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Ethics and Accountability Act of 2011
Bill 19-358

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Councilmember Vincent Bernard Orange, Sr.

A BILL IN THE COUNCIL OF THE DISTRICT OF COLUMBIA

Councilmember Vincent Bernard Orange, Sr., introduced the following bill, which was referred to the Committee on .

To establish the Committee on Ethics and Accountability to ensure the professional and financial integrity of Elected Officials serving the residents of the District of Columbia, which will consist of the Chairman of the Board of Elections and Ethics, the Director of the Office of Campaign Finance, the Attorney General of the Office of the Attorney General, the Inspector General of the Office of the Inspector General, the Auditor of the Office of the District of Columbia Auditor, and as the alternate, the Chief Financial Officer of the Office of the Chief Financial Officer to provide ethical guidance, have investigative authority, subpoena power, and the power to impose penalties and make referrals for civil or criminal investigations; to establish a Code of Ethics; to establish an Elected Official Annual Certification; to amend the District of Columbia Campaign Finance Reform and Conflict of Interest Act to require rolling publication of lobbyist registration, to add disclosure of business relationships between lobbyists and public officials; to prohibit the use of the official position to obtain financial gain for a not-for-profit entity with which he or she is affiliated, to add additional financial disclosure requirements, and to require disclosure of external fundraising activities; and to amend the District of Columbia Comprehensive Merit Personnel Act to require that new District employees receive an ethics manual and ethics training, and that employees receive bi-annual ethics training.

BE IT ENACTED BY THE COUNCIL OF THE DISTRICT OF COLUMBIA, That this bill may be cited as the “Ethics and Accountability Act of 2011”.

TITLE I. ETHICS AND ACCOUNTABILITY.

Sect. 101. Short title.

This title may be cited as the “Ethics and Accountability Act of 2011”.

Sec. 102. Definitions.

For the purposes of this title, the term:

(1) “BOEE” means the Board of Elections and Ethics.

(2) “CEA” means the Committee on Ethics and Accountability established by section

(3) “Elected official” means the Mayor, the Chairman, and Members of the Council.

(4) “OCF” means the Office of Campaign Finance.

Sec. 103. The Committee on Ethics and Accountability.

There is established within the District of Columbia Government, the Committee on Ethics and Accountability (“CEA”).

Sec. 104. CEA Membership.

(a) The CEA shall be composed of 5 members and 1 alternate, as follows

(1) The Chairman of the Board of Elections and Ethics;

(2) The Director of the Office of Campaign Finance;

(3) The Attorney General;

(4) The Inspector General;

(5) The District of Columbia Auditor; and

(6) The Chief Financial Officer, as an alternate member.

(b) Any member of the CEA who is an attorney shall be in good standing with the bar of each jurisdiction where the CEA member has been admitted to practice law.

(c) Any member of the CEA shall be in good standing with any professional licensing organization that has issued a license to the CEA member.

Sec. 105. Powers and Duties.

The CEA shall have the power and jurisdiction to investigate any matter involving the conduct of an elected official related to District laws, and the rules, regulations, or policies of the BOEE and the OCF pertaining to

(1) Financial and other disclosures;

(2) Fundraising;

(3) Conflict of interest;

(4) Lobbying; and

(5) Any matter involving compliance with Title II or Title III of this act.

Sec. 106. Investigations.

(a) The CEA shall have the power to open an investigation for a violation of any matter within its jurisdiction as follows:

(1) On its initiative, by any one member, including the alternate; and

(2) Upon receipt of a written request for an investigation that:

(A) Contains specific allegations; and

(B) Is signed, dated, and notarized.

(b)(1)The CEA shall have 30 days to accept or deny a request to open an investigation

(2) If the CEA denies a request to open an investigation, it shall provide a written explanation for the denial.

(1) Issue subpoenas pursuant to section 107 of this act and administer oaths.

(2) Require any elected official to

(A) Submit in writing such reports and answers to questions as the CEA may prescribe on any matter within its jurisdiction; and

(B) Submit in writing such reports and answers under oath.

(3) Order that testimony in any investigative proceeding be taken by deposition before any person designated by the CEA.

(d) All CEA investigative proceedings shall be transcribed.

(e) All CEA investigative proceedings shall be closed to the public.

(f) CEA orders issued during investigations or proceedings shall be available to the public.

(g) CEA members may use the agency staff attorneys of their respective office to assist in carrying out the investigative duties of the CEA.

Sec. 107. Subpoena powers.

(a) The CEA shall have the power to:

(1) Subpoena an elected official and any other witnesses needed for its investigation;

(2) Compel the attendance and testimony of an elected official, and any other witnesses needed for its investigation; and

(3) Require the production of any records, including books, papers, documents, and any other evidence relating to any matter under investigation by the CEA.

(b) The CEA may petition the Superior Court of the District of Columbia to compel compliance with a subpoena issued by the CEA.

Sec. 108. Final Reports.

(a) The CEA shall issue a final report within 90 days of the completion of an investigation of an elected official.

(b) The final report shall be dated and include the following:

(1) Findings of fact;

(2) Conclusions;

(3) Corrective actions;

(4) Penalties, including:

(A) Reprimand;

(B) Public or private censure;

(C) Suspension, with or without pay;

(D) Expulsion;

(E) Fines, not to exceed $50,000;

(F) Restitution;

(G) Referral to District or Federal Agency for civil or criminal investigation;

(H) Recommend registered electors initiate recall petition; and

(I) Any other penalties deemed appropriate.

(c) Final reports shall be issued in a public proceeding, with the CEA members present to indicate their position on the investigation.

Sec. 109. Request for an Advisory Opinion.

(a) An elected official may make a written request to the CEA for an advisory opinion with respect to any specific transaction or activity over which the CEA has jurisdiction to determine whether such transaction or activity would constitute a violation of:

(1) The Code of Ethics in Title II of this act;

(2) The Elected Official Annual Certification in Title III of this act;

(3) Any District law;

(4) Any BOEE or OCF rule, regulation, or policy; or

(5) Any federal law.

(b) The CEA may confer with appropriate agencies for input in responding to a request for an advisory opinion.

(c) The CEA shall respond in writing to a request from an elected official for an advisory opinion with respect to any specific transaction or activity within 60 days of receiving the request.

Sec. 110. Appeal Rights.

(a) Any final determination of the CEA may be appealed to the District of Columbia Court of Appeals in the same manner and to the same extent as all other final decisions of a government agency.

Sec. 111. Meeting Requirements.

(a) The CEA shall develop its meeting rules of procedure.

(b) A quorum to transact business shall consist of 3 members.

(d) The CEA members shall meet at least twice annually.

(e) The alternate should attend the meetings of the CEA.

(f) Minutes shall be taken and shall be transcribed of the CEA meetings.

(g) The chairperson shall submit an annual report of the meetings to the Mayor and the Council with majority and minority views.

Sec. 112. Reporting Requirements.

(a) The CEA shall submit annual written reports to the Mayor and the Council on:

(1) CEA initiated investigations;

(2) Requests for investigations that were declined or accepted; and

(3) Final reports the CEA issued for all investigations.

(b) The CEA annual reports to the Mayor and the Council may be accompanied by:

(1) Draft legislation, regulations, and amendments to existing legislation or regulations; or

(2) Specific steps for implementing the recommendations contained in the annual reports.

Sec. 113. CEA Member Agency Duties.

Nothing in this Act shall be deemed to prevent any of the CEA members, including the alternate, from carrying out their individual agency duties as prescribed by law.

Sec. 114. Annual Council Hearing.

(a) An annual hearing shall be held and conducted by the Chair of the Committee on Government Operations and the Environment to address the annual reports submitted to the Council by the CEA, provided the Chair is:

(1) Not under investigation; or

(2) The subject of a CEA Final Report to be addressed in the hearing.

(b) If the Chair the Committee on Government Operations and the Environment is deemed unavailable pursuant to Section 114 of this act, the annual hearing shall be conducted by the Council of the District of Columbia Committee of the Whole.

TITLE II. CODE OF ETHICS.

Sec. 201. The CEA shall have power and jurisdiction to ensure that elected officials adhere to the following Code of Ethics:

(a) An elected official shall:

(1) Uphold the integrity and independence of elected office;

(2) Exercise independent judgment;

(3) Perform the duties of elected office fairly, diligently, and competently;

(4) Avoid impropriety and the appearance of impropriety; and

(5) Conduct non-council activities to minimize the risk of a conflict of interest or the appearance of impropriety.

(b) An elected official shall not:

(1) Participate in inappropriate political activity; and

(2) Engage in illegal activity.

TITLE III. ELECTED OFFICIAL ANNUAL CERTIFICATION.

Sec. 301. An elected official shall certify to the CEA, in writing by December 15 of each year, that he or she has:

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

(2) Filed the required financial and other disclosure statements with the BOEE and the OCF;

(3) Diligently engaged in safe-guarding the assets of the taxpayers and the District;

(4) Reported known illegal activity, including attempted bribes to the appropriate authorities;

(5) Not been offered or accepted any bribes;

(6) Not directly or indirectly received government funds through illegal or improper means;

(7) Not raised or received funds in violation of Federal or District law; and

(8) Not engaged in any pay-to-play schemes or quid pro quo arrangements.

TITLE IV. FINANCIAL DISCLOSURE.

Sec. 401. The District of Columbia Campaign Finance Reform and Conflict of Interest Act, effective August 14, 1974 (88 Stat. 467; D.C. Official Code § 1-1101.01 et seq.), is amended as follows:

(a) Section 504 (D.C. Official Code § 1-1105.04) is amended by adding a new paragraph (c) to read as follows:

“(c) Not later than 10 days after a registrant files a registration form with the Director, the Director shall publish on its website a summary of all information required to be submitted under this subsection.”.

(b) Section 505(a)(4) (D.C. Official Code § 1-1105.05(a)(4)) is amended by striking the phrase “personal staff who receives compensation in any manner by the registrant shall be identified by name and nature of his or her employment with the registrant” and inserting the phrase “staff, including personal and committee staff, who has a business relationship or professional services relationship with the registrant shall be identified by name and nature of his or her business relationship with the registrant” in its place

(c) Section 601(i)(2) (D.C. Official Code § 1-1106.01(i)(2)) is amended by striking the phrase “business is conducted for profit” and inserting the phrase “business is conducted, whether for profit or not-for-profit” in its place.

(d) Section 602(a) (D.C. Official Code § 1-1106.02(a)) is amended as follows:

(1) Paragraph (1) is amended to read as follows:

“(1)(A) the name and address of each business entity (including sole proprietorships, partnerships, nonprofit organizations, and corporations) transacting any business with the District of Columbia government (including any of its agencies, departments, boards commissions, or educational bodies), and the nature of the relationship, including the position held and the amount, if applicable, of the interest or income according to the schedule set forth in subparagraph (B), in which such person (or his or her spouse or domestic partner):

“(i) has a beneficial interest (including those held in such person’s own name, in trust, or in the name of a nominee) exceeding in the aggregate $1,000; provided, however, if such interest consists of corporate stocks which are registered and traded upon a recognized national exchange, such aggregate value must exceed $5,000; or

“(ii) earns income for services rendered during a calendar year in excess of $1,000; or

“(iii) serves as an officer, director, partner, employee, consultant, contractor, or in any other formal capacity or affiliation;

“(B) the amount of interest or income shall be classified according to the following categories:

“(i) $1,001-$10,000;

“(ii) $10,001-$50,000;

“(iii) $50,001-$100,000;

“(iv) $100,001-$250,000; or

“(v) $250,001 or greater;”

“(C) for any entity with a contract with the District of Columbia government in which such person or his or her spouse or domestic partner holds an interest in the value of the entity of 5% or greater, such person shall report the nature of the contract, the contracting agency, and the amount of consideration;”.

(2) Paragraph (2) is amended by striking the phrase “his or her spouse if such liability is joint” and inserting the phrase “his or her spouse or domestic partner” in its place.

(3) Paragraph (3) is amended as follows:

(A) Strike the phrase “all real property located in the District of Columbia” and insert the phrase “all real property” in its place.

(B) Strike the phrase “his or her spouse if such property is jointly titled” and insert the phrase “his or her spouse or domestic partner” in its place.

(C) Strike the phrase “occupied by such person or his or her spouse” and insert the phrase “occupied by such person” in its place.

(4) Paragraph (6) is amended as follows:

(A) Strike the phrase “if the client has a contract with the government of the District of Columbia or the client stands to gain a direct financial benefit from legislation that was pending before the Council during the calendar year” and insert the phrase “and the amount of the outside income according to the schedule set forth in subparagraph (1)(B) of this section” in its place.

(B) Strike the phrase “any fixed payment at regular intervals for servicesrendered” and insert the phrase “any fixed payment at regular intervals for services rendered, pursuant to a contract, including a contingency fee arrangement” in its place.

(C) Strike the phrase “which are deemed to be de minimis by the Board” and insert the phrase “which are deemed to be de minimis by the Board, or where the Board concludes that non-disclosure is justified because the disclosure information would violate any law, rule, or legally recognized privilege under District or federal law” in its place.

(e) A new section 603 is added to read as follows:

“Sec. 603. Disclosure of external fundraising activities.

“(a) An elected official may serve as an honorary member of a covered entity’s fundraising event or otherwise personally solicit funds on behalf of the covered entity; provided, that the elected official does not stand to gain financially from the covered entity; provided further, that District resources shall not be used to solicit the funds; and provided further, that the funds raised will support a nongovernmental bona fide charitable activity benefiting the District of Columbia.

“(b) Each elected official shall, on a semi-annual basis, file with the CEA a listing of each covered entity on whose behalf the elected official served as an honorary member or personally solicited funds.

“(c) This section shall not be construed in any way to limit the ability of an elected official to engage in political fundraising activities.

“(d) For the purposes of this section, the term:

“(1) “Covered entity” means a nonprofit charitable organization.

“(2) “Elected official” means the Mayor, the Chairman, and the Members of the Council.

“(3) “Personally solicit” means to request or otherwise encourage donations or other support through person-to-person contact or through the direct request by mail or electronic mail; provided, that this does not include the solicitation of funds through the media, through oral remarks, or through the contemporaneous dispatch of like items of mass-produced correspondence.”.

TITLE V. ETHICS TRAINING.

Sec. 501. The District of Columbia Government Comprehensive Merit Personnel Act of 1978, effective March 3, 1979 (D.C. Law 2-139; D.C. Official Code § 1-601.01 et seq.) is amended as follows:

(a) Section 1801 (D.C. Official Code § 1-618.01) is amended by adding a new subsection (a-2) to read as follows:

“(a-2)(1) Upon commencement of employment, a District employee shall be provided with an Ethics Manual and information about applicable standards of conduct.

“(2) Not later than 90 days after commencement of employment, a District employee shall certify that he or she has undergone ethics training provided by the agency’s ethics counselor designated in section 1803(a).

“(3) Each District employee shall certify on a bi-annual basis, completion of at least one ethics training program within the bi-annual period.”.

(b) A new section 1804 is added to read as follows:

“1804. Sanctions.

“(a) Any person who knowingly violates any provision of sections 1801 and 1802 may be subject to an adverse performance evaluation.”.

TITLE VI. FISCAL IMPACT STATEMENT.

The Council adopts the fiscal impact statement in the committee report as the fiscal impact statement required by section 602(c)(3) of the District of Columbia Home Rule Act, approved December 24, 1973 (87 Stat. 813; D.C. Official Code § 1-206.02(c)(3)).

TITLE VIII. EFFECTIVE DATE.

This act shall take effect upon its approval by the Mayor (or in the event of veto by the Mayor, action by the Council to override the veto), a 30-day period of Congressional review as provided in section 602(c)(1) of the District of Columbia Home Rule Act, approved December 24, 1973 (87 Stat. 813; D.C. Official Code § 1-206.02(c)(1)), and publication in the District of Columbia Register.

Ethics and Accountability Act of 2011 Bill 19-358

Ethics and Accountability Act of 2011
Bill 19-358