Title 292 WAC — Ethics in Public Service

Chapter 292-09 Agency procedural rules.

Wash. Admin. Code § 292-09-010 Purpose of this chapter.

The purpose of this chapter is to provide rules implementing the Ethics in Public Service Act (chapter 42.52 RCW) according to procedures prescribed in Article IV, Section 31, of the Constitution of the state of Washington and chapter 2.64 RCW for the commission on judicial conduct.

All proceedings involving state employees of the judicial branch of state government, except "judges" as defined in Commission On Judicial Conduct Rules of Procedure (CJCRP), shall proceed under the rules set forth in this chapter. All proceedings involving "judges" as defined in RCW 2.64.010 and the Code of Judicial Conduct shall proceed exclusively under the rules set forth in the CJCRP.

History

Statutory Authority: RCW 42.52.370 and Art. IV, § 31 of the state Constitution. WSR 97-13-069, § 292-09-010, filed 6/18/97, effective 7/19/97
WSR 95-05-031 (Order 95-01), § 292-09-010, filed 2/8/95, effective 3/11/95.

Wash. Admin. Code § 292-09-020 Role of the commission on judicial conduct.

The commission on judicial conduct is constitutionally created to investigate and consider complaints concerning judges. The commission also has jurisdiction to investigate and consider complaints of violations of the Ethics in Public Service Act (chapter 42.52 RCW) or rules adopted under it, concerning state employees of the judicial branch.

History

Statutory Authority: RCW 42.52.370 and Art. IV, § 31 of the state Constitution. WSR 95-05-031 (Order 95-01), § 292-09-020, filed 2/8/95, effective 3/11/95.

Wash. Admin. Code § 292-09-030 Organization of the commission on judicial conduct.

Six members of the commission must be present to take action at a commission business meeting. The adoption of or amendment to the rules of the commission shall require the affirmative vote of six members of the commission.

History

Statutory Authority: RCW 42.52.370 and Art. IV, § 31 of the state Constitution. WSR 95-05-031 (Order 95-01), § 292-09-030, filed 2/8/95, effective 3/11/95.

Wash. Admin. Code § 292-09-040 Definitions.

In these rules:

"Adjudicative proceeding" means a proceeding before the commission in which the person involved is given notice and an opportunity to be heard after a determination of reasonable cause that a violation of chapter 42.52 RCW or rules adopted under it has been or is being committed.

"Administrative law judge" means a person assigned by the office of administrative hearings in accordance with chapter 34.12 RCW and appointed by the commission to hear and take evidence with respect to charges against a state employee of the judicial branch.

"Commission" means the commission on judicial conduct.

"Complainant" means the organization, association, or person who makes a complaint alleging violation of chapter 42.52 RCW or rules adopted under it.

"Complaint" means a written statement on a form provided by the commission alleging facts which may upon investigation lead to a finding of a violation of chapter 42.52 RCW or rules adopted under it.

"Determination" means a written statement finding that there is or that there is not reasonable cause to believe that a violation of chapter 42.52 RCW or rules adopted under it has been or is being committed.

"Employee" means a state employee or state officer (as defined in RCW 42.52.010) of the judicial branch of state government, except "judges" (as defined in RCW 2.64.010 and the Code of Judicial Conduct), or the employee's attorney, as the context suggests.

"Enforcement action" means the imposition of sanctions, which may include one or more of the following:

• A reprimand;

• A recommendation that the employing agency commence disciplinary action against an employee; and/or

• An order for payment of any damages, civil penalties, and/or costs as permitted by chapter 42.52 RCW.

Any order for payment shall also include a reprimand.

"Fact-finder" means the commission or an administrative law judge appointed by the commission.

"Hearing" means a public hearing conducted in an adjudicative proceeding.

"Meeting" means a business meeting of the commission for any purpose other than a public hearing or executive session involving the investigation or consideration of a complaint.

"Member" means a member of the commission and includes alternates acting as members.

"Public member" means a member of the commission who is neither a lawyer nor a judge.

"Reprimand" means an enforcement action of the commission that finds that the conduct of the respondent violates chapter 42.52 RCW or rules adopted under it. A reprimand may include a requirement that the respondent follow a specified corrective course of action. The commission shall issue a written reprimand and may require the respondent to appear personally before the commission for a public reading of the reprimand. The commission shall provide a copy of the reprimand to the respondent's employing agency.

"Respondent" means a state employee of the judicial branch who is the subject of a complaint, or the employee's attorney, as the context suggests.

"Staff" means the employees, or others under personal service contract or agreement, engaged to perform commission duties and to exercise commission powers.

History

Statutory Authority: Art. IV, § 31 of the state Constitution, RCW 42.52.370, and chapter 2.64 RCW. WSR 02-01-041 (Order 01-01), § 292-09-040, filed 12/11/01, effective 1/15/02. Statutory Authority: RCW 42.52.370 and Art. IV, § 31 of the state Constitution. WSR 95-05-031 (Order 95-01), § 292-09-040, filed 2/8/95, effective 3/11/95.

Wash. Admin. Code § 292-09-050 Complaints and investigations.

(1) Any organization, association, or person, including a member of the commission, may make a complaint to the commission alleging violation of chapter 42.52 RCW or rules adopted under it. A complaint shall be made in writing on a form provided by the commission. A complaint may be made personally or by the complainant's attorney.

(2) Upon receipt of a complaint, the commission staff shall investigate and evaluate the allegations. The investigation shall be limited to the facts alleged in the complaint. On every complaint received, the commission staff shall make a written recommendation that there is or that there is not reasonable cause to believe that a violation of chapter 42.52 RCW or rules adopted under it has been or is being committed. The commission shall make a written determination whether there is reasonable cause based upon the complaint and the recommendation. A copy of the determination shall be provided to the complainant and to the respondent. If the determination concludes that there is no reasonable cause, a copy shall also be provided to the attorney general.

(3) Complaints pursuant to RCW 42.52.450 shall be investigated by the attorney general. As appropriate, pursuant to RCW 42.52.470, the commission may refer a complaint to the employing agency, the attorney general, or the prosecutor.

History

Statutory Authority: Art. IV, § 31 of the state Constitution, RCW 42.52.370, and chapter 2.64 RCW. WSR 02-01-041 (Order 01-01), § 292-09-050, filed 12/11/01, effective 1/15/02. Statutory Authority: RCW 42.52.370 and Art. IV, § 31 of the state Constitution. WSR 95-05-031 (Order 95-01), § 292-09-050, filed 2/8/95, effective 3/11/95.

Wash. Admin. Code § 292-09-060 Determination of reasonable cause.

If the commission determines that reasonable cause exists that the respondent has violated chapter 42.52 RCW or rules adopted under it, the commission shall schedule a public hearing on the merits of the complaint.

History

Statutory Authority: Art. IV, § 31 of the state Constitution, RCW 42.52.370, and chapter 2.64 RCW. WSR 02-01-041 (Order 01-01), § 292-09-060, filed 12/11/01, effective 1/15/02. Statutory Authority: RCW 42.52.370 and Art. IV, § 31 of the state Constitution. WSR 95-05-031 (Order 95-01), § 292-09-060, filed 2/8/95, effective 3/11/95.

Wash. Admin. Code § 292-09-070 Respondent's answer to complaint.

The respondent shall file a written answer to the complaint not later than thirty days after receipt of the determination that there is reasonable cause. Failure to file a written answer shall be deemed an admission to the facts alleged in the complaint and the determination.

History

Statutory Authority: RCW 42.52.370 and Art. IV, § 31 of the state Constitution. WSR 95-05-031 (Order 95-01), § 292-09-070, filed 2/8/95, effective 3/11/95.

Wash. Admin. Code § 292-09-080 Stipulated dispositions.

Any matter before the commission may be disposed of by a stipulation at any stage of the proceeding. The respondent and a member of the commission staff shall sign the stipulation before presentation to the commission. The commission may impose any terms and conditions deemed appropriate. If the stipulation is rejected by the commission, the stipulation shall be withdrawn and cannot be used by or against the respondent in any proceeding.

When a stipulation which disposes of a complaint is accepted by the commission, the commission shall provide a copy of the stipulation to the attorney general and the complainant.

History

Statutory Authority: RCW 42.52.370 and Art. IV, § 31 of the state Constitution. WSR 95-05-031 (Order 95-01), § 292-09-080, filed 2/8/95, effective 3/11/95.

Wash. Admin. Code § 292-09-090 Adoption of model rules of procedure.

Part IV—Adjudicative Proceedings—of chapter 34.05 RCW and the model rules of procedure, chapter 10-08 WAC, adopted by the chief administrative law judge pursuant to RCW 34.05.250, as now or hereafter amended, are hereby adopted for use by the commission. In the case of conflict between chapter 34.05 RCW or the model rules of procedure and procedural rules adopted in this chapter, the procedural rules adopted by the commission shall take precedence.

History

Statutory Authority: RCW 42.52.370 and Art. IV, § 31 of the state Constitution. WSR 95-05-031 (Order 95-01), § 292-09-090, filed 2/8/95, effective 3/11/95.

Wash. Admin. Code § 292-09-100 Presiding officer.

(1) In matters involving an adjudicative proceeding, the commission may designate as presiding officer a member of the commission, or an administrative law judge assigned by the office of administrative hearings under the authority of chapter 34.12 RCW.

(2) A person who has served as an investigator, prosecutor, or advocate in any stage of an adjudicative proceeding, or someone who is subject to the authority or direction of such a person, may not serve as a presiding officer in the same proceeding.

History

Statutory Authority: RCW 42.52.370 and Art. IV, § 31 of the state Constitution. WSR 95-05-031 (Order 95-01), § 292-09-100, filed 2/8/95, effective 3/11/95.

Wash. Admin. Code § 292-09-110 Discovery.

The statutes and court rules regarding pretrial procedures in civil cases in superior courts of the state of Washington shall be used where applicable unless in conflict with this chapter.

History

Statutory Authority: RCW 42.52.370 and Art. IV, § 31 of the state Constitution. WSR 95-05-031 (Order 95-01), § 292-09-110, filed 2/8/95, effective 3/11/95.

Wash. Admin. Code § 292-09-120 Discovery—Authority of presiding officer.

The presiding officer may permit discovery in an adjudicative proceeding. The presiding officer shall have the power to control the frequency and nature of discovery permitted and to order conferences to discuss discovery issues.

History

Statutory Authority: RCW 42.52.370 and Art. IV, § 31 of the state Constitution. WSR 95-05-031 (Order 95-01), § 292-09-120, filed 2/8/95, effective 3/11/95.

Wash. Admin. Code § 292-09-130 Fact-finding hearing.

(1) Upon filing of a determination of reasonable cause, a public fact-finding hearing will be scheduled at a location and time selected by the commission. The respondent shall have at least twenty days notice of the hearing and shall appear at the hearing in person, with or without counsel.

(2) Where there is a possibility that the respondent may be liable for a total amount of penalty and costs of more than five hundred dollars, the respondent may choose to have an administrative law judge conduct the hearing. The respondent shall indicate such choice in writing within thirty days after receipt of the determination. Notwithstanding the respondent's choice, the commission may, on its own initiative, retain an administrative law judge.

(3) Testimony taken at the hearing shall be under oath and recorded.

(4) The case in support of the complaint shall be presented at the hearing by commission staff. After the staff's case in chief, the respondent shall have the opportunity to present evidence. Both parties shall have the opportunity to cross-examine witnesses.

(5) If, based upon a preponderance of the evidence, the fact-finder finds that the respondent has violated chapter 42.52 RCW or rules adopted under it, the fact-finder shall file an order stating findings of fact, conclusions, and an enforcement action.

(6) If, based upon all the evidence, the fact-finder finds that the respondent has not engaged in an alleged violation of chapter 42.52 RCW or rules adopted under it, the fact-finder shall file an order stating findings of fact, conclusions, and an order dismissing the complaint.

(7) Civil penalties included within an enforcement action shall be established based upon the following nonexclusive aggravating and mitigating factors:

(a) Whether the violation is an isolated instance or evidences a pattern of conduct;

(b) The nature, extent, and frequency of occurrence of the violation;

(d) Whether the employee has evidenced an effort to change or modify the conduct that resulted in a violation;

(e) The length of service of the employee;

(f) Whether there have been prior violations of ethics rules by the employee;

(g) The effect the violation has upon the integrity and respect for the judiciary; and

(h) The extent to which the employee exploited the position to satisfy personal desires.

(8) If the fact-finder is not the commission, the decision shall be entered as an initial order. Unless the respondent or the commission's staff files a petition for review of an initial order within twenty days of service of the initial order, the commission may adopt the initial order as its final order without further notice to the respondent. If the commission, upon its own motion, determines that the initial order should be reviewed, notice shall be given to the respondent.

History

Statutory Authority: RCW 42.52.370 and Art. IV, § 31 of the state Constitution. WSR 95-05-031 (Order 95-01), § 292-09-130, filed 2/8/95, effective 3/11/95.

Wash. Admin. Code § 292-09-140 Documents—Filing.

Any document filed with the commission under the provisions of the Administrative Procedure Act, chapter 34.05 RCW; model rules of procedure, chapter 10-08 WAC; and this chapter shall be filed with the Commission on Judicial Conduct, 210 11th Avenue SW, #400, Olympia, WA 98504 or P.O. Box 1817, Olympia, WA 98507.

Unless otherwise required by law, filing of a document with the commission shall be made personally, by first class mail, by certified or registered mail, by commercial parcel delivery company, or by facsimile and same-day mailing or original showing same-day postmark. Filing shall occur within the period of time specified for filing by statute, rule, or order.

History

Statutory Authority: Art. IV, § 31 of the state Constitution, RCW 42.52.370, and chapter 2.64 RCW. WSR 05-23-069 (Order 05-02), § 292-09-140, filed 11/15/05, effective 12/16/05. Statutory Authority: RCW 42.52.370 and Art. IV, § 31 of the state Constitution. WSR 95-05-031 (Order 95-01), § 292-09-140, filed 2/8/95, effective 3/11/95.

Wash. Admin. Code § 292-09-150 Witness fees.

All witnesses shall receive fees and expenses in the amount allowed by law for witnesses in the superior court. The person calling the witness shall be responsible for paying the witness's fees and expenses.

History

Statutory Authority: RCW 42.52.370 and Art. IV, § 31 of the state Constitution. WSR 95-05-031 (Order 95-01), § 292-09-150, filed 2/8/95, effective 3/11/95.

Wash. Admin. Code § 292-09-160 Subpoenas.

(1) Investigative. The commission may subpoena witnesses, compel their attendance, administer oaths, take testimony of a person under oath, or require production for examination of any books, accounts, records, certificates, or papers relating to any matter under investigation or in question before the commission. Subpoenas may be issued by any member of the commission.

(2) Adjudicative. Subpoenas shall be issued and enforced as provided by chapter 10-08 WAC, chapter 34.05 RCW, and chapter 42.52 RCW, as appropriate.

History

Statutory Authority: RCW 42.52.370 and Art. IV, § 31 of the state Constitution. WSR 95-05-031 (Order 95-01), § 292-09-160, filed 2/8/95, effective 3/11/95.

Wash. Admin. Code § 292-09-170 Judicial review.

Except as otherwise provided by law, judicial review of a commission order that a violation of chapter 42.52 RCW or rules adopted under it has occurred is governed by the provisions of chapter 34.05 RCW applicable to review of adjudicative proceedings.

History

Statutory Authority: RCW 42.52.370 and Art. IV, § 31 of the state Constitution. WSR 95-05-031 (Order 95-01), § 292-09-170, filed 2/8/95, effective 3/11/95.

Chapter 292-11 Agency substantive rules.

Wash. Admin. Code § 292-11-010 Purpose of this chapter.

The purpose of this chapter is to provide substantive rules implementing the Ethics in Public Service Act (chapter 42.52 RCW). The substantive rules in this chapter are intended to apply to all state employees of the judicial branch of state government, including "judges" as defined in the Commission On Judicial Conduct Rules of Procedure (CJCRP).

History

Statutory Authority: RCW 42.52.180 (2)(b) and 42.52.370. WSR 97-13-075, § 292-11-010, filed 6/18/97, effective 7/19/97.

Wash. Admin. Code § 292-11-020 Definitions.

(1) The term "measurable expenditure" as used in RCW 42.52.180 (2)(b) shall mean an expenditure or consumption of public resources having more than a de minimis cost and value.

(2) As used herein, the term "de minimis cost and value" shall refer to a cost and/or value of the actual use of public resources that is sufficiently small to be reasonably disregarded as negligible or trifling.

History

Statutory Authority: RCW 42.52.180 (2)(b) and 42.52.370. WSR 97-13-075, § 292-11-020, filed 6/18/97, effective 7/19/97.

Chapter 292-100 Procedural rules.

Wash. Admin. Code § 292-100-005 Purpose.

The purpose of this chapter is to promulgate executive ethics board rules concerning complaints, investigations, and hearings pursuant to RCW 42.52.410, 42.52.420, 42.52.430, 42.52.470 and 42.52.500.

History

Statutory Authority: RCW 42.52.360 (2)(b). WSR 99-06-073, § 292-100-005, filed 3/2/99, effective 4/2/99.

Wash. Admin. Code § 292-100-006 Adoption of model rules of procedure.

The model rules of procedure, chapter 10-08 WAC, adopted by the chief administrative law judge pursuant to RCW 34.05.250, as now or hereafter amended, are hereby adopted for use by the board. In the case of a conflict between the model rules of procedure and procedural rules adopted in this chapter, the procedural rules adopted by the board shall take precedence.

History

Statutory Authority: RCW 42.52.360 (2)(b). WSR 99-06-073, § 292-100-006, filed 3/2/99, effective 4/2/99.

Wash. Admin. Code § 292-100-007 Definitions.

Unless the context clearly requires otherwise, the definitions in this section apply throughout this chapter.

(1) "Board staff" shall include the executive director, investigators, administrative officer, and assistant attorneys general who bring cases before the board.

(2) "Complainant" means a person who has filed a complaint with the board.

(3) "Employing agency" means the former or current state agency of the respondent during the time the alleged violation occurred.

(4) "Investigation" means the fact finding conducted prior to a dismissal or reasonable cause determination.

(5) "Party" includes the board staff and the respondent.

(6) "Presiding officer" refers to the board chair, vice chair, a board member designated as presiding officer by the chair or vice chair, or an administrative law judge.

(7) "Respondent" means a current or former state officer or state employee alleged to have violated chapter 42.52 RCW.

History

Statutory Authority: RCW 42.52.360. WSR 17-01-138, § 292-100-007, filed 12/20/16, effective 1/20/17. Statutory Authority: RCW 42.52.360 (2)(b). WSR 05-19-142, § 292-100-007, filed 9/21/05, effective 10/22/05. Statutory Authority: RCW 42.52.360 (2)(b) and 42.52.425. WSR 01-13-033, § 292-100-007, filed 6/13/01, effective 7/14/01. Statutory Authority: RCW 42.52.360 (2)(b). WSR 99-06-073, § 292-100-007, filed 3/2/99, effective 4/2/99.

Wash. Admin. Code § 292-100-020 Complaint procedures—Status of complainant and others.

(1) When a complaint has been filed with the board, neither the complainant, if other than board, nor any other person will have special standing to participate or intervene in the investigation or consideration of the complaint by the board. The complainant is not a party to an ethics case for any purpose.

(2) If a member of the board or the board's staff files a complaint in their individual capacity, the board member or staff member will be disqualified from acting in their official capacity with regard to the disposition of that complaint.

(3) This section does not affect the right to request a review of a board staff decision to dismiss a complaint, pursuant to RCW 42.52.425 and WAC 292-100-045.

History

Statutory Authority: RCW 42.52.360. WSR 23-17-038, § 292-100-020, filed 8/9/23, effective 9/9/23
WSR 17-01-138, § 292-100-020, filed 12/20/16, effective 1/20/17. Statutory Authority: RCW 42.52.360 (2)(b) and 42.52.425. WSR 01-13-033, § 292-100-020, filed 6/13/01, effective 7/14/01. Statutory Authority: RCW 42.52.360 (2)(b). WSR 99-06-073, § 292-100-020, filed 3/2/99, effective 4/2/99. Statutory Authority: Chapter 42.52 RCW and RCW 42.52.360 (2)(b). WSR 96-22-028, § 292-100-020, filed 10/30/96, effective 11/30/96.

Wash. Admin. Code § 292-100-030 Complaint procedures.

(1) A complaint filed with the board shall be in writing on a form provided by the board or in an appropriate written form that includes the information in subsection (2) of this section, and signed by the complainant or by the complainant's counsel, unless anonymous.

(2) A complaint shall include:

(a) The complainant's name, unless anonymous;

(b) A statement of the nature of the alleged violation(s) and the name of person(s) responsible as well as the date, time, and place of each alleged violation; and

(c) All available documentation and other evidence including any witnesses to the violation which the complainant is able to supply to demonstrate a reason for believing that a violation of chapter 42.52 RCW, or the rules adopted under it, has occurred.

(3) A complaint which is incomplete, does not contain enough information to allege a violation of chapter 42.52 RCW, or is not within the jurisdiction of the board, will not be accepted for filing.

History

Statutory Authority: RCW 42.52.360. WSR 17-01-138, § 292-100-030, filed 12/20/16, effective 1/20/17. Statutory Authority: RCW 42.52.360 (2)(b) and 42.52.425. WSR 01-13-033, § 292-100-030, filed 6/13/01, effective 7/14/01. Statutory Authority: RCW 42.52.360 (2)(b). WSR 99-06-073, § 292-100-030, filed 3/2/99, effective 4/2/99. Statutory Authority: Chapter 42.52 RCW and RCW 42.52.360 (2)(b). WSR 96-22-028, § 292-100-030, filed 10/30/96, effective 11/30/96.

Wash. Admin. Code § 292-100-041 Investigation of complaints.

(1) During the course of an investigation, the board staff will give the respondent(s) a copy of the complaint or a summary of the complaint, and an opportunity to respond to the allegations. In accordance with RCW 42.52.410, the complainant's name and identifying information may be redacted from the complaint.

(2) During the course of the investigation board staff will provide the employing agency with a copy of the complaint or a summary of the complaint, unless board staff determines it would impede the investigation. In accordance with RCW 42.52.410, the complainant's name and identifying information may be redacted from the complaint.

History

Statutory Authority: RCW 42.52.360. WSR 17-01-138, § 292-100-041, filed 12/20/16, effective 1/20/17. Statutory Authority: RCW 42.52.360 (2)(b) and 42.52.425. WSR 01-13-033, § 292-100-041, filed 6/13/01, effective 7/14/01.

Wash. Admin. Code § 292-100-042 Board staff referral of allegations.

(1) If the complaint is outside the jurisdiction of the board, the board or its staff may also refer such allegations to an appropriate agency with jurisdiction.

(2) The board staff may refer a complaint to the employing agency for investigation and recommendation of resolution. In accordance with RCW 42.52.410, the complainant's name and identifying information may be redacted from the complaint.

(a) The referral will include a copy of the complaint and all supporting documentation and shall include a date for submission of the report and recommendation, allowing at least thirty days. The agency receiving the referral may request additional time, if needed.

(b) During the course of the agency's investigation, the agency will contact the respondent and provide the respondent with a copy of the complaint. The agency will provide the respondent with an opportunity to respond to the allegations.

(3) If board staff determine that a complaint alleges conduct which may violate a criminal statute, the board staff may refer the complaint to the appropriate law enforcement authority. Once referred, the board staff will suspend their investigation until the law enforcement authority responds as to whether criminal charges will be filed. If the law enforcement authority elects to file criminal charges, no further action will be taken while the criminal case is pending. If the law enforcement authority elects not to file criminal charges, board staff will complete their investigation.

History

Statutory Authority: RCW 42.52.360. WSR 17-01-138, § 292-100-042, filed 12/20/16, effective 1/20/17. Statutory Authority: RCW 42.52.360 (2)(b) and 42.52.425. WSR 01-13-033, § 292-100-042, filed 6/13/01, effective 7/14/01.

Wash. Admin. Code § 292-100-045 Dismissal of complaints.

(1) The executive director may dismiss the complaint if the board or the board staff determines that:

(a) Any alleged violation that may have occurred is not within the jurisdiction of the board;

(b) The complaint is obviously unfounded or frivolous; or

(c) The complaint presents a violation of chapter 42.52 RCW, but any violation that may have occurred does not constitute a material violation because it was inadvertent and minor, or has been cured, and, after consideration of all of the circumstances, further proceedings would not serve the purposes of this chapter.

(2) If the executive director dismisses the complaint, the investigation report and a written notice of the executive director's order of dismissal will be provided to the complainant, respondent, and the board and will include a statement of the complainant's right to request review of the dismissal by the board.

(3) If the board dismisses the complaint, written notice will be provided to the complainant and the respondent.

History

Statutory Authority: RCW 42.52.360. WSR 17-01-138, § 292-100-045, filed 12/20/16, effective 1/20/17. Statutory Authority: RCW 42.52.360 (2)(b). WSR 07-02-001, § 292-100-045, filed 12/20/06, effective 1/20/07. Statutory Authority: RCW 42.52.360 (2)(b) and 42.52.425. WSR 01-13-033, § 292-100-045, filed 6/13/01, effective 7/14/01.

Wash. Admin. Code § 292-100-046 Complainant's request for review of executive director's dismissal order.

(1) A written request for review by a complainant must be received at the board's administrative office no later than twenty days after the date the order of dismissal is mailed to the complainant.

(2) A request for review must state the grounds for the request for review.

(3) When a request for review is received, the board staff will prepare a record for the board's review and serve notice upon the respondent that a review has been requested. The record will consist of:

(a) The complaint;

(b) The investigation report;

(d) The complainant's request for review;

(e) The executive director's response to the request for review; and

(f) Any additional material requested by the chair or the chair's designee.

(4) At the next available opportunity, the board will review the record and deliberate in closed session, without oral argument, and act on the request by:

(a) Affirming the dismissal;

(b) Directing board staff to conduct further investigation; or

(5) In reviewing the executive director's order of dismissal, the board will base its review on whether the executive director had a rational basis for the decision. The board will only reverse a decision to the extent that a rational basis is lacking.

(6) The board's decision will be in writing and provided to the complainant and the respondent.

History

Statutory Authority: RCW 42.52.360. WSR 17-01-138, § 292-100-046, filed 12/20/16, effective 1/20/17. Statutory Authority: RCW 42.52.360 (2)(b) and 42.52.425. WSR 01-13-033, § 292-100-046, filed 6/13/01, effective 7/14/01.

Wash. Admin. Code § 292-100-047 Board member's request for review of executive director's dismissal order.

(1) A written request for review by a board member must be received by the executive director no later than twenty days after the date the order of dismissal is provided to the board.

(2) When a request for review is received, the board staff will prepare a record for the board's review and serve notice upon the respondent that a review has been requested. The record will consist of:

(a) The complaint;

(b) The investigation report;

(d) Any additional material requested by the chair, the chair's designee or the board member who requested the review.

(3) At the next available opportunity, the board will review the record and deliberate in closed session, without oral argument, and act on the request by:

(a) Affirming the dismissal;

(b) Directing board staff to conduct further investigation; or

(4) In reviewing the executive director's order of dismissal, the board will base its review on whether the executive director had a rational basis for the decision. The board will only reverse a decision to the extent that a rational basis is lacking.

(5) The board's decision will be in writing and provided to the complainant and the respondent.

History

Statutory Authority: RCW 42.52.360. WSR 17-01-138, § 292-100-047, filed 12/20/16, effective 1/20/17. Statutory Authority: RCW 42.52.360 (2)(b) and 42.52.425. WSR 01-13-033, § 292-100-047, filed 6/13/01, effective 7/14/01.

Wash. Admin. Code § 292-100-050 Determination on reasonable cause.

(1) Following an investigation and preparation of the written investigative report, if the complaint is not dismissed by the executive director under WAC 292-100-045, the results of the investigation will be presented to the board. Board staff may recommend that the board find reasonable cause, including a recommendation as to the potential penalty, or may recommend that the matter be dismissed.

(2) Upon receipt of the board staff's investigation report and recommendation, the board will determine:

(a) Whether there is reasonable cause to believe that a violation of chapter 42.52 RCW has occurred, and the potential penalty; or

(b) Whether to dismiss the matter.

(3) The board's review of reasonable cause determinations will be done in closed session.

(4) If after determining reasonable cause, the board determines that the penalty and costs should be greater than $500, the respondent will be given the option to have an administrative law judge conduct the hearing and rule on procedural and evidentiary matters in accordance with RCW 42.52.500.

(5) The board may, on its own initiative, choose to retain an administrative law judge to conduct any hearing.

(6) Upon receipt of an investigation report and recommendation on a complaint referred to the employing agency for investigation, the board will either:

(a) Reject the report and recommendation and initiate its own investigation; or

(b) Reject or concur with the report and recommendation and dismiss the complaint; or

(d) Concur with the report and recommendation and refer the matter to the employing agency for implementation of the recommendation if the recommendation is within the agency's authority to implement. The agency will report implementation to the board and the board will then dismiss the complaint.

History

Statutory Authority: RCW 42.52.360. WSR 21-24-094, § 292-100-050, filed 12/1/21, effective 1/1/22
WSR 17-01-138, § 292-100-050, filed 12/20/16, effective 1/20/17. Statutory Authority: RCW 42.52.360 (2)(b). WSR 07-02-001, § 292-100-050, filed 12/20/06, effective 1/20/07. Statutory Authority: RCW 42.52.360 (2)(b) and 42.52.425. WSR 01-13-033, § 292-100-050, filed 6/13/01, effective 7/14/01. Statutory Authority: RCW 42.52.360 (2)(b). WSR 99-06-073, § 292-100-050, filed 3/2/99, effective 4/2/99. Statutory Authority: Chapter 42.52 RCW and RCW 42.52.360 (2)(b). WSR 96-22-028, § 292-100-050, filed 10/30/96, effective 11/30/96.

Wash. Admin. Code § 292-100-060 Notice of hearing—Filing of answer.

(1) Following the board's determination on reasonable cause, the board will provide the complainant, the respondent and the employing agency with a copy of the written determination on reasonable cause and investigative report.

(2) The respondent has 30 days from the time the determination on reasonable cause is served to file an answer to the determination on reasonable cause and request an adjudicative proceeding and/or settlement. If the penalty is over $500, the respondent may request an administrative law judge at the hearing. The administrative judge's role is limited to ruling on procedural and evidentiary matters.

(3) Failure to file an answer and request an adjudicative hearing and/or settlement within 30 days of service constitutes a default, and the board may proceed to resolve the case without further notice to, or hearing for the benefit of, the respondent.

(4) Within 10 days after service of a default order under subsection (3) of this section, the respondent may file a written motion requesting that the default order be vacated and stating the grounds relied upon. During the time within which a party may file a written motion under this subsection, the board chair or a designated board member may adjourn further proceedings or conduct them without the participation of the respondent.

(5) If a hearing is requested by the respondent, the respondent will be notified of the date of the hearing no later than seven days before the hearing date.

History

Statutory Authority: RCW 42.52.360. WSR 21-24-094, § 292-100-060, filed 12/1/21, effective 1/1/22. Statutory Authority: RCW 42.52.360 (2)(b) and 42.52.425. WSR 01-13-033, § 292-100-060, filed 6/13/01, effective 7/14/01. Statutory Authority: RCW 42.52.360 (2)(b). WSR 99-06-073, § 292-100-060, filed 3/2/99, effective 4/2/99. Statutory Authority: Chapter 42.52 RCW and RCW 42.52.360 (2)(b). WSR 96-22-028, § 292-100-060, filed 10/30/96, effective 11/30/96.

Wash. Admin. Code § 292-100-080 Investigation procedures—Subpoenas.

(1) During the course of an investigation, the board, or the executive director may issue subpoenas to persons to appear and give testimony, and may require the production of any books, papers, correspondence, memoranda, or other records deemed relevant or material to the investigation. The subpoena must:

(a) Specifically describe the information which is sought, and

(b) Require the production of information at a reasonable place and time, but no later than 10 days from the date it is served, and

(c) Notify the person that if the information is not produced, the board will apply to the superior court for an appropriate order or other remedy.

(2) The subpoena may be personally delivered or sent by certified mail, return receipt requested.

History

Statutory Authority: RCW 42.52.360. WSR 21-24-094, § 292-100-080, filed 12/1/21, effective 1/1/22. Statutory Authority: RCW 42.52.360 (2)(b) and 42.52.425. WSR 01-13-033, § 292-100-080, filed 6/13/01, effective 7/14/01. Statutory Authority: RCW 42.52.360 (2)(b). WSR 99-06-073, § 292-100-080, filed 3/2/99, effective 4/2/99. Statutory Authority: Chapter 42.52 RCW and RCW 42.52.360 (2)(b). WSR 96-22-028, § 292-100-080, filed 10/30/96, effective 11/30/96.

Wash. Admin. Code § 292-100-090 Cases resolvable by stipulation.

(1) Any respondent may request settlement by notifying board staff in writing.

(2) Settlement may be accomplished by a stipulation of facts, conclusions and penalty by the parties or a stipulated order agreed to by the parties.

(3) Any proposed stipulation must be in writing and signed by each party to the stipulation and their attorney, if represented. Board staff will present the proposed stipulation to the board for consideration.

(4) The board has the option of accepting, rejecting, or modifying the proposed stipulation or asking for additional facts to be presented.

(a) If the board accepts the stipulation or modifies the stipulation with the agreement of the respondent, the board will enter the stipulation.

(b) If the board rejects the stipulation or the respondent does not agree to the board's proposed modifications to the stipulation, the normal hearing process will continue.

(5) The proposed stipulation and information obtained during settlement discussions will not be admitted into evidence at a subsequent hearing.

History

Statutory Authority: RCW 42.52.360. WSR 21-24-094, § 292-100-090, filed 12/1/21, effective 1/1/22. Statutory Authority: RCW 42.52.360 (2)(b). WSR 99-06-073, § 292-100-090, filed 3/2/99, effective 4/2/99. Statutory Authority: Chapter 42.52 RCW and RCW 42.52.360 (2)(b). WSR 96-22-028, § 292-100-090, filed 10/30/96, effective 11/30/96.

Wash. Admin. Code § 292-100-100 Prehearing conference.

(1) In any proceeding, the presiding officer upon the presiding officer's own motion or upon request by board staff or the respondent or their counsel, may direct the board staff and respondent to appear at a specified time and place for a prehearing conference to consider:

(a) Simplification of issues;

(b) The possibility of obtaining stipulations, admissions of facts and of documents;

(d) Authorizing discovery by any party;

(e) Scheduling order; and

(f) Procedural and such other matters as may aid in the disposition of the proceeding.

(2) Prehearing conferences may be held by teleconference, video conference, or any method specified by the presiding officer.

(3) Following the prehearing conference, the presiding officer will issue an order reciting the action taken and decisions made at the prehearing conference. If no objection to the order is filed with the presiding officer within seven days after the date the order is mailed, the order will control the subsequent course of the proceeding unless modified for good cause by subsequent order.

History

Statutory Authority: RCW 42.52.360. WSR 21-24-094, § 292-100-100, filed 12/1/21, effective 1/1/22. Statutory Authority: RCW 42.52.360 (2)(b) and 42.52.425. WSR 01-13-033, § 292-100-100, filed 6/13/01, effective 7/14/01. Statutory Authority: RCW 42.52.360 (2)(b). WSR 99-06-073, § 292-100-100, filed 3/2/99, effective 4/2/99. Statutory Authority: Chapter 42.52 RCW and RCW 42.52.360 (2)(b). WSR 96-22-028, § 292-100-100, filed 10/30/96, effective 11/30/96.

Wash. Admin. Code § 292-100-105 Discovery—Authority of presiding officer.

After a finding of reasonable cause, no discovery is permitted by a party pursuant to WAC 292-100-110 through 292-100-150 unless authorized by the presiding officer. In deciding whether to authorize discovery and the extent of discovery to be allowed, the presiding officer will consider the party's need for discovery while ensuring that discovery does not unduly delay the hearing.

History

Statutory Authority: RCW 42.52.360. WSR 21-24-094, § 292-100-105, filed 12/1/21, effective 1/1/22. Statutory Authority: RCW 42.52.360 (2)(b). WSR 99-06-073, § 292-100-105, filed 3/2/99, effective 4/2/99.

Wash. Admin. Code § 292-100-110 Hearings—Discovery—Subpoenas.

(1) All subpoenas for hearings must be filed with the presiding officer, together with proof of proper service, at least five days prior to the date of the hearing for which they are issued. All subpoenas will be issued and may be enforced in the form and manner set forth in RCW 34.05.446 and WAC 10-08-120.

(2) The presiding officer, upon motion and before the time specified in the subpoena at issue, may:

(a) Quash or modify the subpoena if it is unreasonable and oppressive; or

(b) Condition denial of the motion upon the advancement by the person in whose behalf the subpoena is issued of the reasonable cost of producing the books, papers, documents, or tangible things.

(3) The attendance of witnesses and such production of evidence may be required from any place within the state of Washington to any location where a hearing is being conducted.

History

Statutory Authority: RCW 42.52.360. WSR 21-24-094, § 292-100-110, filed 12/1/21, effective 1/1/22. Statutory Authority: RCW 42.52.360 (2)(b) and 42.52.425. WSR 01-13-033, § 292-100-110, filed 6/13/01, effective 7/14/01. Statutory Authority: RCW 42.52.360 (2)(b). WSR 99-06-073, § 292-100-110, filed 3/2/99, effective 4/2/99. Statutory Authority: Chapter 42.52 RCW and RCW 42.52.360 (2)(b). WSR 96-22-028, § 292-100-110, filed 10/30/96, effective 11/30/96.

Wash. Admin. Code § 292-100-120 Hearings—Discovery—Methods authorized.

The following discovery methods are authorized: Deposition upon oral examination, written interrogatories, requests for production, and requests for admission. Deposition upon oral examination, written interrogatories, and requests for admission may be used as evidence in the hearing. The attendance of witnesses to a deposition may be compelled by use of a subpoena. Depositions will be taken in accordance with this rule and the rules on subpoenas, unless board staff and the respondent stipulate to other arrangements.

History

Statutory Authority: RCW 42.52.360. WSR 21-24-094, § 292-100-120, filed 12/1/21, effective 1/1/22. Statutory Authority: RCW 42.52.360 (2)(b). WSR 99-06-073, § 292-100-120, filed 3/2/99, effective 4/2/99. Statutory Authority: Chapter 42.52 RCW and RCW 42.52.360 (2)(b). WSR 96-22-028, § 292-100-120, filed 10/30/96, effective 11/30/96.

Wash. Admin. Code § 292-100-130 Hearings—Discovery—Depositions and interrogatories—Notice.

A party taking the deposition of any person upon oral examination must give reasonable notice of not less than five days in writing to the presiding officer and all parties. The notice shall state the time and place for taking the deposition and the name and address of each person to be examined. On motion of a party to whom the notice is served, the presiding officer may, for cause shown, enlarge or shorten the time. If the parties so stipulate in writing, depositions may be taken at any time or place, upon any notice, and in any manner and when so taken may be used as other depositions.

History

Statutory Authority: RCW 42.52.360. WSR 21-24-094, § 292-100-130, filed 12/1/21, effective 1/1/22. Statutory Authority: RCW 42.52.360 (2)(b) and 42.52.425. WSR 01-13-033, § 292-100-130, filed 6/13/01, effective 7/14/01. Statutory Authority: RCW 42.52.360 (2)(b). WSR 99-06-073, § 292-100-130, filed 3/2/99, effective 4/2/99. Statutory Authority: Chapter 42.52 RCW and RCW 42.52.360 (2)(b). WSR 96-22-028, § 292-100-130, filed 10/30/96, effective 11/30/96.

Wash. Admin. Code § 292-100-140 Depositions and interrogatories in hearings—Protection of parties and deponents.

(1) After notice is served for taking a deposition, upon its own motion or upon motion reasonably made by any party or by the person to be examined and upon notice and for good cause shown, the presiding officer may order that the deposition may:

(a) Not be taken; or

(b) That it may be taken only at some designated place other than that stated in the notice; or

(d) That certain matters must not be inquired into; or

(e) That the scope of the examination must be limited to certain matters; or

(f) That the examination may be held with no one present except the parties to the action and their officers or counsel; or

(g) The presiding officer may make any other order which justice requires to protect the party or witness from annoyance, embarrassment, or oppression.

(2) At any time during the taking of the deposition, on motion of any party or the deponent and upon a showing that the examination is being conducted in bad faith or in such manner as unreasonably to annoy, embarrass, or oppress the deponent or party, the presiding officer may order the party conducting the examination to cease from taking the deposition or may limit the scope and manner of the taking of the deposition as provided above. If the order made terminates the examination, it may be resumed only upon the order of the presiding officer. Upon demand of the objecting party or deponent, the taking of the deposition must be suspended for the time necessary to make a motion for an order.

History

Statutory Authority: RCW 42.52.360. WSR 21-24-094, § 292-100-140, filed 12/1/21, effective 1/1/22. Statutory Authority: RCW 42.52.360 (2)(b) and 42.52.425. WSR 01-13-033, § 292-100-140, filed 6/13/01, effective 7/14/01. Statutory Authority: RCW 42.52.360 (2)(b). WSR 99-06-073, § 292-100-140, filed 3/2/99, effective 4/2/99. Statutory Authority: Chapter 42.52 RCW and RCW 42.52.360 (2)(b). WSR 96-22-028, § 292-100-140, filed 10/30/96, effective 11/30/96.

Wash. Admin. Code § 292-100-150 Discovery—Production of documents and use at hearing.

(1) Any materials to be presented at the hearing must be provided to the executive director and to the opposing party no less than 10 days prior to the hearing.

(2) Upon agreement by both parties, additional documentary evidence may be presented at the hearing. The parties must arrive at the hearing location or make documents available in sufficient time before the time scheduled for the hearing for the purpose of exchanging exhibits to be introduced. When documents are to be offered into evidence at the hearing, the one offering the exhibit shall provide a minimum of seven copies.

(3) If the parties do not reach an agreement on the submission of additional documentary evidence, at the commencement of the hearing the presiding officer will, after hearing argument, rule on the admissibility of the documents. The proponent of the documents proposed for submission must show good cause why the documents could not be submitted 10 days prior to the hearing.

(4) "Good cause" is a substantial reason or legal justification for failing to appear, to act, or respond to an action. To show good cause, the presiding officer must find that a party had a good reason for what they did or did not do, using the provisions of Superior Court civil rule 60 as a guideline.

History

Statutory Authority: RCW 42.52.360. WSR 21-24-094, § 292-100-150, filed 12/1/21, effective 1/1/22. Statutory Authority: RCW 42.52.360 (2)(b). WSR 07-02-001, § 292-100-150, filed 12/20/06, effective 1/20/07. Statutory Authority: RCW 42.52.360 (2)(b) and 42.52.425. WSR 01-13-033, § 292-100-150, filed 6/13/01, effective 7/14/01. Statutory Authority: RCW 42.52.360 (2)(b). WSR 99-06-073, § 292-100-150, filed 3/2/99, effective 4/2/99. Statutory Authority: Chapter 42.52 RCW and RCW 42.52.360 (2)(b). WSR 96-22-028, § 292-100-150, filed 10/30/96, effective 11/30/96.

Wash. Admin. Code § 292-100-160 Conduct of hearings.

(1) A hearing must be conducted pursuant to the Administrative Procedure Act (chapter 34.05 RCW) and its supporting regulations (chapter 10-08 WAC) unless modified by chapter 292-100 WAC.

(2) Hearings may be conducted in-person, by video conference, or other virtual means as determined by the presiding officer and in accordance with WAC 10-08-180. Preference should be given to the method which will facilitate the timeliest hearing.

When circumstances prevent the scheduling of an in-person hearing, virtual hearings are strongly encouraged unless a party can demonstrate it will be prejudiced by such a hearing in accordance with the APA and WAC 10-08-180.

(3) A hearing must be conducted either by the board or by an administrative law judge.

(a) If an administrative law judge participates by request of a respondent, the board may choose to sit with the administrative law judge to hear the matter. If an administrative law judge sits with the board, the administrative law judge will rule on procedural and evidentiary matters.

(b) If an administrative law judge hears the matter at the request of the board, the board may choose to sit with the administrative law judge or the board may request that the administrative law judge hear the matter alone and prepare an initial order.

(4) Following a hearing, the board or administrative law judge may conclude that:

(a) The respondent(s) did not violate the act, as alleged, and dismiss the case; or

(b) The respondent(s) has (have) violated chapter 42.52 RCW; or

(c) The respondent(s) is (are) in violation of chapter 42.52 RCW, the board's remedy would be inadequate and the matter should be referred to the appropriate law enforcement agency as provided in RCW 42.52.470.

(5) Following a hearing in which the board participates, the board:

(a) Must set forth in writing its findings of fact, conclusions of law and decision on the merits of the case; and

(b) Must serve each party, the complainant and the employing agency a copy of the findings of fact, conclusions of law and decision.

(6) Following a hearing in which the board does not participate, the administrative law judge must:

(a) Set forth written findings of fact, conclusions of law and decision on the merits of the case in an initial order;

(b) Must serve each party and board staff a copy of the findings of fact, conclusions of law and decision, including a statement of the right to request review of the initial order by the board.

History

Statutory Authority: RCW 42.52.360. WSR 21-24-094, § 292-100-160, filed 12/1/21, effective 1/1/22. Statutory Authority: RCW 42.52.360 (2)(b). WSR 07-02-001, § 292-100-160, filed 12/20/06, effective 1/20/07. Statutory Authority: RCW 42.52.360 (2)(b) and 42.52.425. WSR 01-13-033, § 292-100-160, filed 6/13/01, effective 7/14/01. Statutory Authority: RCW 42.52.360 (2)(b). WSR 99-06-073, § 292-100-160, filed 3/2/99, effective 4/2/99. Statutory Authority: Chapter 42.52 RCW and RCW 42.52.360 (2)(b). WSR 96-22-028, § 292-100-160, filed 10/30/96, effective 11/30/96.

Wash. Admin. Code § 292-100-170 Review of initial orders by an administrative law judge.

(1) An initial order by an administrative law judge will become the final order of the board within 45 days of the initial order unless:

(a) A board member determines that the initial order should be reviewed as provided in WAC 292-100-175;

(b) A party files a petition for review of the initial order within 30 days of the entry of the initial order.

(2) The petition for review must specify the portions of the initial order to which exception is taken and refer to the evidence of record relied upon to support the petition.

(3) Petitions for review must be filed with the executive director and served on all other parties. The party not filing the petition for review will have 20 days to reply to the petition for review. The reply must be filed with the executive director and copies of the reply must be served on all other parties. A reply to a petition for review may include a cross-petition for review.

(4) If the reply contains a cross-petition for review, it must specify portions of the initial order to which exception is taken by the replying party, and refer to the evidence of the record relied upon. A respondent to a cross-petition for review will have 20 days to reply to the cross-petition for review. The reply to the cross-petition for review must be filed with the executive director and copies of the reply to the cross-petition for review must be served on all other parties.

(5) When considering a petition for review, the board must consider the whole record or the portions of it cited by the parties.

(a) The board will afford each party an opportunity to present written argument and may afford each party an opportunity to present oral argument.

(b) The board will enter a final order disposing of the proceeding.

History

Statutory Authority: RCW 42.52.360. WSR 21-24-094, § 292-100-170, filed 12/1/21, effective 1/1/22. Statutory Authority: RCW 42.52.360 (2)(b) and 42.52.425. WSR 01-13-033, § 292-100-170, filed 6/13/01, effective 7/14/01. Statutory Authority: RCW 42.52.360 (2)(b). WSR 99-06-073, § 292-100-170, filed 3/2/99, effective 4/2/99. Statutory Authority: Chapter 42.52 RCW and RCW 42.52.360 (2)(b). WSR 96-22-028, § 292-100-170, filed 10/30/96, effective 11/30/96.

Wash. Admin. Code § 292-100-175 A board member's request for review of initial orders.

(1) Within five days after receiving an initial order by an administrative law judge the executive director must serve a copy of the initial order upon each board member.

(2) A board member who is requesting review of an initial order must provide written notice to the executive director within 30 days of service on the board member.

(3) Upon receipt of a board member's request for review the executive director must serve the request on all other parties.

(4) The board will consider the whole record or the portions of the record as required for its deliberation.

(a) The board may afford each party an opportunity to present written argument and may afford each party an opportunity to present oral argument.

(b) The board will enter a final order disposing of the proceeding.

History

Statutory Authority: RCW 42.52.360. WSR 21-24-094, § 292-100-175, filed 12/1/21, effective 1/1/22. Statutory Authority: RCW 42.52.360 (2)(b) and 42.52.425. WSR 01-13-033, § 292-100-175, filed 6/13/01, effective 7/14/01.

Wash. Admin. Code § 292-100-180 Brief adjudicative proceeding—Authority.

Pursuant to RCW 34.05.482 through 34.05.494, after a finding of reasonable cause, the board may provide a brief adjudicative proceeding as set forth in WAC 292-100-190 for alleged violations of provisions in chapter 42.52 RCW and corresponding rules in which the facts are undisputed, the violations appear to be relatively minor in nature, and the penalty and costs no greater than $500 will be assessed for the violations.

History

Statutory Authority: RCW 42.52.360. WSR 21-24-094, § 292-100-180, filed 12/1/21, effective 1/1/22. Statutory Authority: RCW 42.52.360 (2)(b) and 42.52.425. WSR 01-13-033, § 292-100-180, filed 6/13/01, effective 7/14/01. Statutory Authority: RCW 42.52.360 (2)(b). WSR 99-06-073, § 292-100-180, filed 3/2/99, effective 4/2/99. Statutory Authority: Chapter 42.52 RCW and RCW 42.52.360 (2)(b). WSR 96-22-028, § 292-100-180, filed 10/30/96, effective 11/30/96.

Wash. Admin. Code § 292-100-190 Brief adjudicative proceeding—Procedure.

(1) A brief adjudicative proceeding may be presided over by the chair, or a member of the board designated by the chair.

(2) The executive director will send the respondent notice, which must include:

(a) The determination of reasonable cause and the investigative report;

(b) The maximum amount of the penalty and costs which can be imposed at the hearing; and

(c) The respondent's right to respond, within 20 days, either in writing or in person to explain the respondent's view of the matter.

(3) At the time of the hearing, if the presiding officer believes alleged violations no longer meet the criteria in WAC 292-100-180, the presiding officer must immediately adjourn the brief adjudicative proceeding and direct the matter to be scheduled for a hearing by the full board and/or an administrative law judge.

(4) After the brief adjudicative proceeding, the presiding officer must serve upon each party a written statement describing the violation, the reasons for the decision, the penalty and costs imposed and their right to request review by the board.

(5) The written decision of the presiding officer is an initial order. If no review is taken of the initial order, the initial order will be the final order.

History

Statutory Authority: RCW 42.52.360. WSR 21-24-094, § 292-100-190, filed 12/1/21, effective 1/1/22. Statutory Authority: RCW 42.52.360 (2)(b) and 42.52.425. WSR 01-13-033, § 292-100-190, filed 6/13/01, effective 7/14/01. Statutory Authority: RCW 42.52.360 (2)(b). WSR 99-06-073, § 292-100-190, filed 3/2/99, effective 4/2/99. Statutory Authority: Chapter 42.52 RCW and RCW 42.52.360 (2)(b). WSR 96-22-028, § 292-100-190, filed 10/30/96, effective 11/30/96.

Wash. Admin. Code § 292-100-200 Brief adjudicative proceeding—Administrative review procedures.

(1) The board will conduct a review of the initial order upon the written or oral request of a party if the board receives the request within 20 days after the service of the initial order.

(2) If the parties have not requested review, the board may conduct a review of the initial order upon its own motion and without notice to the parties, but it may not take any action on review less favorable to any party than the original order without giving that party notice and an opportunity to explain that party's view of the matter.

(3) The order on review must be in writing stating the findings made, and the reasons for the decision, and notice that judicial review is available. The order on review must be entered within 21 days after the date of the initial order or of the request for review, whichever is later.

History

Statutory Authority: RCW 42.52.360. WSR 21-24-094, § 292-100-200, filed 12/1/21, effective 1/1/22. Statutory Authority: RCW 42.52.360 (2)(b) and 42.52.425. WSR 01-13-033, § 292-100-200, filed 6/13/01, effective 7/14/01. Statutory Authority: RCW 42.52.360 (2)(b). WSR 99-06-073, § 292-100-200, filed 3/2/99, effective 4/2/99. Statutory Authority: Chapter 42.52 RCW and RCW 42.52.360 (2)(b). WSR 96-22-028, § 292-100-200, filed 10/30/96, effective 11/30/96.

Wash. Admin. Code § 292-100-210 Reconsideration of final orders.

(1) Within 10 days of the service of a final order, any party may file a petition for reconsideration stating the specific grounds upon which relief is requested. The petition for review must be filed at the office of the board and served on the parties.

(2) Any party may respond to a petition for reconsideration. The response is due no later than 10 days after the party is served with the request.

History

Statutory Authority: RCW 42.52.360. WSR 21-24-094, § 292-100-210, filed 12/1/21, effective 1/1/22. Statutory Authority: RCW 42.52.360 (2)(b) and 42.52.425. WSR 01-13-033, § 292-100-210, filed 6/13/01, effective 7/14/01. Statutory Authority: RCW 42.52.360 (2)(b). WSR 99-06-073, § 292-100-210, filed 3/2/99, effective 4/2/99.

Chapter 292-110 Agency substantive rules.

Wash. Admin. Code § 292-110-010 Use of state resources.

(1) Statement of principles. All state employees and officers are responsible for the proper use of state resources, including funds, facilities, tools, property, and their time. This section does not restrict the use of state resources as described in subsections (2) and (3) of this section.

(2) Permitted uses.

(a) Use of state resources for official state purpose. "Official state purpose" includes use of state resources to conduct official duties, activities reasonably related to the conduct of official state duties, activities related to state employment, and activities otherwise allowed by statute. Examples of official state purposes include:

(i) Training and career development approved by the employing agency under RCW 41.06.410;

(ii) Membership or participation in professional associations that enhance job-related skills of the state officer or employee, so long as use of state resources for this purpose has been authorized in writing;

(iii) State or agency sponsored health, safety, or diversity fairs;

(iv) Management of or access to state-provided or state-sponsored benefits, including health, deferred compensation, insurance, retirement, and the employee assistance program;

(v) Searching and applying for state jobs, including taking an examination or participating in an interview; and

(vi) Placement of nongovernmental web page links on an agency website for official state purposes as long as the use does not violate RCW 42.52.180.

(b) Agency approved use. An agency head or designee may authorize limited use of agency staff time and resources for the following uses as long as that use is specifically authorized in an agency policy and conforms to that policy:

(i) Supporting, promoting, or soliciting for charitable activities;

(ii) Employee recognition, including birthday, retirement, wedding/baby showers, or other similar celebrations;

(iii) Activities supporting agency organizational effectiveness provided the agency's policy allowing use of state resources for such purposes is approved by the executive ethics board;

(iv) State or intermittent agency sponsored health activities, for example, vaccinations, diabetes screenings, cholesterol screenings; or recording participation in an agency or PEBB sponsored wellness program.

(3) Permitted personal use of state resources. This subsection applies to any use of state resources not included in subsection (2) of this section.

(a) A state officer or employee's use of state resources is de minimis only if each of the following conditions are met:

(i) There is little or no cost to the state;

(ii) Any use is brief;

(iii) Any use occurs infrequently;

(iv) The use does not interfere with the performance of any state officer's or employee's official duties;

(v) The use does not compromise the security or integrity of state property, information systems, or software;

(vi) The use is not for the purpose of conducting an outside business, in furtherance of private employment, or to realize a private financial gain; and

(vii) The use is not for supporting, promoting the interests of, or soliciting for an outside organization or group.

(b) A state officer or employee may use state resources for wellness or combined fund drive activities as long as use conforms with (a) of this subsection or as authorized in state law and rule.

(4) No expectation of privacy. Technologies such as electronic mail, facsimile transmissions, the internet, and voice mail may create an electronic record. This is what separates these from other forms of communication such as a telephone conversation. The ethics rules do not distinguish between the various forms of communication. Electronic records are reproducible and therefore cannot be considered private. Such records may be subject to disclosure under the Public Records Act, or may be disclosed for audit or legitimate state operational or management purposes.

(5) Reimbursement for personal use. In some limited situations, such as officers or employees working at remote locations, an agency may allow reimbursement for limited personal use of state resources by the state employee or officer.

(6) Agency policies. Agency policies that are approved by the board qualify for "safe harbor" under WAC 292-120-035. Nothing in this section is intended to limit the ability of an agency to adopt policies that are more restrictive. However, violation of a more restrictive agency policy by itself will not constitute a violation of RCW 42.52.160, even if it would constitute a violation of agency policy.

(7) Advisory opinions and frequently asked questions. The executive ethics board publishes advisory opinions interpreting the Ethics in Public Service Act and/or its rules and provides answers to frequently asked questions regarding the use of state resources that can be found at www.ethics.wa.gov.

History

Statutory Authority: RCW 42.52.16 [42.52.160], 42.52.360. WSR 16-03-052, § 292-110-010, filed 1/15/16, effective 4/1/16. Statutory Authority: RCW 42.52.360 (2)(b). WSR 09-16-046, § 292-110-010, filed 7/28/09, effective 8/28/09. Statutory Authority: RCW 42.52.360 (2)(b), 42.52.160(3). WSR 02-07-074, § 292-110-010, filed 3/18/02, effective 4/18/02
WSR 98-08-054, § 292-110-010, filed 3/27/98, effective 4/27/98. Statutory Authority: RCW 42.52.160(3). WSR 96-01-036, § 292-110-010, filed 12/13/95, effective 1/13/96.

Wash. Admin. Code § 292-110-020 Working hours.

(1) Nothing in RCW 42.52.180(1) or this rule prohibits a state officer or state employee from assisting in a campaign during nonworking hours provided that the state officer or state employee who engages in activity that would fall under RCW 42.52.180(1) during nonworking hours does not use any facilities of an agency.

(2) Some state officers and state employees occupy positions that have fixed schedules with the same beginning and ending times. For state officers and state employees with fixed schedules, working hours are the hours between the starting and ending times of their scheduled working hours. State officers and state employees with fixed schedules may not engage in activity that would fall under RCW 42.52.180(1) during these fixed working hours, unless on a lunch break under subsection (5) of this rule or on leave under subsection (6) of this rule.

(3) Some state officers and state employees occupy positions that do not have fixed schedules with the same starting and ending times. For state officers and state employees who do not have fixed schedules, working hours are defined as:

(a) The hours set forth in any policy on working hours adopted by their agency; or

(b) If the agency has not adopted a working hours policy, 8:00 a.m. to 5:00 p.m. Monday through Friday; or

(4) Working hours do not include state legal holidays unless the state officer's or state employee's work schedule requires the state officer or state employee to work on a state legal holiday.

(5) Working hours do not include the time designated for a state officer's or state employee's lunch break. A lunch break is between 12:00 p.m. and 1:00 p.m., unless the agency has designated a different time in a working hours policy or has approved a different lunch break as part of the state officer's or state employee's work schedule. If a state officer or state employee engages in activity that would fall under RCW 42.52.180(1) during the lunch break, the state officer or state employee may not make use of any of the facilities of the agency.

(6) Working hours do not include the time in official leave status. If a state officer or state employee engages in activity that would fall under RCW 42.52.180(1) while on leave, the state officer or state employee may not make use of any of the facilities of the agency.

(7) The definition of working hours also includes any time a state officer or state employee is actually working; for example overtime.

(8) The governor, lieutenant governor, secretary of state, treasurer, auditor, attorney general, superintendent of public instruction, commissioner of public lands, and the insurance commissioner are elected to office and hold office for a term of four years and until their successors are elected and qualified. Since these officers are elected to a term of office, they do not have working hours and may engage in activity that would fall under RCW 42.52.180(1) at any time. However, if these officers engage in activity that would fall under RCW 42.52.180(1), they may not make use of any facilities of an agency except as provided in RCW 42.52.180(2).

History

Statutory Authority: RCW 42.52.360. WSR 23-17-038, § 292-110-020, filed 8/9/23, effective 9/9/23
WSR 18-11-062, § 292-110-020, filed 5/14/18, effective 6/14/18. Statutory Authority: RCW 42.52.180(1) and 42.52.360 (2)(b). WSR 96-22-030, § 292-110-020, filed 10/30/96, effective 11/30/96.

Wash. Admin. Code § 292-110-030 Measurable expenditure.

For purposes of RCW 42.52.180 (2)(b) "measurable expenditure" means any separately identifiable cost or specific portion of a cost that is beyond the normal and regular costs incurred by the agency in responding directly to a specific inquiry from the media, a constituent, or any other person.

History

Statutory Authority: RCW 42.52.360. WSR 18-11-062, § 292-110-030, filed 5/14/18, effective 6/14/18. Statutory Authority: RCW 42.52.180 (2)(b) and 42.52.360 (2)(b). WSR 96-22-029, § 292-110-030, filed 10/30/96, effective 11/30/96.

Wash. Admin. Code § 292-110-050 Advisory opinions and informal staff analysis.

State officers and state employees are encouraged to seek an advisory opinion whenever they have questions concerning situations that implicate the Ethics in Public Service Act and corresponding rules. Advisory opinions are intended to provide guidance to a state officer or state employee in advance of an action or decision and prevent ethics violations.

(1) Requests for advisory opinions, if not issued in response to a motion by the board, must be written and addressed to either the chair of the board or the executive director. Each request should provide sufficient information and circumstances to enable the board to evaluate the request.

(2) The executive director will acknowledge a request for an advisory opinion within fifteen calendar days of receipt. Persons requesting advisory opinions will be notified of the status of the request at thirty day intervals until final action is taken.

(3) The board will either:

(a) Deny the request and state the reason(s) for the denial; or

(b) Issue a written advisory opinion.

(4) An advisory opinion is final when it has been approved by the board.

(5) A person requesting an advisory opinion may, after receiving the board approved opinion, petition the board for reconsideration within thirty days of the approval date of the advisory opinion if the person believes that the advisory opinion is erroneous in factual detail. A petition for reconsideration must be written and must briefly state the errors of fact. The board may deny the petition if it lacks merit, or if the person who submitted the request provided erroneous information to the board.

(6) If a state officer or state employee receives an advisory opinion and fails to make a good faith effort to follow its guidance, the board will give this fact weight when considering a complaint alleging a violation based on the advice received.

(7) It is the responsibility of the executive director to provide ethics advice to any state officer, state employee, or other person; however, a state officer, state employee, or other person may only rely on written ethics advice. In providing such advice, the executive director may issue a written nonbinding staff analysis. A nonbinding staff analysis is intended to provide ethics guidance and advice in an expeditious manner, but does not substitute for a formal advisory opinion from the board. The executive director will provide a disclaimer to the person requesting the nonbinding staff analysis that the advice is solely the opinion of the executive director and not the opinion of the board or in any respect binding on the board. Only advisory opinions issued by the board and complaints decided by the board may be relied on for determining how the board will interpret a provision of the Ethics in Public Service Act.

(a) In considering a complaint alleging a violation, the board will give weight to the fact that the person charged in the complaint relied in good faith on written advice from the executive director.

(b) The board may review staff analyses provided under this subsection and may approve or disapprove of any advice provided. However, any such approval or disapproval is limited to whether staff had reasonable grounds for the advice.

History

Statutory Authority: RCW 42.52.360. WSR 18-11-062, § 292-110-050, filed 5/14/18, effective 6/14/18. Statutory Authority: RCW 42.52.360 (2)(b) and 42.52.425. WSR 01-13-080, § 292-110-050, filed 6/19/01, effective 7/20/01. Statutory Authority: RCW 42.52.360 (2)(b) and (c). WSR 98-03-045, § 292-110-050, filed 1/15/98, effective 2/15/98.

Wash. Admin. Code § 292-110-060 Current state officers and employees contracting with state agencies.

(1) Approval required - Under RCW 42.52.120(2), a state officer or state employee must receive board approval before entering into, or obtaining a beneficial interest in, a contract or grant with a state agency only if the process for awarding the contract or grant was not open and competitive, or, whenever only one bid or application was received. The review of the contract or grant is to determine whether performance under the contract or grant by the state employee or state officer is in accordance with the Ethics in Public Service Act.

(2) Application for approval - State officers and state employees seeking the approval of the board for a contract or grant application, must provide the following information to the executive director no later than thirty days prior to the commencement of the contract or grant:

(a) A description of current official duties and responsibilities;

(b) A statement of the work to be performed and a copy of the contract or grant;

(d) A statement that no state resources will be used to perform or to fulfill the contract or grant;

(e) A description of how the work will be performed without the use of state resources; and

(f) A statement that the employing agency has reviewed or approved the outside contract or grant under applicable rules or policies, except when requesting a conditional approval as provided in subsection (3)(b) of this section.

(3) Approval process - The executive director will review the contract or grant application and related documents and determine whether there could be a potential conflict with RCW 42.52.120(1) or other applicable provisions of the Ethics in Public Service Act. If the executive director determines:

(a) There would be no potential conflict under RCW 42.52.120(1) or other applicable provisions of chapter 42.52 RCW, the executive director will approve the contract or grant application;

(b) There would be no potential conflict under RCW 42.52.120(1) or other applicable provisions of chapter 42.52 RCW but the contract or grant application has not been approved by the appointing authority, the executive director may conditionally approve the contract or grant application; or

(c) There could be a potential conflict under RCW 42.52.120(1) or other applicable provisions of chapter 42.52 RCW, the executive director will refer the matter to the board for approval or disapproval.

(4) Contract or grant amendments. If a contract or grant has been amended or the scope of work altered, and the effect of the amendment or alteration may create a potential conflict of interest under RCW 42.52.120(1) or other applicable provisions of chapter 42.52 RCW, a state officer or state employee must resubmit the contract or grant to the board at least fifteen days prior to commencement of work under the amended or altered contract or grant.

(5) Series of similar contracts or grants. If a state officer or state employee anticipates receiving a series of substantially identical contracts or grants with a state agency, the state officer or state employee may request that the board preapprove such contracts or grants. Preapproval will be effective for the period of one calendar year, after which the state officer or state employee must resubmit the request.

(6) Exemptions, preapproved contracts or grants. A state officer or state employee who has a contract or grant or a beneficial interest in a contract or grant which is preapproved by the board under this section is not required to file an application for approval of the contract or grant. However, a state officer or state employee is responsible for determining that the contract or grant would not conflict with RCW 42.52.120(1) or other applicable provisions of chapter 42.52 RCW. Provided that the applicable conditions in RCW 42.52.120(1) are met, the following contracts or grants are preapproved by the board:

(a) A contract or grant in which a state officer or state employee receives assistance through state programs or federal programs administered by the state when they are entitled to receive such assistance by law and on the same basis as similarly situated citizens, and when the state officer or state employee does not exercise discretionary judgment with regard to an assistance program for which the state officer or employee is otherwise eligible;

(b) A contract to perform teaching duties at a community college, vocational-technical school, or institution of higher learning, provided no state resources are used to perform the duties; there is no conflict with the performance of official duties; and the state officer or state employee did not use the state officer or state employee's official position to influence the contract of employment;

(c) A contract held by a spouse, in which the state officer or state employee has a beneficial interest, with a state agency, provided that the state officer or state employee did not participate in the contract;

(d) A contract that was received by a state officer or state employee of an institution of higher education to provide expert witness services in state litigation provided no state resources are used to perform the duties; there is no conflict with the performance of official duties; and the state officer or state employee did not use the state officer or state employee's official position to influence the contract.

(7) Filing required - Final contracts or grants reviewed under this rule must be filed with the board within thirty days of execution.

History

Statutory Authority: RCW 42.52.360. WSR 23-17-038, § 292-110-060, filed 8/9/23, effective 9/9/23
WSR 18-11-062, § 292-110-060, filed 5/14/18, effective 6/14/18. Statutory Authority: RCW 42.52.360 (2)(b) and 42.52.120(2). WSR 04-18-019, § 292-110-060, filed 8/23/04, effective 9/23/04. Statutory Authority: RCW 42.52.360 (2)(b) and 42.52.425. WSR 01-13-080, § 292-110-060, filed 6/19/01, effective 7/20/01. Statutory Authority: RCW 42.52.360 (2)(b). WSR 98-04-001, § 292-110-060, filed 1/21/98, effective 2/21/98.

Chapter 292-120 Executive ethics board—Penalty rules.

Wash. Admin. Code § 292-120-010 Purpose.

The purpose of this rule is to set out the criteria that the board may consider when imposing sanctions for a violation of chapter 42.52 RCW and the rules adopted under it.

History

Statutory Authority: RCW 42.52.360 (2)(e)-(g). WSR 97-07-058, § 292-120-010, filed 3/18/97, effective 4/18/97.

Wash. Admin. Code § 292-120-020 Board may impose sanctions.

If the board finds a violation of chapter 42.52 RCW or rules adopted under it, the board may impose one or more of the following sanctions:

(1) Reprimand, either by letter of instruction or formal reprimand;

(2) Recommend to the appropriate authorities suspension, removal from the position, or prosecution or other appropriate remedy;

(3) A civil penalty of up to five thousand dollars per violation or three times the economic value of any thing sought or received in violation of chapter 42.52 RCW or rules adopted under it, whichever is greater. Payment of the civil penalty shall be reduced by the amount of costs paid pursuant to subsection 5;

(4) Payment of damages sustained by the state that were caused by the violation and were not recovered by the state auditor;

(5) Costs, including reasonable investigative costs, that do not exceed the amount of any civil penalty;

(6) Recommend to the governor and the appropriate agency that they request the attorney general bring an action to cancel or rescind action taken by the violator, upon a board finding that:

(a) The violation has substantially influenced the state action; and

(b) Interests of the state require cancellation or rescission.

History

Statutory Authority: RCW 42.52.360 (2)(e)-(g). WSR 97-07-058, § 292-120-020, filed 3/18/97, effective 4/18/97.

Wash. Admin. Code § 292-120-030 Criteria for determining sanctions.

In determining the appropriate sanction, including the amount of any civil penalty, the board may consider the nature of the violation and the extent or magnitude or severity of the violation, including:

(1) The monetary cost of the violation including:

(a) The cost of the violation to the state;

(b) The value of anything received or sought in the violation;

(d) The costs incurred in enforcement, including reasonable investigative costs;

(2) The nature of the violation including whether the violation:

(a) Was continuing in nature;

(b) Was motivated by financial gain;

(d) Impaired a function of the agency;

(e) Tended to significantly reduce public respect for or confidence in state government or state government officers or employees;

(f) Involved personal gain or special privilege to the violator;

(3) Aggravating circumstances including whether the violator:

(a) Intentionally committed the violation with knowledge that the conduct constituted a violation;

(b) Attempted to conceal the violation prior to the filing of the complaint;

(d) Had significant official, management, or supervisory responsibility;

(e) Had committed prior violations found by the board;

(f) Incurred no other sanctions as a result of the violation;

(4) Mitigating factors including:

(a) Prior corrective action taken against the violator;

(b) Prior recovery of damages to the state;

(d) The violation was unintentional;

(e) Other mitigating factors deemed relevant by the board.

(5) For purposes of this section, each act which violates one or more provisions of chapter 42.52 RCW, or rules adopted under it, may constitute a separate violation.

History

Statutory Authority: RCW 42.52.360 (2)(b) and 42.52.425. WSR 02-04-003, § 292-120-030, filed 1/23/02, effective 2/23/02. Statutory Authority: RCW 42.52.360 (2)(e)-(g). WSR 97-07-058, § 292-120-030, filed 3/18/97, effective 4/18/97.

Wash. Admin. Code § 292-120-035 Safe harbor provision.

The board invites and encourages agencies to adopt policies that prevent agency employees from violating the Ethics in Public Service Act. Pursuant to RCW 42.52.360(6), the board may review and approve agency policies. In determining appropriate sanctions, the board may consider agency policies in effect at the time of the conduct. In addition:

(1) The board will not impose sanctions for conduct that would violate the Ethics in Public Service Act, if the conduct at issue was permitted under a board-approved agency policy, as provided for in RCW 42.52.360(6), prior to the conduct occurring.

(2) The effect of the safe harbor from sanction, as provided in WAC 292-120-035(1), shall be limited to conduct that conforms to a board-approved agency policy.

History

Statutory Authority: RCW 42.52.360. WSR 18-09-080, § 292-120-035, filed 4/17/18, effective 5/18/18. Statutory Authority: RCW 42.52.360 (2)(b) and 42.52.425. WSR 02-04-003, § 292-120-035, filed 1/23/02, effective 2/23/02.

Wash. Admin. Code § 292-120-040 Payment of civil penalty.

Payment of any monetary penalty assessed by the board must be made within 45 days of the date of the board's order, unless an extension is granted by the board.

History

Statutory Authority: RCW 42.52.360 (2)(e)-(g). WSR 97-07-058, § 292-120-040, filed 3/18/97, effective 4/18/97.

Chapter 292-130 Agency organization—Public records.

Wash. Admin. Code § 292-130-010 Purpose.

The purpose of this chapter is to provide rules implementing RCW 34.05.220 and chapter 42.56 RCW for the executive ethics board.

History

Statutory Authority: RCW 42.52.360. WSR 16-16-075, § 292-130-010, filed 7/29/16, effective 8/29/16. Statutory Authority: RCW 42.52.360 (2)(b). WSR 98-22-072, § 292-130-010, filed 11/3/98, effective 12/4/98.

Wash. Admin. Code § 292-130-020 Agency description—Contact information—Public records officer.

WAC 292-130-020

(1) The executive ethics board was created by chapter 42.52 RCW to enforce the state's ethics law and rules adopted under it with respect to statewide elected officers and all other officers and employees in the executive branch, boards and commissions, and institutions of higher education.

(2) Any person wishing to request access to public records of the executive ethics board, or seeking assistance in making such a request, should contact the public records officer of the executive ethics board:

Executive Director

Executive Ethics Board

7141 Cleanwater Lane S.E.

P.O. Box 40149

Olympia, WA 98504

360-664-0871

ethics@atg.wa.gov

Information and a request form is also available at the executive ethics board's website at www.ethics.wa.gov.

(3) The public records officer will oversee compliance with the act but another executive ethics board staff member may process the request. Therefore, these rules will refer to the public records officer or "designee."

History

Statutory Authority: RCW 42.52.360. WSR 26-13-034, s 292-130-020, filed 6/10/26, effective 7/11/26
WSR 23-17-038, § 292-130-020, filed 8/9/23, effective 9/9/23
WSR 18-20-107, § 292-130-020, filed 10/2/18, effective 11/2/18
WSR 16-16-075, § 292-130-020, filed 7/29/16, effective 8/29/16. Statutory Authority: RCW 42.52.360 (2)(b) and 42.52.425. WSR 01-13-033, § 292-130-020, filed 6/13/01, effective 7/14/01. Statutory Authority: RCW 42.52.360 (2)(b). WSR 98-22-072, § 292-130-020, filed 11/3/98, effective 12/4/98.

Wash. Admin. Code § 292-130-030 Operations and procedures.

The board holds regular scheduled meetings on the second Friday of each month at 9:00 a.m. unless a different time is noted on the agenda. The meetings are held at the administrative office location unless circumstances require relocating to another site as designated by the executive director of the board.

All meetings are conducted in accordance with the Open Public Meetings Act (chapter 42.30 RCW). Three members of the board constitute a quorum. Any matter coming before the board may be decided by a majority vote of those members present and voting. Minutes shall be taken at all meetings.

The board issues advisory opinions; develops education and training materials; investigates, hears, and determines complaints; reviews and approves agency ethics policies; and, reviews, approves, or denies contracts between state officers and employees and state agencies.

Written communications intended for board consideration or action shall be filed with the administrative office.

History

Statutory Authority: RCW 42.52.360. WSR 16-16-075, § 292-130-030, filed 7/29/16, effective 8/29/16. Statutory Authority: RCW 42.52.360 (2)(b). WSR 05-19-142, § 292-130-030, filed 9/21/05, effective 10/22/05. Statutory Authority: RCW 42.52.360 (2)(b) and 42.52.425. WSR 01-13-033, § 292-130-030, filed 6/13/01, effective 7/14/01. Statutory Authority: RCW 42.52.360 (2)(b). WSR 98-22-072, § 292-130-030, filed 11/3/98, effective 12/4/98.

Wash. Admin. Code § 292-130-040 Executive director.

The executive director shall perform the following duties under the general authority and supervision of the board:

(1) Make initial determinations, pursuant to RCW 42.52.425 and WAC 292-100-045, regarding complaints received by the board;

(2) Render informal nonbinding advice, pursuant to WAC 292-110-050;

(3) Make initial determinations, pursuant to RCW 42.52.120 and WAC 292-110-060, regarding approval of certain contracts between state agencies and state officers or employees;

(4) Act as records officer and administrative arm of the board;

(5) Coordinate the policies of the board and the activities of board staff and supervise board staff as appropriate;

(6) Act as a liaison between the board and other public agencies; and

(7) Conduct ethics training and information outreach.

History

Statutory Authority: RCW 42.52.360. WSR 16-16-075, § 292-130-040, filed 7/29/16, effective 8/29/16. Statutory Authority: RCW 42.52.360 (2)(b) and 42.52.425. WSR 01-13-033, § 292-130-040, filed 6/13/01, effective 7/14/01. Statutory Authority: RCW 42.52.360 (2)(b). WSR 98-22-072, § 292-130-040, filed 11/3/98, effective 12/4/98.

Wash. Admin. Code § 292-130-050 Availability of public records.

(1) Public records are available for inspection and copying Monday through Friday, 9:00 a.m. to noon, and 1:00 p.m. to 4:00 p.m., excluding legal holidays and during scheduled board meetings. Records must be inspected at the offices of the executive ethics board. Many public records are also available for inspection and copying on www.ethics.wa.gov at any time, at no cost.

(2) An index of public records is available for use by members of the public, including final orders, stipulations and advisory opinions. The indices for these documents are available upon request.

(3) The executive ethics board will maintain its records in a reasonably organized manner. The executive ethics board will take reasonable actions to protect records from damage and disorganization. A requestor must not take executive ethics board records from executive ethics board offices without the permission of the public records officer or designee. A variety of records is available on the executive ethics board website at www.ethics.wa.gov. Requestors are encouraged to view the documents available on the website prior to submitting a records request.

(4) Any person wishing to inspect or copy public records of the executive ethics board should make the request in writing on the executive ethics board request form or through an online portal, or by letter or email addressed to the public records officer at the email address publicly designated by the executive ethics board, or by submitting the request in person at the executive ethics board office and including the following information:

(a) Name of requestor;

(b) Address of requestor;

(d) Identification of the public records adequate for the public records officer or designee to locate the records; and

(e) The date and time of day of the request.

(5) If the requestor wishes to have copies of the records made instead of simply inspecting them, the requestor should so indicate and make arrangements to pay for copies of the records or a deposit. Pursuant to WAC 292-130-110, charges for copies are provided in a fee schedule available at the executive ethics board office or www.ethics.wa.gov.

(6) A records request form is available for use by requestors at the executive ethics board office and online at www.ethics.wa.gov.

(7) The public records officer or designee may accept requests for public records that contain the above information by telephone or in person. If the public records officer or designee accepts such a request, the public records officer or designee will confirm receipt of the information and the substance of the request in writing.

(8) If requestors refuse to identify themselves or provide sufficient contact information, the agency will respond to the extent feasible and consistent with the law.

History

Statutory Authority: RCW 42.52.360. WSR 23-17-038, § 292-130-050, filed 8/9/23, effective 9/9/23
WSR 18-20-107, § 292-130-050, filed 10/2/18, effective 11/2/18
WSR 16-16-075, § 292-130-050, filed 7/29/16, effective 8/29/16. Statutory Authority: RCW 42.52.360 (2)(b). WSR 98-22-072, § 292-130-050, filed 11/3/98, effective 12/4/98.

Wash. Admin. Code § 292-130-100 Processing of public records requests—General.

(1) Upon receipt of a request, the executive ethics board will assign it a tracking number and log it in.

(2) The public records officer or designee will evaluate the request according to the nature of the request, volume, and availability of requested records.

(3) Following the initial evaluation of the request under this subsection, and within five business days of receipt of the request, the public records officer or designee will do one or more of the following:

(a) Make the records available for inspection or copying including:

(i) If the copies are available on the executive ethics board's website, provide the internet address and link on the website to the specific records requested;

(ii) If copies are requested and payment of a deposit for the copies, if any, is made or other terms of payment are agreed upon, send the copies to the requestor.

(b) Acknowledge receipt of the request and provide a reasonable estimate of when records or an installment of records will be available; or

(c) Acknowledge receipt of the request and ask the requestor to provide clarification for a request that is unclear, and provide, to the greatest extent possible, a reasonable estimate of time the executive ethics board will require to respond to the request if it is not clarified.

(i) Such clarification may be requested and provided by telephone and memorialized in writing;

(ii) If the requestor fails to respond to a request for clarification and the entire request is unclear, the executive ethics board need not respond to it. The executive ethics board will respond to those portions of a request that are clear; or

(d) Deny the request.

(4) If the executive ethics board does not respond in writing within five business days of receipt of the request for disclosure, the requestor should contact the public records officer or designee to determine the reason for the failure to respond.

(5) In the event that the requested records contain information that may affect rights of others and may be exempt from disclosure, the public records officer or designee may, prior to providing the records, give notice to such others whose rights may be affected by the disclosure. Such notice should be given so as to make it possible for those other persons to contact the requestor and ask the requestor to revise the request, or, if necessary, seek an order from a court to prevent or limit the disclosure. The notice to the affected persons will include a copy of the request.

(6) Some records are exempt from disclosure, in whole or in part. If the executive ethics board believes that a record is exempt from disclosure and should be withheld, the public records officer or designee will state the specific exemption and provide a brief written explanation of why the record or a portion of the record is being withheld. If only a portion of a record is exempt from disclosure, but the remainder is not exempt, the public records officer or designee will redact the exempt portions, provide the nonexempt portions, and indicate to the requestor why portions of the record are being redacted.

(7) Consistent with other demands, the executive ethics board will promptly provide space to inspect public records. No member of the public may remove a document from the viewing area or disassemble or alter any document. The requestor must indicate which documents they wish the executive ethics board to copy.

The requestor must claim or review the assembled records within thirty days of the executive ethics board's notification to the requestor that the records are available for inspection or copying. The agency will notify the requestor in writing of this requirement and inform the requestor that they should contact the agency to make arrangements to claim or review the records. If the requestor or a representative of the requestor fails to claim or review the records within the thirty-day period or make other arrangements, the executive ethics board may close the request and refile the assembled records. Other public records requests can be processed ahead of a subsequent request by the same person for the same or almost identical records, which can be processed as a new request.

(8) After inspection is complete, the public records officer or designee will make the requested copies or arrange for copying. Where executive ethics board charges for copies, the requestor must pay for the copies.

(9) When the request is for a large number of records, the public records officer or designee will provide access for inspection and copying in installments, if the public records officer or designee reasonably determine that it would be practical to provide the records in that way. If, within thirty days, the requestor fails to inspect the entire set of records or one or more of the installments, the public records officer or designee may stop searching for the remaining records and close the request.

(10) When the inspection of the requested records is complete and all requested copies are provided, the public records officer or designee will indicate that the executive ethics board has completed a reasonable search for the requested records and made any located nonexempt records available for inspection.

(11) When the requestor either withdraws the request, fails to clarify an entirely unclear request, fails to fulfill their obligations to inspect the records, pay the deposit, pay the required fees for an installment, or make final payment for the requested copies, the public records officer or designee will close the request and, unless the agency has already indicated in previous correspondence that the request would be closed under the above circumstances, indicate to the requestor that the executive ethics board has closed the request.

(12) If, after the executive ethics board has informed the requestor that it has provided all available records, the executive ethics board becomes aware of additional responsive documents existing at the time of the request, it will promptly inform the requestor of the additional documents and provide them on an expedited basis.

History

Statutory Authority: RCW 42.52.360. WSR 23-17-038, § 292-130-100, filed 8/9/23, effective 9/9/23
WSR 18-20-107, § 292-130-100, filed 10/2/18, effective 11/2/18
WSR 16-16-075, § 292-130-100, filed 7/29/16, effective 8/29/16. Statutory Authority: RCW 42.52.360 (2)(b). WSR 98-22-072, § 292-130-100, filed 11/3/98, effective 12/4/98.

Wash. Admin. Code § 292-130-110 Costs of providing copies of public records—Payments.

(1) There is no fee for inspecting public records, including inspecting records on the executive ethics board's website.

(2) The executive ethics board is not calculating actual costs for copying records because to do so would be unduly burdensome for the following reasons: The executive ethics board does not have the resources to conduct a study to determine its actual copying costs; to conduct such a study would interfere with other essential board functions; and the public and requestors have commented on and been informed of authorized fees and costs provided in the Public Records Act including RCW 42.56.120 and other laws. It is more cost efficient, expeditious and in the public interest for the executive ethics board to adopt the state legislature's approved fees and costs for most of the executive ethics board's records, as authorized in RCW 42.56.120 and as published in the executive ethics board's fee schedule.

(3) The executive ethics board will charge for copies of records pursuant to the default fees in RCW 42.56.120 (2)(b) and (c). The executive ethics board will charge for customized services pursuant to RCW 42.56.120(3). Under RCW 42.56.130, the executive ethics board may charge other copy fees authorized by statutes outside of chapter 42.56 RCW. The executive ethics board may enter into an alternative fee agreement with a requestor under RCW 42.56.120(4). The charges for copying methods used by the executive ethics board are summarized in the fee schedule available on the executive ethics board's website at www.ethics.wa.gov.

(4) Requestors are required to pay for copies in advance of receiving records. Fee waivers are an exception and are available for some small requests under the following conditions:

(a) It is within the discretion of the public records officer or designee to waive copying fees when:

(i) All of the records responsive to an entire request are paper copies only and are twenty-five or fewer pages; or

(ii) All of the records responsive to an entire request are electronic and can be provided in a single email with attachments of a size totaling no more than the equivalent of one hundred printed pages. If that email for any reason is not deliverable, records will be provided through another means of delivery, and the requestor will be charged in accordance with this rule.

(b) Fee waivers are not applicable to records provided in installments.

(5) The public records officer or designee may require an advance deposit of ten percent of the estimated fees when the copying fees for an installment or an entire request, or customized service charge, exceeds twenty-five dollars.

(6) All required fees must be paid in advance of release of the copies or an installment of copies, or in advance of when a deposit is required. The executive ethics board will notify the requestor of when payment is due.

(7) Payment should be made by check or money order to the executive ethics board. The executive ethics board prefers not to receive cash.

(8) The executive ethics board will close a request when a requestor fails by the payment date to pay in the manner prescribed for records, an installment of records, or a required deposit.

History

Statutory Authority: RCW 42.52.360. WSR 18-20-107, § 292-130-110, filed 10/2/18, effective 11/2/18
WSR 16-16-075, § 292-130-110, filed 7/29/16, effective 8/29/16. Statutory Authority: RCW 42.52.360 (2)(b). WSR 98-22-072, § 292-130-110, filed 11/3/98, effective 12/4/98.

Wash. Admin. Code § 292-130-130 Exemptions.

(1) The Public Records Act provides that a number of types of documents are exempt from public inspection and copying. In addition, documents are exempt from disclosure if any "other statute" exempts or prohibits disclosure.

(2) During the course of an investigation, records generated or collected as a result of the investigation may be exempt from public inspection and copying under RCW 42.56.240.

(a) The investigation is not considered complete until a case is resolved either by a stipulation and settlement that is signed by all parties; or, when the board enters a final order after a public hearing.

(b) The following records are not considered part of the investigation file and are releasable upon request:

(i) Complaints, upon receipt by the respondent;

(ii) The board staff's investigation report;

(iii) The board's findings of reasonable cause or no reasonable cause; and

(iv) Stipulations and settlements, upon receipt by the board.

History

Statutory Authority: RCW 42.52.360. WSR 18-20-107, § 292-130-130, filed 10/2/18, effective 11/2/18
WSR 16-16-075, § 292-130-130, filed 7/29/16, effective 8/29/16. Statutory Authority: RCW 42.52.360 (2)(b) and 42.52.425. WSR 01-13-033, § 292-130-130, filed 6/13/01, effective 7/14/01. Statutory Authority: RCW 42.52.360 (2)(b). WSR 98-22-072, § 292-130-130, filed 11/3/98, effective 12/4/98.

Wash. Admin. Code § 292-130-140 Review of denials of public records request.

(1) Any person who objects to the initial denial or partial denial of a records request may petition in writing (including email) to the public records officer or designee for review of that decision. The petition should include a copy of or reasonably identify the written statement by the public records officer or designee denying the request.

(2) The public records officer or designee will promptly provide the petition and any other relevant information to the chair of the board or the chair's designee. The chair or the chair's designee will immediately consider the matter and either affirm or reverse such denial within two business days following the executive ethics board's receipt of the petition, or within such other time as mutually agreed upon by the requestor and executive ethics board.

(3) Pursuant to RCW 42.56.530, if the executive ethics board denies a requestor access to public records because it claims the record is exempt in whole or in part from disclosure, the requestor may request the attorney general's office to review the matter. The attorney general has adopted rules on such requests in WAC 44-06-160.

(4) Any person may obtain court review of denials of public records requests pursuant to RCW 42.56.550 at the conclusion of two business days after the initial denial regardless of any internal administrative appeal.

History

Statutory Authority: RCW 42.52.360. WSR 18-20-107, § 292-130-140, filed 10/2/18, effective 11/2/18
WSR 16-16-075, § 292-130-140, filed 7/29/16, effective 8/29/16. Statutory Authority: RCW 42.52.360 (2)(b). WSR 98-22-072, § 292-130-140, filed 11/3/98, effective 12/4/98.

Title 292 WAC — Ethics in Public Service

Chapter 292-09 Agency procedural rules.

Wash. Admin. Code § 292-09-010 Purpose of this chapter.

Wash. Admin. Code § 292-09-020 Role of the commission on judicial conduct.

Wash. Admin. Code § 292-09-030 Organization of the commission on judicial conduct.

Wash. Admin. Code § 292-09-040 Definitions.

Wash. Admin. Code § 292-09-050 Complaints and investigations.

Wash. Admin. Code § 292-09-060 Determination of reasonable cause.

Wash. Admin. Code § 292-09-070 Respondent's answer to complaint.

Wash. Admin. Code § 292-09-080 Stipulated dispositions.

Wash. Admin. Code § 292-09-090 Adoption of model rules of procedure.

Wash. Admin. Code § 292-09-100 Presiding officer.

Wash. Admin. Code § 292-09-110 Discovery.

Wash. Admin. Code § 292-09-120 Discovery—Authority of presiding officer.

Wash. Admin. Code § 292-09-130 Fact-finding hearing.

Wash. Admin. Code § 292-09-140 Documents—Filing.

Wash. Admin. Code § 292-09-150 Witness fees.

Wash. Admin. Code § 292-09-160 Subpoenas.

Wash. Admin. Code § 292-09-170 Judicial review.

Chapter 292-11 Agency substantive rules.

Wash. Admin. Code § 292-11-010 Purpose of this chapter.

Wash. Admin. Code § 292-11-020 Definitions.

Chapter 292-100 Procedural rules.

Wash. Admin. Code § 292-100-005 Purpose.

Wash. Admin. Code § 292-100-006 Adoption of model rules of procedure.

Wash. Admin. Code § 292-100-007 Definitions.

Wash. Admin. Code § 292-100-020 Complaint procedures—Status of complainant and others.

Wash. Admin. Code § 292-100-030 Complaint procedures.

Wash. Admin. Code § 292-100-041 Investigation of complaints.

Wash. Admin. Code § 292-100-042 Board staff referral of allegations.

Wash. Admin. Code § 292-100-045 Dismissal of complaints.

Wash. Admin. Code § 292-100-046 Complainant's request for review of executive director's dismissal order.

Wash. Admin. Code § 292-100-047 Board member's request for review of executive director's dismissal order.

Wash. Admin. Code § 292-100-050 Determination on reasonable cause.

Wash. Admin. Code § 292-100-060 Notice of hearing—Filing of answer.

Wash. Admin. Code § 292-100-080 Investigation procedures—Subpoenas.

Wash. Admin. Code § 292-100-090 Cases resolvable by stipulation.

Wash. Admin. Code § 292-100-100 Prehearing conference.

Wash. Admin. Code § 292-100-105 Discovery—Authority of presiding officer.

Wash. Admin. Code § 292-100-110 Hearings—Discovery—Subpoenas.

Wash. Admin. Code § 292-100-120 Hearings—Discovery—Methods authorized.

Wash. Admin. Code § 292-100-130 Hearings—Discovery—Depositions and interrogatories—Notice.

Wash. Admin. Code § 292-100-140 Depositions and interrogatories in hearings—Protection of parties and deponents.

Wash. Admin. Code § 292-100-150 Discovery—Production of documents and use at hearing.

Wash. Admin. Code § 292-100-160 Conduct of hearings.

Wash. Admin. Code § 292-100-170 Review of initial orders by an administrative law judge.

Wash. Admin. Code § 292-100-175 A board member's request for review of initial orders.

Wash. Admin. Code § 292-100-180 Brief adjudicative proceeding—Authority.

Wash. Admin. Code § 292-100-190 Brief adjudicative proceeding—Procedure.

Wash. Admin. Code § 292-100-200 Brief adjudicative proceeding—Administrative review procedures.

Wash. Admin. Code § 292-100-210 Reconsideration of final orders.

Chapter 292-110 Agency substantive rules.

Wash. Admin. Code § 292-110-010 Use of state resources.

Wash. Admin. Code § 292-110-020 Working hours.

Wash. Admin. Code § 292-110-030 Measurable expenditure.

Wash. Admin. Code § 292-110-050 Advisory opinions and informal staff analysis.

Wash. Admin. Code § 292-110-060 Current state officers and employees contracting with state agencies.

Chapter 292-120 Executive ethics board—Penalty rules.

Wash. Admin. Code § 292-120-010 Purpose.

Wash. Admin. Code § 292-120-020 Board may impose sanctions.

Wash. Admin. Code § 292-120-030 Criteria for determining sanctions.

Wash. Admin. Code § 292-120-035 Safe harbor provision.

Wash. Admin. Code § 292-120-040 Payment of civil penalty.

Chapter 292-130 Agency organization—Public records.

Wash. Admin. Code § 292-130-010 Purpose.

Wash. Admin. Code § 292-130-020 Agency description—Contact information—Public records officer.

Wash. Admin. Code § 292-130-030 Operations and procedures.

Wash. Admin. Code § 292-130-040 Executive director.

Wash. Admin. Code § 292-130-050 Availability of public records.

Wash. Admin. Code § 292-130-100 Processing of public records requests—General.

Wash. Admin. Code § 292-130-110 Costs of providing copies of public records—Payments.

Wash. Admin. Code § 292-130-130 Exemptions.

Wash. Admin. Code § 292-130-140 Review of denials of public records request.

Continue your research in ChatGPT or Claude