HomeMy WebLinkAboutord1997-045WHATCOM COUNTY COUNCIL AGENDA BILL
NO. 97 -187E
_EARANCES
Initial
Date
Date Received in Council Office:
Agenda date
Assigned to:
Originator:
�2 4f
7/29/97
Council Introduction
Division Head:
8/12/97
Dept. Head:
Prosecutor: Randall J. Watts
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Executive: Pete Kremen
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SUBJECT.
Adoption of Code of Ethics
ATTACHMENTS:
Proposed Code of Ethics
SUMMARY STATEMENT:
Request Council Approval
Please complete sections of box as appropriate & explain the item beloN
Related County contract #: Should Clerk schedule a hearing? NO / / YES / / Requested date:
Amount budgeted for this item/ ro'ect:$ Is it or will it be within budget? YES / / NO / / lease explain below
Budget line item number(s):
ORIGINATOR'S RECOMMENDED ACTION.
Approval of Code of Ethics
COMMITTEE ACTION TAKEN.
COUNCIL ACTION TAKEN:
9997 - 187 E 7/29/97: Introduced
8/12/97: Substitute amended & adopted 7 - 0. Ord. #97 -045
Related File Numbers: Ordinance or Resolution Number (this item only):
0 ,9.4ci-7 -045-
SPONSORED BY: Nelson
PROPOSED BY: Kremen
INTRODUCTION DATE: 7128197
ORDINANCE NO: 97 -045
ESTABLISHING A CODE OF ETHICS FOR WHATCOM COUNTY
ELECTED PUBLIC OFFICIALS
WHEREAS, maintaining the public's trust and confidence in County government, its officials
and it processes is a high priority of the County Council and County Executive; and
WHEREAS, it is appropriate to provide clear and concise guidelines for ethical conduct by
public officials for the purpose of defining and requiring ethical behavior; and
WHEREAS, it is reasonable to establish an independent citizen commission to provide neutral
reviews, evaluations and judgements regarding official conduct that may be open to question;
NOW, THEREFORE, BE IT ORDAINED by the Whatcom County Council that the "Code of
Ethics" contained in Attachment A shall be approved and adopted as the County's governing
framework for ethical behavior and action by elected public officials in County government.
BE IT FURTHER ORDAINED, that the " Whatcom County Ethics Commission" is hereby
established and empowered to receive and adjudicate complaints made with regard to ethics
issues. The Commission shall be comprised of five citizens of the County appointed by the
County Executive and approved by a majority vote of the County Council.
Adopted this 1— day of August , 1997.
ATTEST:
Dan "rr6��4 avis, er of the Council
APPROVED AS TO FORM:
Randall Watts, C Civil Deputy Prosecutor
WHATCOM COUNTY COUNCIL
WHATCOM COUNTY, WASHINGTON
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L. Ward Nelson, Council Chair
WA/pproved () Denied
Pete Kremen, County Executive
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Attachment A
Whatcom County Government
Code of Ethics for
Elected Public Officials
Purpose of the Ethics Code
The purpose of this code is to establish ethical standards, requirements and
restrictions for elected public officials of Whatcom County in order that the public
trust may be maintained.
Governing Principle
The governing principle of this code shall be to charge every elected official of
Whatcom County government with the duty of holding themselves fully
accountable to the highest ethical, professional and legal standards, at all times,
while holding office, representing the County's citizens and conducting the
public's business.
Definitions
For the purpose of this chapter:
A. "Action" means any decision, determination, finding, ruling or order; and
any grant, payment, award, license, contract, transaction, sanction, or
approval, or the denial thereof, or failure to act with respect thereto;
B. "Appearance of Fairness" means that Doctrine applied by Washington
State Courts and chapter 42.36 RCW to quasi-judicial actions;
C. "Compensation" includes payment in any form for real or personal
property or services of any kind; PROVIDED, That "compensation" shall
not include per diem allowances or payments made by a governmental
entity to reimburse a public official for expenses incurred while the official
is engaged in the official business of the governmental entity.
D. "Elected official" means any person elected at a general or special
election to any county public office, and any person appointed to fill a
vacancy in any such office, except judges of the superior or district courts
or precinct committee officers;
E. "Appointed official" means any person appointed by lawful authority
Code of Ethics for Elected Public Officials
Page 2
granted in the Whatcom County Charter to an executive or administrative
county public office;
F. "Ethics" means principles of conduct governing an individual or a
profession; standards of behavior;
G. "Ex -parte communication" means any communication, written or oral and
relating to a quasi-judicial action between an elected official and only one
party to said action without the presence of other parties to the action;
H. "Immediate family" means the spouse, dependent children, and other
dependent relatives, if living in the household, of any such official;
I. "Individual" means a single natural person as distinguished from; a
partnership or corporation;
J. "Natural person" means an individual human being as distinguished from
a partnership, corporation or other association;
K. "Organized group" means any political committee (other than groups
created for the purpose of a single specific candidate for his /her own
campaign), political party, or any special interest group, as well as
political action committees (including political parties) who have filed with
the Washington State Public Disclosure Commission, provided that
groups created solely for the purpose of campaigning for the election of a
specific candidate shall not be an organized group for the purposes of
this chapter;
L. "Person" means:
(1) An individual; It
(2) A partnership, limited partnership, public or private corporation, or
joint venture;
(3) A nonprofit corporation, organization, or association, including but
not limited to, a national, state, or local labor union or collective
bargaining organization and a national, state, or local trade or
professional association;
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Code of Ethics for Elected Public Officials
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(4) A federal, state, or local governmental entity or agency, however
constituted;
(5) A candidate, committee, political committee, bona fide political
party, or executive committee thereof; and
(6) Any other organization or group of persons, however organized;
M. "Quasi- judicial actions" are those actions of the legislative body, planning
commission, hearing examiner, or other appointed or elected board which
determine the legal rights, duties, or privileges of specific parties in a
hearing or other contested case proceeding. Quasi-judicial actions do not
include legislative actions adopting, amending, or revising
comprehensive, community, or neighborhood plans or other land use
planning documents or the adoption of area -wide zoning ordinances or
the adoption of a zoning amendment that is of area -wide significance.
Appearance of Fairness
The Appearance of Fairness Doctrine shall apply to all quasi-judicial hearings
conducted by an elected official of Whatcom County. Hearings shall include, but
not be limited to:
A. quasi-judicial actions on all matters concerning land use;
B. disability board proceedings;
C. boundary review board proceedings,
D. business license revocation proceedings;
E. animal license enforcement proceedings; and
F. board of equalization proceedings.
Disclosure Requirement
A. After the call to order at any quasi - judicial proceeding, the adjudicating
official(s) shall disclose for the record the existence and substance of any
ex -parte communications in which adjudicating official(s) may have
engaged.
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Code of Ethics for Elected Public Officials
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B. At any quasi-judicial proceeding, adjudicating officials shall fully disclose,
by stating same for the record, carripaign contribution(s), including any
contributions for the purpose of opposing a recall attempt, in excess of
$250.00 from any person who is a party to the proceedings and
contributions in excess of $500.00 from any organized group which is a
party to the proceedings, received from one year prior to the date of the
official's last election or appointment up to the date of the proceeding.
C. No elected county official shall knowingly engage in any action which will
directly or indirectly affect Whatcom County, and which requires the
exercise of discretion, by participating in public decisions or
determinations with respect to county matters, without fully disclosing the
following that are known to said official:
(1) That gratuities, gifts, special favors or personal expenses of the
official in excess of $100.00 in any calendar year have been made
to the official by any person or entity which is a party to the action;
(2) That the official or any member of the official's immediate family
has any interest in the action, whether direct or indirect, personal
or financial;
(3) That the official, or any member of the official's immediate family,
as reported on the Public Disclosure Commission Form F -1, has or
will receive any monetary compensation as a result of a separate
financial relationship with any person who is a party to the action.
6. Duty to Recuse
Any county elected official shall remove him or herself from hearing any quasi -
judicial matter where, in the judgment of that official,A its or her impartiality might
be reasonably questioned. Grounds for such self - removal include, but are not
limited to, a violation of the Appearance of Fairness Doctrine as defined in
Section 3(B).
7. Restrictions on Future Employment of County Officials
A. No county elected official may, within a period of one year from the date
of termination of county employment, accept employment or receive
compensation from an employer if:
Code of Ethics for Elected Public Officials
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(1) The county elected. official,, during the two years immediately
preceding termination of county employment, was engaged in the
negotiation or administration on behalf of the County of one or
more contracts with that employer and was in a position to make
discretionary decisions affecting the outcome of such negotiation
or the nature of such administration; and
(2) Such a contract or contracts have a total value of more than ten
thousand dollars; and
(3) The duties of the employment with the employer or the activities for
which the compensation would be received include fulfilling or
implementing, in whole-or in part, the provisions of such a contract
or contracts or include the supervision or control of actions taken.to
fulfill or implement, in whole or in part, the provisions of such a
contract or contracts.
B. No person who has served as an elected county official may, within a
period of one year following the termination of county employment, have a
beneficial interest in a contract or grant that was expressly authorized or
funded by specific legislative or executive action in which the former
official participated.
C. No person who has served as a elected county official may, within a
period of one year following the termination of county employment,
represent any person before any county board, body, agency,
department, committee, examiner, adjustor, or commission regarding a
specific project the former official worked on, and was in a position to
make discretionary decisions or recommendations, during his /her term of
service or employment unless:
(1) The former elected county official receives no compensation for
representing that person; or
(2) The specific project was a legislative issue; or
(3) The matter involved in the representation by the former county
official directly affects properties owned by the former official.
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Code of Ethics for Elected Public Officials
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8. Ethics Commission — Creation and Purpose
8.1 Creation
There is hereby created a Whatcom County Ethics Commission composed of
five members appointed by the Whatcom County Executive and subject to
confirmation by a majority of the County Council.
8.2 Purpose
The purpose of the Whatcom County Ethics Commission is to receive complaints
of ethics violations and otherwise administer the Code of Ethics as provided in
this chapter.
8.3 Clerk of Commission - Appointment
The County Executive shall provide for the clerical support of the commission
from available County staff.
9. Membership — Term of Office
A. The term of each member shall be four years without compensation,
except that two of the new members appointed shall serve an initial term
of two years, as determined by the drawing of lots.
B. No person shall be eligible for appointment to more than two four -year
terms, except as provided in subsection (C) below.
C. An individual appointed to fill a vacancy occurring other than by the
expiration of a term of office shall be appointed for the unexpired term of
the member he /she succeeds, but shall be eligible for appointment to two
full four -year terms thereafter only if one year or less remains in the term
he /she is appointed to fill. Any vacancy occurring on the commission shall
be filled within 60 days in the manner in which that position was originally
filled. A vacancy shall not impair the powers of the remaining members to
exercise all the powers of the commission.
10. Meetings
A. At its first meeting each calendar year, the commission shall organize by
electing a chairperson and vice chairperson to serve for a period of one
Code of Ethics for Elected Public Officials
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year. The vice chairperson shall have the power to perform all duties of
the chairperson in his or her absence;
B. Three members of the commission shall constitute a quorum and an
affirmative vote of three members is required for any action or
recommendation of the commission;
C. Meetings of the commission shall be held at least twice annually.
However, the commission may meet as frequently as it deems necessary;
D. In addition to other duties prescribed by this chapter, the commission
shall:
(1) Act as the primary determining body for complaints regarding
violation of the provisions of this chapter;
(2) Make provisions for the preservation of all files, statements,
correspondence and records of proceedings for a period of seven
years;
(3) Make provisions for the appearance and participation of
complainants and respondents at commission proceedings,
including, when necessary, the issuance of subpoenas of
witnesses, and receive all testimony under oath;
(4) Develop and implement additional rules and procedures as the
commission deems necessary, subject to approval by the County
Council.
11. Complaint Procedures
A. Any natural person who believes a person subject to the code of ethics
has committed a violation of the code may file a complaint with the Ethics
Commission. Complaints shall be subject to the following requirements:
(1) The complaint must be based upon facts within the personal
knowledge of the complainant;
(2) The complaint must be submitted in writing and signed under oath
by the complainant;
Code of Ethics for Elected Public Officials
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(3) The complaint must include a detailed factual description of the
alleged violation including the date, time and place of each
occurrence and the name of the person or persons who are alleged
to have committed a violation. The complaint must also refer to the
specific provisions of the code of ethics which are alleged to have
been violated;
(4) The complaint must be accompanied by all available
documentation or other evidence known to the complainant to
support the allegations of the complaint;
(5) The complaint must be filed within two years of the date of the
occurrence or occurrences alleged to constitute a violation of the
code of ethics.
B. Complaints shall be Filed with the clerk of the Ethics Commission who
shall forward the complaint and any accompanying documentation. and
evidence forthwith to the chairperson of the Ethics Commission. The
chairperson shall review the complaint for compliance with the
requirements of subsection (A) of this section. Should the chairperson
find that:
(1) The complaint is untimely; or
(2) The complaint has not been signed under oath; or
(3) The complaint does not, on its face, state facts which, if proven to
be true, constitute a violation of the code of ethics referred to in the
complaint; or
(4) The complaint fails to refer to a spectfic provision of the code of
ethics which is alleged to have been violated, the chairperson
shall, within five working days of the filing of the complaint, enter a
written order stating the chairperson's findings and, except as
hereinafter provided, dismissing the complaint. If the chairperson
finds that the complaint is deficient pursuant to findings (2) or (4),
the chairperson shall issue an order notifying the complainant that
unless a corrected complaint is filed within 5 days of the issuance
of such order, the complaint shall be dismissed. The complainant
may appeal the dismissal of a complaint under this subsection by
filing an action in the Whatcom County Superior Court for a Writ of
Certiorari pursuant to Chapter 7.16 RCW within 10 days of the
Code of Ethics for Elected Public Officials
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date of issuance of the order dismissing the complaint.
C. For complaints which are not dismissed under subsection (B), the
chairperson shall direct the clerk to serve a complete copy of the
complaint and any accompanying documentation and evidence to the
person (hereinafter referred to as the respondent) alleged to have
committed a violation of the code of ethics. The clerk shall serve a copy of
the complaint and accompanying information upon the respondent by
certified mail or by personal service not later than seven working days
following the filing of the complaint.
D. The respondent shall, within twenty days of the date of mailing or
personal service of the complaint by the clerk of the commission, file with
the clerk any response to the complaint the respondent wishes to make'. A
response to a complaint shall be made in writing signed under oath by the
respondent. A response may include a detailed statement of facts
pertaining to the complaint made on personal knowledge of the
respondent and may include. any matter constituting a defense to the
complaint. A response should be accompanied by all available
documentation or other evidence known to the respondent which the
respondent wishes the commission to consider. The respondent may
stipulate to some or all of the facts alleged in the complaint and shall
either admit or deny the alleged violation. If the violation is admitted, the
respondent may also submit an explanatory statement and may request a
particular disposition.
E. Upon receipt of a response to a complaint, the chairperson shall review
the complaint and response, together with all supporting documentation
and evidence submitted by the complainant and the respondent. Within
ten days of receipt of the response (or, if no timely response is submitted,
within thirty days of the date of mailing the c0hplaint to the respondent by
the clerk of the commission), the chairperson shall issue a preliminary
decision in writing. A preliminary decision shall include one of the
following determinations:
(1) Determine that a hearing is necessary in order to obtain a clear
determination of the facts relevant to the complaint; or
(2) Determine that, based upon the complaint and response, the facts
relevant to the complaint are clearly established and no hearing is
necessary.
Code of Ethics for Elected Public Officials
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F. When a preliminary decision is issued pursuant to subsection (E)(2), it
shall contain findings and conclusions and a disposition of the complaint.
If the chairperson concludes a violation of the code of ethics was
committed, the preliminary decision shall include a penalty as provided for
in Section 15. Copies of the preliminary decisions shall be served
forthwith on all members of the commission by the clerk. Until it becomes
a final decision, a preliminary decision issued pursuant to subsection
(E)(2) shall be confidential and shall not be released to either the
complainant, the respondent, or any other person with the exception of
commission members and commission staff. Commission members may
either concur in the preliminary decision or request a hearing. A hearing
on the complaint before the full commission shall be scheduled by the
clerk if a request for hearing is filed with the clerk by one or more
commission members within ten days of the issuance of the preliminary
decision, PROVIDED: that commission members shall have 15 days from
the date of issuance of the preliminary decision to request a hearing if the
chairperson so provides in the preliminary decision. If a commission
member does not file a timely request for hearing, it shall be conclusively
presumed that the commission member concurs in the preliminary
decision.
G. If no timely request for hearing is made by any commission member,- a
preliminary decision issued pursuant to subsection (E)(2) shall become a
final decision of the commission and shall be signed and dated by the
commission chairperson within two working days following the expiration
of the review period provided in subsection (F) above. The clerk shall
immediately notify the complainant and the respondent of the final
decision and shall deliver a copy of the final decision to each of them and
to any other person who has submitted a written request therefore. Either
the complainant or the respondent may, within thirty days of the date of
the final decision, appeal it to the Whatcom County Superior Court by writ
of certiorari pursuant to Chapter 7.16 RCW.
H. When a decision to hold a hearing is issued pursuant to subsection (E)(1)
or when a request for hearing is filed by a commission member pursuant
to subsection (F), the clerk shall schedule a hearing not more than thirty
days from the date of the preliminary decision and shall mail written notice
of the hearing to the complainant, the respondent, each member of the
commission and to any other person who has submitted a written request
therefore. In addition, notice shall be provided by publication in the official
County newspaper not less than five days prior to the date of the hearing.
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All hearings on complaints before the Ethics Commission shall be de
novo and a preliminary decision issued pursuant to subsection (E)(2), if
any, shall have no force or effect and shall remain confidential. The
parties may appear in person or through attorneys. Hearings shall be
conducted in accordance with the following provisions:
(1) The complainant shall have the burden to prove by a
preponderance of evidence that the violation or violations alleged
in the complaint occurred.
(2) Not less than two days prior to the hearing date, the complainant
and. respondent shall each file with the clerk and serve upon the
other party, a list of witnesses they wish to call at the hearing. Only
those witnesses whose names appear on the witness lists may
testify at the hearing. In exceptional circumstances and for good
cause shown, the Commission chairperson may, in his or her
discretion, permit additional witnesses to testify.
(3) At the commencement of the hearing, the Commission chairperson
shall ask the parties to provide an estimate of the time required to
present their evidence and arguments. The chairperson shall then
issue an order establishing a reasonable limit on the time for each
party to present his or her case which shall be equal for each party.
The complainant may divide his or her allotted time between an
opening presentation and rebuttal of the respondent's case. Each
party may present opening and closing arguments.
(4) All testimony shall be given under oath administered by the clerk of
the Commission. Subject to control by the chairperson, each party
shall be permitted to cross - examine the witnesses of the other
party. '
(5) The clerk shall electronically record all proceedings and shall
assign exhibit numbers to, and become the custodian of, all
documentary evidence.
(6) The chairperson shall have full authority to regulate the conduct of
the hearing and may take any actions reasonably necessary to
maintain an orderly proceeding. The chairperson may continue a
hearing to a date and time certain should the chairperson
determine that such continuance is necessary.
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Code of Ethics for Elected Public Officials
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J. At the conclusion of a hearing on a complaint, the commission shall
deliberate and enter its oral decision which shall include findings and
conclusions in support of the decision. The chairperson shall direct
commission staff to prepare a draft written decision reflecting the
commission's oral decision and shall continue the hearing to a date and
time certain for commission consideration and approval of the written
decision. The final written decision shall be signed and dated by the
commission chairperson. The clerk shall deliver a copy of the final written
decision to each party and to any other person who has submitted a
written request therefore.
K. A final written decision may, within thirty days of the date of the written
decision, be appealed by either the complainant or the respondent to the
Whatcom County Superior Court by writ of certiorari pursuant to Chapter
7.16 RCW.
11.1. Complaints Filed Close to Elections — Limitations on Filing
— Expedited Proceedings
A. From the date four weeks prior to any election through and including the
date of the election, only those complaints may be filed which allege a
violation of the code of ethics which occurred not more than one week
prior to the date of filing the complaint. Immediately upon receipt of such a
complaint, the clerk shall notify the chairperson and the respondent
named in the complaint and shall deliver a copy of the complaint and its
supporting documentation and evidence to them. Copies shall also be
delivered forthwith to the remaining commission members. The clerk's
notice to the respondent shall also state that the respondent may file a
written response to the complaint within 5 days of the date the complaint
was filed with the commission.
a
B. Immediately upon-receipt of the complaint, the chairperson shall review
the complaint pursuant to subsection 11(B) and, if the complaint is
defective, shall, within two days of the filing of the complaint, enter an
order stating the chairperson's findings and dismissing the complaint.
C. For those complaints which are not dismissed under subsection (B)
above, the clerk shall confer with the Commission chairperson and shall
set a date and time for an expedited hearing on the complaint to be held
not less than five nor more than ten days from the date of filing the
complaint.
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Code of Ethics for Elected Public Officials
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D. The clerk shall deliver to the complainant, the respondent and each
commission member a notice of expedited hearing on the complaint.
Notice of the expedited hearing shall also be delivered to any person who
has, at or prior to the time the complaint is filed, submitted a written
request therefore. Notice of the hearing shall be published once in the
official County newspaper prior to the hearing.
E. The expedited hearing shall be conducted in accordance with subsections
11(1), (J), and (K) except that the parties shall not be required to file
witness lists prior to the hearing.
11,2. Computation of Time
As used in this chapter, the word "day" shall mean calendar day and the word
"week" shall mean calendar week.
12. Other Requirements
All elected county officials shall abide by the provisions of the Whatcom County
Home Rule Charter and such ethical standards as may be adopted by the
Council or Executive for their respective branches.
13. Confidences
No elected county official shall disclose any confidential information secured
during the course of his or her public employment or term of office, a disclosure
which is not otherwise required by law, or use any such information to advance
his or her or any other financial interest to the detriment of Whatcom County.
14. Use of County Property }
No elected county official shall sell, divert, convert, give away, or use any county
equipment, vehicles, or other county property, real or personal, other than in the
performance of his /her official duties in behalf of the County.
15. Penalties
If it is determined, pursuant to the provisions of this chapter, that an ethics code
violation has occurred, one or more of the following civil remedies and sanctions
may be imposed in addition to any other remedies provided by law:
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Code of Ethics for Elected Public Officials
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A. Any person who violates any of the provisions of this ethics code may be
subject to a civil penalty of not more than $1,000 for each such violation;
B. Any person who fails to file a response to a complaint as required in
Section 11(D) within the time required by this code may be subject to a
civil penalty of $10.00 per day for each day each such delinquency
continues;
C. Any person who fails to report a contribution or expenditure in accordance
with these procedures as contained in Section 5(B) may be subject to a
civil penalty equivalent to the amount he failed to report;
D. The court may enjoin any person to prevent the doing of any act herein
prohibited, or to compel the performance of any act required herein.
16. Public Disclosure Rules to Govern
The rules and precedents established by the Washington State Public
Disclosure Commission shall be considered in interpreting those sections
contained herein which are analogous to state law.
17. Sunset
This policy is effective until September 1, 2002, at which time is automatically
repealed unless reenacted prior to that date by majority vote of the Council.
18. Severability
If any provision of this ordinance or its application to any person or circumstance
is held invalid, the remainder of the ordinance or the,application of the provision
to other persons or circumstances is not affected.
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