HomeMy WebLinkAboutord1998-057WHATCOM COUNTY COUNCIL AGENDA BILL
NO, 1998 - 194 A
'CLEARANCES Date Date Received in Council Office Agenda Date Assigned To
Orig. Dept.: County Council
7/22/98
7/28/98
Council Introduction
Division Head:
8/11/98
Public Hearin
Dept. Head:
Prosecutor:
Budget:
Executive:
SUBJECT.-
Ordinance amending Ordinance 97 -045 code of ethics for elected public officials
ATTACHMENTS
Ordinance
SUMMARY STATEMENT.•
Related County Contract #: Should the Clerk schedule a hearing? (Y/N Y Requested Date: 8/11/98
Ordinance amending Ordinance No. 97 -045 establishing a code of ethics for Whatcom County elected public officials
RECOMMENDED MOTION (for final action):
COUNCIL ACTION TAKEN.
1998 - 194 A 7/28/98: Introduced
8/11/98: Held in committee
9/15/98: Amended and Adopted 6 -0, Imhof abstained, Ord.
#98 -057
Related File Numbers:
. Ordinance or Resolution Number (this item only):
oR1:�98.05�
I:\shared \ord \1998 \ethics.721 SPONSORED BY: Councl1
PROPOSED BY: Brenner
INTRODUCTION DATE: 7/28/98
ORDINANCE NO: A El _ n 5 7
AMENDING ORDINANCE NO. 97-045, ESTABLISHING A CODE OF ETHICS FOR
WHATCOM COUNTY ELECTED PUBLC 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 15 day of S E P T . , 1998.
ATTEST:
ana rown- Davis, Clerk of the Counci
APP VED AS TO FORM:
Karen Frakes, Senior Civil Deputy Prosecutor
WHATCOM COUNTY COUNCIL
WHATCOM COUNTY, WASHINGTON
Robert A. Imhof, Council Chair
Pete Kremen, County Exe
Attachment A
Whatcom County Government
Code of Ethics for
Elected Public Officials
1. 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.
2. Governing Principle
The governing principle of this code shall be to charge all elected officials 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.
3. 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 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 speciall 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;
(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;
(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.
4. 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.
5. 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.
B. At any quasi-judicial proceeding, adjudicating officials shall fully disclose, by
stating same for the record, campaign 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, his 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:
(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.
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
10.
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.
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 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 cornmission 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;
(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 specific 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 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 complaint 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.
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.
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.
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.
"rhe 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.
11.9. 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.
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.
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:
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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