
admission, or pass, transportation, lodgings, and meals that are reportable on
Schedule E of the disclosure form prescribed in §30-111.
"Tangible
gift" means a thing of value that does not lose its value upon the
happening of a certain event or expiration of a given date. "Tangible
gift" includes currency, negotiable instruments, securities, stock
options, or other financial instruments that are reportable on Schedule E of
the disclosure form prescribed in §30-111. "Tangible gift" does not
include payments or reimbursements received for any intangible gift.
"Bundled
gift" means separate gifts that are paid for or otherwise provided by a
person, organization, or a group of persons or organizations and are delivered by a
single person or organization.
"Widely attended
event" means an event for
which there is a reasonable expectation that at least 25 persons will attend
the event and the event is open to individuals from throughout a particular
industry or profession or who represent persons interested in a particular
issue.
B. A legislator or candidate for the General Assembly required
to file the disclosure form prescribed in §30-111 (i), or a member of his
immediate family, shall not solicit, accept, or
receive within any calendar year any single
tangible gift with a value in excess
of $250 $100
or a combination of
tangible gifts with an aggregate value in excess of $250 $100
from any person that he knows or has
reason to know is (a) a lobbyist registered pursuant to Article 3 (§2.2-418 et
seq.) of Chapter 4 of Title 2.2; (b) a lobbyist's principal as defined in §
2.2-419; or (c) a person, organization, or business who is a party to or is
seeking to become a party to a contract with the Commonwealth; (ii)
shall report any tangible gift with a value of $250 or less or any intangible
gift received from any person listed in clause (i) on Schedule E of such
disclosure form; and (iii) shall report any payments for talks, meetings, and
publications on Schedule D-1 of such disclosure form. For purposes of this
subsection, "person, organization, or business" includes individuals
who are officers, directors, or owners of or who have a controlling ownership
interest in such organization or business, other than a relative or personal friend. For
purposes of this prohibition and the disclosure
requirements, the total
value of a bundled gift shall be attributed to each
person or organization contributing to the bundled gift.
C. The $250 limitation
imposed in accordance with this section shall be adjusted by the Council every
five years, as of January 1 of that year, in an amount equal to the annual
increases for that five-year period in the United States Average Consumer Price
Index for all items, all urban consumers (CPI-U), as published by the Bureau of
Labor Statistics of the U.S. Department of Labor, rounded to the nearest whole
dollar. A legislator or
candidate, or a member of his immediate family, may
accept an invitation to a widely attended event related
to his official duties and accept any meal otherwise prohibited
by subsection B when such meal is offered to all
attendees as part of the event. Such meals
shall be reported on the disclosure form prescribed in §30-111.
D. A
legislator or candidate may accept or receive
a travel-related gift that is otherwise prohibited by subsection B when he has
submitted an application for a waiver to the Commission and the Commission has
granted a waiver pursuant to §2.2-2541. An application for a waiver shall be
submitted to the Commission no later than 10 days prior to the expected date of
receipt of such a gift. Gifts accepted or received pursuant to this subsection
shall be reported on the disclosure form prescribed in §30-111.
§30-110. Disclosure.
A. Every legislator and legislator-elect shall file, as a
condition to assuming office, a disclosure statement of his personal interests
and such other information as is specified on the form set forth in §30-111
and thereafter shall file such a statement semiannually by December 15 for the
preceding six-month period complete through the last day of October and by June
15 for the preceding six-month period complete through the last day of April.
When the filing deadline falls on a Saturday, Sunday, or legal holiday, the
disclosure statement shall be filed on the next day that is not a Saturday,
Sunday, or legal holiday. Disclosure forms shall be
provided made available
by the Virginia Conflict of Interest and Ethics Advisory
Council Commission
at least 30 days prior to the filing deadline. Members of the Senate and
members of the House of Delegates shall file their disclosure forms with the Virginia Conflict of Interest and Ethics Advisory
Council Commission.
The disclosure forms of the members of the
General Assembly shall be submitted
electronically with the Commission in accordance with the standards set by the
Commission pursuant to §2.2-2540. All forms shall be
maintained as public records for five years in the office of the Virginia Conflict of Interest and Ethics Advisory
Council Commission.
B. Candidates for the General Assembly shall file a disclosure
statement of their personal interests as required by §§24.2-500 through
24.2-503.
C. Any legislator who has a personal interest in any
transaction pending before the General Assembly and who is disqualified from
participating in that transaction pursuant to §30-108 and the rules of his
house shall disclose his interest in accordance with the applicable rule of his
house.
§30-111. Disclosure form.
A. The disclosure form to be used for filings required by
subsections A and B of §30-110 shall be substantially as
follows: on a form prescribed
by the Commission. All completed forms shall be submitted electronically and in
accordance with the standards approved by
the Commission pursuant to §2.2-2540. A person
required to file this disclosure form who does so knowing it to contain a
material misstatement of fact is guilty of a Class 5 felony.
STATEMENT OF ECONOMIC INTERESTS.
Name ....................................................................
Office or position held or sought .......................................
Address .................................................................
Names of members of immediate family ....................................
DEFINITIONS AND
EXPLANATORY MATERIAL.
"Business"
means a corporation, partnership, sole proprietorship, firm, enterprise,
franchise, association, trust or foundation, or any other individual or entity
carrying on a business or profession, whether or not for profit.
"Close financial
association" means an association in which the filer shares significant
financial involvement with an individual and the filer would reasonably be
expected to be aware of the individual's business activities and would have
access to the necessary records either directly or through the individual.
"Close financial association" does not mean an association based on
(i) the receipt of retirement benefits or deferred compensation from a business
by which the legislator is no longer employed, or (ii) the receipt of
compensation for work performed by the legislator as an independent contractor
of a business that represents an entity before any state governmental agency
when the legislator has had no communications with the state governmental
agency.
"Contingent
liability" means a liability that is not presently fixed or determined,
but may become fixed or determined in the future with the occurrence of some
certain event.
"Gift" means
any gratuity, favor, discount, entertainment, hospitality, loan, forbearance,
or other item having monetary value. It includes services as well as gifts of
transportation, lodgings and meals, whether provided in-kind, by purchase of a
ticket, payment in advance or reimbursement after the expense has been
incurred. "Gift" does not include (i) any offer of a ticket, coupon,
or other admission or pass unless the ticket, coupon, admission, or pass is
used; (ii) honorary degrees; (iii) any athletic, merit, or need-based
scholarship or any other financial aid awarded by a public or private school,
institution of higher education, or other educational program pursuant to such
school, institution, or program's financial aid standards and procedures
applicable to the general public; (iv) a campaign contribution properly
received and reported pursuant to Chapter 9.3 (§24.2-945 et seq.) of Title
24.2; (v) any gift related to the private profession or occupation of a
legislator or of a member of his immediate family; or (vi) gifts from relatives
or personal friends. "Relative" means the donee's spouse, child,
uncle, aunt, niece, or nephew; a person to whom the donee is engaged to be
married; the donee's or his spouse's parent, grandparent, grandchild, brother,
or sister; or the donee's brother's or sister's spouse. "Personal
friend" does not include any person that the filer knows or has reason to
know is (a) a lobbyist registered pursuant to Article 3 (§2.2-418 et seq.) of
Chapter 4 of Title 2.2; (b) a lobbyist's principal as defined in §2.2-419; or
(c) a person, organization, or business who is a party to or is seeking to
become a party to a contract with the Commonwealth. "Person, organization,
or business" includes individuals who are officers, directors, or owners
of or who have a controlling ownership interest in such organization or
business.
"Immediate
family" means (i) a spouse and (ii) any child who resides in the same
household as the legislator and who is a dependent of the legislator.
"Lobbyist
relationship" means (i) an engagement, agreement, or representation that
relates to legal services, consulting services, or public relations services,
whether gratuitous or for compensation, between a member or member-elect and
any person who is, or has been within the prior calendar year, registered as a
lobbyist with the Secretary of the Commonwealth or (ii) a greater than three
percent ownership interest by a member or member-elect in a business that
employs, or engages as an independent contractor, any person who is, or has
been within the prior calendar year, registered as a lobbyist with the
Secretary of the Commonwealth. The disclosure of a lobbyist relationship shall
not (a) constitute a waiver of any attorney-client or other privilege, (b)
require a waiver of any attorney-client or other privilege for a third party,
or (c) be required where a member or member-elect is employed or engaged by a
person and such person also employs or engages a person in a lobbyist
relationship so long as the member or member-elect has no financial interest in
the lobbyist relationship.
TRUST. If you or your
immediate family, separately or together, are the only beneficiaries of a
trust, treat the trust's assets as if you own them directly. If you or your
immediate family has a proportional interest in a trust, treat that proportion
of the trust's assets as if you own them directly. For example, if you and your
immediate family have a one-third interest in a trust, complete your Statement
as if you own one-third of each of the trust's assets. If you or a member of
your immediate family created a trust and can revoke it without the
beneficiaries' consent, treat its assets as if you own them directly.
REPORT TO THE BEST OF
INFORMATION AND BELIEF. Information required on this Statement must be provided
on the basis of the best knowledge, information, and belief of the individual
filing the Statement as of the date of this report unless otherwise stated.
COMPLETE ITEMS 1
THROUGH 11. REFER TO SCHEDULES ONLY IF DIRECTED.
You may attach
additional explanatory information.
1. Offices and
Directorships.
Are you or a member of
your immediate family a paid officer or paid director of a business?
EITHER check NO / / OR
check YES / / and complete Schedule A.
2. Personal
Liabilities.
Do you or a member of
your immediate family owe more than $5,000 to any one creditor including
contingent liabilities? (Exclude debts to any government and loans secured by
recorded liens on property at least equal in value to the loan.)
EITHER check NO / / OR
check YES / / and complete Schedule B.
3. Securities.
Do you or a member of
your immediate family, directly or indirectly, separately or together, own
securities valued in excess of $5,000 invested in one business? Account for
mutual funds, limited partnerships and trusts.
EITHER check NO / / OR
check YES / / and complete Schedule C.
4. Payments for Talks,
Meetings, and Publications.
During the past six
months did you receive in your capacity as a legislator lodging,
transportation, money, or anything else of value with a combined value
exceeding $200 (i) for a single talk, meeting, or published work or (ii) for a
meeting, conference, or event where your attendance at the meeting, conference,
or event was designed to (a) educate you on issues relevant to your duties as a
legislator, including issues faced by your constituents, or (b) enhance your
knowledge and skills relative to your duties as a legislator? Do not include
payments and reimbursements from the Commonwealth for meetings attended in your
capacity as a legislator; see Question 11 and Schedule D2 to report such
meetings.
EITHER check NO / / OR
check YES / / and complete Schedule D.
5. Gifts.
During the past six
months did a business, government, or individual other than a relative or
personal friend (i) furnish you or a member of your immediate family with any
gift or entertainment at a single event, and the value received exceeded $50 or
(ii) furnish you or a member of your immediate family with gifts or
entertainment in any combination and the total value received exceeded $100,
and for which you or the member of your immediate family neither paid nor
rendered services in exchange? Account for entertainment events only if the
average value per person attending the event exceeded $50. Account for all
business entertainment (except if related to the private profession or
occupation of you or the member of your immediate family who received such
business entertainment) even if unrelated to your official duties.
EITHER check NO / / OR
check YES / / and complete Schedule E.
6. Salary and Wages.
List each employer that
pays you or a member of your immediate family salary or wages in excess of
$5,000 annually. (Exclude any salary received as a member of the General
Assembly pursuant to §30-19.11.)
If no reportable salary
or wages, check here / /.
______________________________________________________________________
______________________________________________________________________
______________________________________________________________________
7. Business Interests
and Lobbyist Relationships.
7A. Do you or a member
of your immediate family, separately or together, operate your own business, or
own or control an interest in excess of $5,000 in a business?
EITHER check NO / / OR
check YES / / and complete Schedule F-1.
7B. Do you have a
lobbyist relationship as that term is defined above?
EITHER check NO / / OR
check YES / / and complete Schedule F-2.
8. Payments for
Representation and Other Services.
8A. Did you represent
any businesses before any state governmental agencies, excluding courts or
judges, for which you received total compensation during the past six months in
excess of $1,000, excluding compensation for other services to such businesses
and representation consisting solely of the filing of mandatory papers and
subsequent representation regarding the mandatory papers?
EITHER check NO / / OR
check YES / / and complete Schedule G-1.
8B. Subject to the same
exceptions as in 8A, did persons with whom you have a close financial
association (partners, associates or others) represent any businesses before
any state governmental agency for which total compensation was received during
the past six months in excess of $1,000?
EITHER check NO / / OR
check YES / / and complete Schedule G-2.
8C. Did you or persons
with whom you have a close financial association furnish services to businesses
operating in Virginia, pursuant to an agreement between you and such
businesses, or between persons with whom you have a close financial association
and such businesses for which total compensation in excess of $1,000 was
received during the past six months? Services reported under this provision
shall not include services involving the representation of businesses that are
reported under question 8A or 8B above.
EITHER check NO / / OR
check YES / / and complete Schedule G-3.
9. Real Estate.
Do you or a member of
your immediate family hold an interest, including a partnership interest,
valued at more than $5,000 in real property (other than your principal
residence) for which you have not already listed the full address on Schedule
F? Account for real estate held in trust.
EITHER check NO / / OR
check YES / / and complete Schedule H.
10. Real Estate
Contracts with State Governmental Agencies.
Do you or a member of
your immediate family hold an interest valued at more than $5,000 in real
estate, including a corporate, partnership, or trust interest, option,
easement, or land contract, which real estate is the subject of a contract,
whether pending or completed within the past six months, with a state
governmental agency?
If the real estate
contract provides for the leasing of the property to a state governmental
agency, do you or a member of your immediate family hold an interest in the
real estate, including a corporate, partnership, or trust interest, option,
easement, or land contract valued at more than $1,000? Account for all such
contracts whether or not your interest is reported in Schedule F or H. This
requirement to disclose an interest in a lease does not apply to an interest
derived through an ownership interest in a business unless the ownership
interest exceeds three percent of the total equity of the business.
EITHER check NO / / OR
check YES / / and complete Schedule I.
11. Payments by the
Commonwealth for Meetings.
During the past six
months did you receive lodging, transportation, money, or anything else of
value with a combined value exceeding $200 from the Commonwealth for a single
meeting attended out-of-state in your capacity as a legislator? Do not include
reimbursements from the Commonwealth for meetings attended in the Commonwealth.
EITHER check NO / / OR
check YES / / and complete Schedule D-2.
For Statements filed in
January 2016 and each two years thereafter, complete the following statement
indicating whether you completed the ethics orientation sessions provided
pursuant to law:
I certify that I
completed ethics training as required by §30-129.1. YES / / or NO / / .
Statements of Economic
Interests are open for public inspection.
AFFIRMATION.
In accordance with the
rules of the house in which I serve, if I receive a request that this
disclosure statement be corrected, augmented, or revised in any respect, I
hereby pledge that I shall respond promptly to the request. I understand that
if a determination is made that the statement is insufficient, I will satisfy
such request or be subjected to disciplinary action of my house.
I swear or affirm that
the foregoing information is full, true and correct to the best of my knowledge.
Signature
________________________________ (Such signature shall be deemed to constitute
a valid notarization and shall have the same effect as if performed by a notary
public.)
(Return only if needed
to complete Statement.)
SCHEDULES
to
STATEMENT OF ECONOMIC INTERESTS.
NAME
________________________________
SCHEDULE A - OFFICES
AND DIRECTORSHIPS.
Identify each business
of which you or a member of your immediate family is a paid officer or paid
director.
_______________________________________________________________________
Name of Business Address of Business Position Held and by Whom
___________________ _____________________ _________________________
___________________ _____________________ _________________________
___________________ _____________________ _________________________
___________________ _____________________ _________________________
_______________________________________________________________________
RETURN TO ITEM 2
SCHEDULE B - PERSONAL
LIABILITIES.
Report personal
liability by checking each category. Report only debts in excess of $5,000. Do
not report debts to any government. Do not report loans secured by recorded
liens on property at least equal in value to the loan.
Report contingent
liabilities below and indicate which debts are contingent.
1. My personal debts
are as follows:
__________________________________________________________________________
Check Check one
appropriate $5,001 to More than
categories $50,000 $50,000
Banks __________ _________
Savings institutions __________ _________
Other loan or finance companies __________ _________
Insurance companies __________ _________
Stock, commodity or other brokerage
companies __________ _________
Other businesses:
(State principal business activity for each
creditor and its name.)
____________________________________________ __________ _________
____________________________________________ __________ _________
____________________________________________ __________ _________
Individual creditors:
(State principal business or occupation of
each creditor and its name.)
____________________________________________ __________ _________
____________________________________________ __________ _________
____________________________________________ __________ _________
__________________________________________________________________________
2. The personal debts
of the members of my immediate family are as follows:
__________________________________________________________________________
Check Check one
appropriate $5,001 to More than
categories $50,000 $50,000
Banks __________ _________
Savings institutions __________ _________
Other loan or finance companies __________ _________
Insurance companies __________ _________
Stock, commodity or other brokerage
companies __________ _________
Other businesses:
(State principal business activity for each
creditor and its name.)
____________________________________________ __________ _________
____________________________________________ __________ _________
____________________________________________ __________ _________
Individual creditors:
(State principal business or occupation of
each creditor and its name.)
____________________________________________ __________ _________
____________________________________________ __________ _________
____________________________________________ __________ _________
__________________________________________________________________________
RETURN TO ITEM 3
SCHEDULE C -
SECURITIES.
"Securities"
INCLUDES stocks, bonds, mutual funds, limited partnerships, and commodity futures
contracts.
"Securities"
EXCLUDES certificates of deposit, money market funds, annuity contracts, and
insurance policies.
Identify each business
or Virginia governmental entity in which you or a member of your immediate
family, directly or indirectly, separately or together, own securities valued
in excess of $5,000. Name each issuer and type of security individually.
Do not list U.S. Bonds
or other government securities not issued by the Commonwealth of Virginia or
its authorities, agencies, or local governments. Do not list organizations that
do not do business in this Commonwealth, but most major businesses conduct
business in Virginia. Account for securities held in trust.
If no reportable
securities, check here / /.
____________________________________________________________________________
Check one
Type of Security $5,001 $50,001 More
(stocks, bonds, mutual to to than
Name of Issuer funds, etc.) $50,000 $250,000 $250,000
________________________ _______________________ _______ _______ ________
________________________ _______________________ _______ _______ ________
________________________ _______________________ _______ _______ ________
________________________ _______________________ _______ _______ ________
____________________________________________________________________________
RETURN TO ITEM 4
SCHEDULE D-1 - PAYMENTS
FOR TALKS, MEETINGS, AND PUBLICATIONS.
List each source from
which you received during the past six months in your capacity as a legislator
lodging, transportation, money, or any other thing of value with a combined
value exceeding $200 (i) for your presentation of a single talk, participation
in one meeting, or publication of a work or (ii) for your attendance at a
meeting, conference, or event where your attendance at the meeting, conference,
or event was designed to (a) educate you on issues relevant to your duties as a
legislator, including issues faced by your constituents, or (b) enhance your
knowledge and skills relative to your duties as a legislator. Any lodging,
transportation, money, or other thing of value received by a legislator that
does not satisfy the criteria of clause (i), (ii)(a), or (ii)(b) shall be
listed as a gift on Schedule E. Do not list payments or reimbursements by the
Commonwealth. (See Schedule D-2 for such payments or reimbursements.) List a
payment even if you donated it to charity. Do not list information about a
payment if you returned it within 60 days or if you received it from an
employer already listed under Item 6 or from a source of income listed on
Schedule F.
If no payment must be
listed, check here / /.
__________________________________________________________________________
Type of Payment
(e.g., Honoraria,
Travel reimburse-
Payer Approximate Value Circumstances ment, etc.)
__________________ __________________ _______________ _________________
__________________ __________________ _______________ _________________
__________________ __________________ _______________ _________________
__________________ __________________ _______________ _________________
__________________________________________________________________________
RETURN TO ITEM 5
SCHEDULE D-2 - PAYMENTS
BY THE COMMONWEALTH FOR MEETINGS.
List each meeting for
which the Commonwealth provided payments or reimbursements during the past six
months to you for lodging, transportation, money, or any other thing of value
with a combined value exceeding $200 for your participation in your capacity as
a legislator. Do not list payments or reimbursements by the Commonwealth for
meetings or travel within the Commonwealth.
If no payment must be
listed, check here / /.
__________________________________________________________________________
Type of Payment
(e.g., Travel
reimbursement,
Payer Approximate Value Circumstances etc.)
__________________ __________________ _______________ _________________
__________________ __________________ _______________ _________________
__________________ __________________ _______________ _________________
__________________ __________________ _______________ _________________
__________________________________________________________________________
SCHEDULE E - GIFTS.
List each business,
governmental entity, or individual that, during the past six months, (i)
furnished you or a member of your immediate family with any gift or
entertainment at a single event, and the value received exceeded $50 or (ii)
furnished you or a member of your immediate family with gifts or entertainment
in any combination and the total value received exceeded $100, and for which
you or the member of your immediate family neither paid nor rendered services
in exchange. List each such gift or event.
Do not list
entertainment events unless the average value per person attending the event
exceeded $50. Do not list business entertainment related to the private
profession or occupation of you or the member of your immediate family who
received such business entertainment. Do not list gifts or other things of
value given by a relative or personal friend for reasons clearly unrelated to
your public position. Do not list campaign contributions publicly reported as
required by Chapter 9.3 (§24.2-945 et seq.) of Title 24.2 of the Code of
Virginia.
__________________________________________________________________________
Name of Business, City or Exact
Name of Organization, or County Gift or Approximate
Recipient Individual and State Event Value
____________ __________________ __________ ___________ ___________
____________ __________________ __________ ___________ ___________
____________ __________________ __________ ___________ ___________
____________ __________________ __________ ___________ ___________
_________________________________________________ ________________________
RETURN TO ITEM 6
SCHEDULE F-1 - BUSINESS
INTERESTS.
Complete this Schedule
for each self-owned or family-owned business (including rental property, a
farm, or consulting work), partnership, or corporation in which you or a member
of your immediate family, separately or together, own an interest having a
value in excess of $5,000.
If the enterprise is
owned or operated under a trade, partnership, or corporate name, list that
name; otherwise, merely explain the nature of the enterprise. If rental
property is owned or operated under a trade, partnership, or corporate name,
list the name only; otherwise, give the address of each property. Account for
business interests held in trust.
_________________________________________________________________________
Name of
Business
Corporation,
Partnership, Nature of Gross income
Farm; Enterprise
Address of City or (farming, $50,001 More
Rental County law, rental $50,000 to than
Property and State property, etc.) or less $250,000 $250,000
______________ _________ _________________ _______ ________ ________
______________ _________ _________________ _______ ________ ________
______________ _________ _________________ _______ ________ ________
______________ _________ _________________ _______ ________ ________
_________________________________________________________________________
RETURN TO ITEM 8
SCHEDULE F-2 - LOBBYIST
RELATIONSHIPS AND PAYMENTS.
Complete this Schedule
for each lobbyist relationship with the following:
(i) any person who is,
or has been within the prior calendar year, registered as a lobbyist with the
Secretary of the Commonwealth, or
(ii) any business in
which you have a greater than three percent ownership interest and that
business employs, or engages as an independent contractor, any person who is,
or has been within the prior calendar year, registered as a lobbyist with the
Secretary of the Commonwealth.
___________________________________________________________________________
Payments to
Lobbyist
List each person Describe each Dates of $10,000 More than
or business relationship relationship or less $10,000
_________________ ______________ ______________ ___________ ___________
_________________ ______________ ______________ ___________ ___________
_________________ ______________ ______________ ___________ ___________
_________________ ______________ ______________ ___________ ___________
_________________ ______________ ______________ ___________ ___________
___________________________________________________________________________
THE DISCLOSURE OF A
LOBBYIST RELATIONSHIP SHALL NOT (I) CONSTITUTE A WAIVER OF ANY ATTORNEY-CLIENT
OR OTHER PRIVILEGE, (II) REQUIRE A WAIVER OF ANY ATTORNEY-CLIENT OR OTHER
PRIVILEGE FOR A THIRD PARTY, OR (III) BE REQUIRED WHERE A MEMBER OR
MEMBER-ELECT IS EMPLOYED OR ENGAGED BY A PERSON AND SUCH PERSON ALSO EMPLOYS OR
ENGAGES A PERSON IN A LOBBYIST RELATIONSHIP SO LONG AS THE MEMBER OR
MEMBER-ELECT HAS NO FINANCIAL INTEREST IN THE LOBBYIST RELATIONSHIP.
SCHEDULE G-1 - PAYMENTS
FOR REPRESENTATION BY YOU.
List the businesses you
represented before any state governmental agency, excluding any court or judge,
for which you received total compensation during the past six months in excess
of $1,000, excluding compensation for other services to such businesses and
representation consisting solely of the filing of mandatory papers and
subsequent representation regarding the mandatory papers filed by you.
Identify each business,
the nature of the representation and the amount received by dollar category
from each such business. You may state the type, rather than name, of the
business if you are required by law not to reveal the name of the business
represented by you.
______________________________________________________________________
Pur-
pose Amount Received
Name Type of
of of Repre- Name $1,001 $10,001 $50,001 $100,001
Busi- Busi- senta- of to to to to $250,001
ness ness tion Agency $10,000 $50,000 $100,000 $250,000 and over
______ ______ ______ ______ _______ _______ ________ ________ ________
______ ______ ______ ______ _______ _______ ________ ________ ________
______ ______ ______ ______ _______ _______ ________ ________ ________
______ ______ ______ ______ _______ _______ ________ ________ ________
______________________________________________________________________
If you have received
$250,001 or more from a single business within the reporting period, indicate
the amount received, rounded to the nearest $10,000. Amount Received:
______________.
SCHEDULE G-2 - PAYMENTS
FOR REPRESENTATION BY ASSOCIATES.
List the businesses
that have been represented before any state governmental agency, excluding any
court or judge, by persons who are your partners, associates or others with
whom you have a close financial association and who received total compensation
in excess of $1,000 for such representation during the past six months,
excluding representation consisting solely of the filing of mandatory papers
and subsequent representation regarding the mandatory papers filed by your
partners, associates or others with whom you have a close financial
association.
Identify such
businesses by type and also name the state governmental agencies before which
such person appeared on behalf of such businesses.
______________________________________________________________________
Type of Business Name of State Governmental Agency
_____________________________ ______________________________________
_____________________________ ______________________________________
_____________________________ ______________________________________
_____________________________ ______________________________________
______________________________________________________________________
SCHEDULE G-3 - PAYMENTS
FOR OTHER SERVICES GENERALLY.
Indicate below types of
businesses that operate in Virginia to which services were furnished by you or
persons with whom you have a close financial association pursuant to an
agreement between you and such businesses, or between persons with whom you
have a close financial association and such businesses and for which total
compensation in excess of $1,000 was received during the past six months.
Services reported in this Schedule shall not include services involving the
representation of businesses that are reported in Schedule G-1 or G-2 above.
Identify opposite each
category of businesses listed below (i) the type of business, (ii) the type of
service rendered and (iii) the value by dollar category of the compensation
received for all businesses falling within each category.
__________________________________________________________________________
Check
if Type
ser- of Value of Compensation
vices ser-
were vice $1,001 $10,001 $50,001 $100,001
ren- ren- to to to to $250,001
dered dered $10,000 $50,000 $100,000 $250,000 and over
Electric utilities _____ _____ _______ _______ ________ ________ ________
Gas utilities _____ _____ _______ _______ ________ ________ ________
Telephone utilities _____ _____ _______ _______ ________ ________ ________
Water utilities _____ _____ _______ _______ ________ ________ ________
Cable television
companies _____ _____ _______ _______ ________ ________ ________
Interstate
transportation
companies _____ _____ _______ _______ ________ ________ ________
Intrastate
transportation
companies _____ _____ _______ _______ ________ ________ ________
Oil or gas retail
companies _____ _____ _______ _______ ________ ________ ________
Banks _____ _____ _______ _______ ________ ________ ________
Savings
institutions _____ _____ _______ _______ ________ ________ ________
Loan or finance
companies _____ _____ _______ _______ ________ ________ ________
Manufacturing
companies (state
type of product,
e.g., textile,
furniture, etc.) _____ _____ _______ _______ ________ ________ ________
Mining companies _____ _____ _______ _______ ________ ________ ________
Life insurance
companies _____ _____ _______ _______ ________ ________ ________
Casualty insurance
companies _____ _____ _______ _______ ________ ________ ________
Other insurance
companies _____ _____ _______ _______ ________ ________ ________
Retail companies _____ _____ _______ _______ ________ ________ ________
Beer, wine or
liquor companies
or distributors _____ _____ _______ _______ ________ ________ ________
Trade associations _____ _____ _______ _______ ________ ________ ________
Professional
associations _____ _____ _______ _______ ________ ________ ________
Associations of
public employees
or officials _____ _____ _______ _______ ________ ________ ________
Counties, cities
or towns _____ _____ _______ _______ ________ ________ ________
Labor organizations _____ _____ _______ _______ ________ ________ ________
Other _____ _____ _______ _______ ________ ________ ________
__________________________________________________________________________
RETURN TO ITEM 9
SCHEDULE H - REAL
ESTATE.
List real estate other
than your principal residence in which you or a member of your immediate family
holds an interest, including a partnership interest, option, easement, or land
contract, valued at $5,000 or more. Each parcel shall be listed individually.
________________________________________________________________________
Describe the type of real
estate you own in each
List the location location (business, If the real estate is
(state, and county recreational, apartment, owned or recorded in
or city where you commercial, open land, a name other than your
own real estate etc.) own, list that name
___________________ _________________________ ______________________
___________________ _________________________ ______________________
___________________ _________________________ ______________________
___________________ _________________________ ______________________
___________________ _________________________ ______________________
________________________________________________________________________
RETURN TO ITEM 10
SCHEDULE I - REAL
ESTATE CONTRACTS WITH STATE GOVERNMENTAL AGENCIES.
List all contracts,
whether pending or completed within the past six months, with a state
governmental agency for the sale or exchange of real estate in which you or a
member of your immediate family holds an interest, including a corporate,
partnership or trust interest, option, easement, or land contract, valued at
more than $10,000. List all contracts with a state governmental agency for the
lease of real estate in which you or a member of your immediate family holds
such an interest valued at more than $1,000. This requirement to disclose an
interest in a lease does not apply to an interest derived through an ownership
interest in a business unless the ownership interest exceeds three percent of
the total equity of the business.
_______________________________________________________________________
List your real
estate interest and
the person or entity,
including the type of
entity, which is
party to the contract. State the annual
Describe any income from the
management role and List each contract, and the
the percentage governmental agency amount, if any, of
ownership interest which is a party to income you or any
you or your immediate the contract and immediate family
family member has in indicate the county member derives
the real estate or city where the annually from
or entity. real estate is located. the contract.
______________________ ________________________ ___________________
______________________ ________________________ ___________________
______________________ ________________________ ___________________
______________________ ________________________ ___________________
______________________ ________________________ ___________________
_______________________________________________________________________
B. Any legislator who
makes a knowing misstatement of a material fact on the Statement of Economic
Interests shall be subject to disciplinary action for such violations by the
house in which the legislator sits.
C. The Statement of
Economic Interests of all members of each house shall be reviewed by the
Council. If a legislator's Statement is found to be inadequate as filed, the
legislator shall be notified in writing and directed to file an amended
Statement correcting the indicated deficiencies, and a time shall be set within
which such amendment shall be filed. If the Statement of Economic Interests, in
either its original or amended form, is found to be adequate as filed, the
legislator's filing shall be deemed in full compliance with this section as to
the information disclosed thereon.
D. Ten percent of the
membership of a house, on the basis of newly discovered facts, may in writing
request the house in which those members sit, in accordance with the rules of
that house, to review the Statement of Economic Interests of another member of
that house in order to determine the adequacy of his filing. In accordance with
the rules of each house, each Statement of Economic Interests shall be promptly
reviewed, the adequacy of the filing determined, and notice given in writing to
the legislator whose Statement is in issue. Should it be determined that the
Statement requires correction, augmentation or revision, the legislator
involved shall be directed to make the changes required within such time as
shall be set under the rules of each house.
If a legislator, after
having been notified in writing in accordance with the rules of the house in
which he sits that his Statement is inadequate as filed, fails to amend his
Statement so as to come into compliance within the time limit set, he shall be
subject to disciplinary action by the house in which he sits. No legislator shall
vote on any question relating to his own Statement.
B. Certain information
regarding the offices, directorships, and paid employments of the filer and the
members of his immediate family shall be reported. For each office,
directorship, or paid employment, the report shall include:
1. The name and address
of the business or employer;
2. The position held
and by whom; and
3. The salary, wages,
or other remuneration received.
C. Certain information
regarding the personal liabilities held by the filer or a member of his
immediate family shall be reported. For each debt held, the report shall
include:
1. The type of personal
liability;
2. The name and
principal business activity of the creditor; and
3. The amount of debt
held.
For an individual
creditor, the name and occupation of such creditor shall be reported, in
addition to the date of the waiver granted by the Commission pursuant to §
2.2-2541.
D. Certain information
regarding any securities owned by the filer or a member of his immediate
family, directly or indirectly, together or separately, shall be reported. For
purposes of disclosure, security shall include at least stocks, bonds, mutual
funds, limited partnerships, and commodity futures contracts. For each security
owned, the report shall include:
1. The type of
security;
2. The name of the
issuer; and
3. The value of the
security owned.
E. Certain information
regarding any business owned by the filer or a member of his immediate family
or any business in which the filer or a member of his immediate family has a
controlling ownership interest shall be reported. For purposes of disclosure, "business"
shall include at least corporations, partnerships, sole proprietorships, firms,
enterprises, franchises, associations, trusts or foundations, or any other
individual or entity carrying on a business or profession, whether or not for
profit. For each such business, the report shall include:
1. The name of the
business;
2. The nature of the
business;
3. The county or city
and the state where the business is located, unless it is a rental property, in
which case, the physical address; and
4. The total income
earned from the business.
F. Certain information
regarding representation before governmental agencies by the filer or a person
with whom the filer has a close financial association shall be reported. For
each instance of representation, the report shall include:
1. The name and type of
the business represented by the filer or the person with whom the filer has a
close financial association;
2. The purpose of the
representation;
3. The name of the
agency before which the filer, or the person with whom the filer has a close
financial association, appeared; and
4. The amount received
for the representation.
G. Certain information
regarding real estate in which the filer or a member of his immediate family
holds an interest, including a partnership interest, options, easement, or land
contract, shall be reported. For each parcel, the report shall include:
1. Whether or not it is
the principal residence of the filer or the member of his immediate family;
2. The physical
address;
3. The type of real
estate;
4. The name in which
the parcel is owned or recorded, and the names of any other persons in whose
name the parcel is owned or recorded; and
5. Information regarding
any contract with a governmental agency for the sale or exchange of the real
estate.
H. Certain information
regarding payments or reimbursements received by the filer for his attendance
or participation at meetings, conferences, or other events, where he
attended or participated in his official
capacity, shall be reported. For each payment, the report shall include:
1. The person or entity
paying or reimbursing the filer;
2. The date and
location of the meeting, conference, or other event;
3. The purpose of the
meeting, conference, or other event;
4. The type of payment
or reimbursement received; and
5. The approximate
value of the payment or reimbursement received.
I. Certain information
regarding gifts accepted or received by the filer or a member of his immediate
family shall be reported. Only gifts with a value in excess of $25 shall be
reported. For each gift, the report shall include:
1. The name of the
recipient;
2. The individual or
entity providing the gift;
3. The exact gift; and
4. The value of the
gift.
J. Certain information
regarding travel not paid for by a governmental entity of the United
States or another state of the United States shall be reported. For
each trip, the report shall include:
1. The date and
destination of the trip;
2. The purpose of the
travel; and
3. An itemized
accounting of all expenses related to the trip. For each expense, the report
shall include:
a. The
person or entity paying for the expense;
b. The
type of expense;
c. The
amount of the expense; and
d. The
date the expense was received.
K. Attendance
at orientation sessions required by §30-129.1 shall be reported. Such
report shall include the date of the most recent session attended.
§30-123. Knowing violation of chapter a misdemeanor.
Any legislator who knowingly violates any of the provisions of
Articles 2 through 5 (§§30-102 through 30-111) of this chapter shall be guilty
of a Class 1 misdemeanor. A knowing violation under this section is one in
which the person engages in conduct, performs an act or refuses to perform an
act when he knows that the conduct is prohibited or required by this chapter.
There shall be no prosecution for a violation of §30-108 or subsection C of §
30-110 unless the house in which the
member sits Commission
has referred the matter to the Attorney General as provided in subdivision 4 of §30-116 §2.2-2545.
§30-124. Advisory opinions.
A legislator shall not be prosecuted or disciplined for a
violation of this chapter if his alleged violation resulted from his good faith
reliance on a written opinion of a committee on standards of conduct
established pursuant to §30-120, an opinion of the Attorney General as
provided in §30-122, or a formal opinion of the
Virginia Conflict of Interest and Ethics Advisory Council established pursuant
to §30-355 Commission as provided
in §2.2-2542, and the opinion was made after his full
disclosure of the facts.
§30-126. Civil penalty from violation of this chapter.
A. In
addition to any other fine or penalty provided by law, any money or other thing
of value derived by a legislator from a violation of §§30-103 through 30-108
shall be forfeited and, in the event of a knowing violation, there may also be
imposed a civil penalty in an amount equal to the amount of money or thing of
value forfeited to the Commonwealth. If the thing of value received by the
legislator in violation of this chapter should enhance in value between the
time of the violation and the time of discovery of the violation, the greater
value shall determine the amount of the civil penalty.
B. A legislator who
fails to file the disclosure form required by §30-111 within the time period
prescribed shall be assessed a civil penalty in an amount
equal to $250. The Commission shall notify the Attorney General of any legislator's failure
to file the required form within 30 days of the
deadline for filing, and the Attorney
General shall assess and collect the civil penalty.
§30-127. Criminal prosecutions.
A. Violations of this chapter may be prosecuted
notwithstanding the jurisdiction of, or any pending proceeding before, the House or Senate Ethics Advisory Panel Commission.
B. Nothing in this chapter shall limit or affect the
application of other criminal statutes and penalties as provided in the Code of
Virginia, including but not limited to bribery, embezzlement, perjury,
conspiracy, fraud, and violations of the Campaign Finance Disclosure Act Chapter 9.3 (§24.2-945 et
seq.) of Title 24.2.
§30-129.1. Orientation sessions on ethics and conflicts of
interests.
The Virginia Conflict of
Interest and Ethics Advisory Council
Commission shall conduct an orientation session (i) for new
and returning General Assembly members preceding each even-numbered year
regular session and (ii) for any new General Assembly member who is elected in
a special election and whose term commences after the date of the orientation
session provided for in clause (i) and at least six months before the date of
the next such orientation session within three months of his election.
Attendance at the full orientation session shall be mandatory for newly elected
members. Attendance at a refresher session lasting at least two hours shall be
mandatory for returning members and may be accomplished by online
participation. There shall be no penalty for the failure of a member to attend
the full or refresher orientation session, but the member must disclose his
attendance pursuant to subsection K of §
30-111.
2. That §§2.2-428 and 30-112 through 30-119 and Chapter 56
(§§30-355 through 30-358) of Title 30 of the Code of Virginia are repealed.
3. That the initial appointments of nonlegislative citizen
members of the Virginia Independent Ethics Review Commission shall be staggered
as follows: one former member of the House of Delegates for a term of one year
appointed by the Speaker of the House of Delegates and one at-large member for
a term of three years appointed by the leader of the party with the second
highest number of members elected to the House of Delegates; one former member
of the Senate for a term of two years appointed by the leader of the party with
the highest number of members elected to the Senate and one at-large member for
a term of two years appointed by the leader of the party with the second
highest number of members elected to the Senate; and one former local elected
official for a term of three years and two at-large members for terms of two
years appointed by the Governor.
4. That the provisions of this act may result in a net
increase in periods of imprisonment or commitment. Pursuant to § 30-19.1:4,
the estimated amount of the necessary appropriation cannot be determined for
periods of imprisonment in state adult correctional facilities; therefore,
Chapter 2 of the Acts of Assembly of 2014, Special Session I, requires the
Virginia Criminal Sentencing Commission to assign a minimum fiscal impact of
$50,000. Pursuant to § 30-19.1:4, the estimated amount of the necessary
appropriation cannot be determined for periods of commitment to the custody of
the Department of Juvenile Justice.
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