Ethics Board rules
Read the rules for legislative ethics and the Legislative Ethics Board's procedures.
Preface
- Rule Number 1. Procedures
- A. Meetings
- B. Filing of Complaints
- C. Investigation of Complaints
- D. Staff Dismissal of Complaints
- E. Review of Staff Dismissal Order
- F. Determination of Reasonable Cause
- G. Stipulation and Settlement
- H. Notice of Hearing and Respondent’s Answer
- I. Conduct of Hearings
- J. Prehearing Conferences
- K. Final Order in Complaints
- L. Procedures Applicable to Advisory Opinions
- M. Procedures Applicable to Informal Advice
- N. Designated Ethics Advisers
- Rule Number 2. "Measurable Expenditure" Defined
- Rule Number 3. Private Use of Public Resources
- Rule Number 4. Working Hours
- Rule Number 5. Infrequent Meals
- Rule Number 6. Penalties
- Rule Number 7. Harassment
- Rule Number 8. Board Procedures
- A. Circulation of minutes
- B. Recording votes
- C. Advisory Opinion circulation procedures
- D. Complaint Opinion circulation procedures
- E. Circulation of Dissents/Concurrences (Separate Opinion) in Complaint Opinions
- F. Review of contracts, grants, and employment situations with state agencies
- G. Meetings conducted by electronic means
- H. Complaint Process
- I. Recusal
Rule Number 1. Procedures
A. Meetings
A quorum for transaction of board business shall consist of at least a majority of
the members, which shall include not less than a majority of the citizen
members.
B. Filing of Complaints
(1) The board shall resolve complaints alleging violations of chapter 42.52
RCW in accordance with these rules.
(2) Complaints may be filed by any person, personally, or by his or her attorney,
or the board.
(3) The parties to the complaint are the respondent and the board. The Board
reserves the right to permit an appeal to proceed in a situation in which the
complainant has been directly affected by the actions of the respondent.
(4) Although complaints need not be submitted on a prescribed form, the
information submitted must include all information appearing on the form .
(5) The complaint form or information alleging a violation may be sent via the
USPS to board staff at the address located on the form or may be scanned and
the scanned copy submitted via email to board staff at the email address located
on the form. The online process for submitting complaints is the preferred
method by which complaints are filed.
(6) If the complainant is claiming whistleblower protection under RCW
42.52.410, he or she must check the appropriate box on the complaint form.
Upon receipt of a complaint in which the complainant is claiming
whistleblower protection, board staff must determine whether the complainant
qualifies for whistleblower protection. If whistleblower protection is
appropriate, board staff must redact the complainant’s name and any other
identifying information before forwarding the complaint to the board members
and the respondent.
(7) If the complainant is not claiming whistleblower protection, or if board staff
determines the complainant is not eligible for whistleblower protection, the
unredacted complaint shall be forwarded to both the board members and the
respondent.
(8) Upon receipt, complaints shall be assigned a reference number. The board
shall maintain and keep current for public inspection a status sheet which shall
contain with respect to each complaint: Its reference number, the date received
by the board, and its present status, including the date of any hearings
scheduled. Unless the complainant qualifies for whistleblower protection, the
name of the complainant and the person charged shall be entered on the status
sheet following the determination of reasonable cause provided for in section F.
of this rule.
C. Investigation of Complaints
(1) On each complaint, the staff shall first conduct a jurisdiction investigation
for the purpose of determining whether the board has personal and subject matter jurisdiction. If the staff concludes that the complaint is within the
jurisdiction of the board, the staff shall commence an investigation of the
allegations. If the staff concludes that the complaint is not within such
jurisdiction, the staff shall end the investigation and dismiss the complaint
subject to section D. of this rule.
(2) If the complaint alleges a violation of RCW 42.52.180 by a legislator, the
board may provide the complaint to the attorney general or to an external
investigation firm for investigation of such allegation by the attorney general.
For purpose of such investigation, the attorney general shall serve as the board’s
staff.
(3) If the board counsel has a conflict in conducting an investigation of an
alleged violation of the Act, the board may refer the complaint to an external
investigation firm to complete the investigation.
(4) The results of each investigation shall be reduced to writing and included in
an investigative report which shall be provided to the board for the purpose of
making a determination under section F. of this rule. If the board desires more
information, it may require the staff to investigate further. The results of such
additional investigation shall also be reduced to writing and included in an
investigative report. The written investigation results, whether conducted by
staff or an external firm, are confidential.
D. Staff Dismissal of Complaints
(1) Subject to subsection (D)(2) of this rule, the staff may dismiss the complaint
for the following reasons:
(a) The alleged violation is not within the personal or subject matter
jurisdiction of the board;
(b) The complaint is unfounded or frivolous. For purposes of this section,
“unfounded” means the facts as alleged are insufficient to find a violation; 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 the circumstances, further proceedings would not serve
the purposes of chapter 42.52 RCW.
(2) The staff shall provide notice by electronic mail to each board member of
the staff’s intent to dismiss the complaint. If any board member objects to the
staff’s dismissal within ten (10) calendar days after staff has sent the notice, the
complaint will be deliberated at the next regularly scheduled meeting of the
board.
(3) If a timely objection to the staff’s dismissal is not received from any board
member within the 10 day period, a copy of the staff’s order of dismissal will be
provided to the complainant and the respondent along with a statement of the
complainant’s right to request review by the board of the staff’s dismissal.
E. Review of Staff Dismissal Order
(1) Staff must provide complainants with written notice of their right to request
the board to review the staff’s dismissal of the complaint.
(2) If the complainant requests such a review, the request must be in writing
and received by the board staff within 30 calendar days after the date upon
which the order of dismissal is mailed to the complainant.
(3) When a request for review is received, staff will prepare a record for board
review and notify the respondent that a review has been requested. The record
will consist of the following items:
(a) The complaint;
(b) The investigation report;
(c) The order of dismissal;
(d) The complainant’s request for review;
(e) Staff’s response to the request for review; and
(f) Any additional material requested by the board 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 upon the review
request by:
(a) Affirming the dismissal;
(b) Directing the staff to conduct further investigation; or
(c) Issuing a determination that there is reasonable cause to believe that a
violation has been or is being committed.
(4) In reviewing the staff’s order of dismissal, the board will decide the matter
de novo.
(5) The board’s decision will be in writing, provided to the complainant and
respondent and published on the legislative ethics board website.
F. Determination of Reasonable Cause
(1) The board shall review the investigative report and shall determine whether
the complaint is within its jurisdiction and, if so, whether there is reasonable
cause to believe that a violation has occurred. The Board’s review of the
investigative report as well as the determination of reasonable cause shall be
made during executive session.
(2) If the board determines that the complaint is not within its jurisdiction or
that there is not such reasonable cause, it shall issue an order dismissing the
complaint, and shall notify the complainant, the respondent, the news media
and others who have requested notice of the board’s actions with a copy of the
published opinion.
(3) If the board determines that the complaint is within its jurisdiction and that
there is such reasonable cause, the board shall conduct or provide for
conducting a public hearing on the complaint.
G. Stipulation and Settlement
(1) Any matter before the board may be settled by stipulation after completion
of the investigative report. Settlement of a matter shall be concluded by a
stipulation of facts, conclusions and penalty.
(2) After the board determines there is reasonable cause to believe a violation of
the Ethics Act has occurred, the board staff shall prepare an opinion for the
board and include as part of the opinion a stipulation.
(3) The opinion which shall include the stipulation shall be provided to the
respondent for signature.
(4) Board staff shall provide respondent with an electronic copy of the
stipulation by email as well as with a hard copy of the stipulation by USPS
mail.
(5) After the respondent receives the stipulation, he or she has 30 calendar days
from the date the stipulation is sent within which to sign and return the
stipulation to the board. A scanned signature on the stipulation is acceptable.
The 30-day period shall start from the date the electronic or hard copy is sent,
whichever occurs first. If the signed stipulation has not been received by the
board within the 30-day period, the stipulation shall be withdrawn.
(6) Once signed, the stipulation shall become part of the public record.
H. Notice of Hearing and Respondent’s Answer
(1) The board shall provide notice of the public hearing to the board’s
determination of reasonable cause, the respondent, and news media and others
who have requested notice of the board’s actions.
(2) The notice shall include the board’s determination of reasonable cause, as
well as the date, time and place for the hearing. The notice shall provide that the
respondent shall be entitled to appear in person or otherwise, with or without
counsel, submit testimony, be fully heard, and cross-examine witnesses.
(3) The board shall determine whether the hearing is to be conducted by an
administrative law judge.
(4) The respondent shall be notified of the date of the hearing no later than
forty-five days before the hearing date. At the request of the respondent, the
board or the administrative law judge may move the hearing to an earlier date.
(5) The respondent shall file a written answer to the complaint not later than
thirty days after service of the notice of hearing. The board or the administrative
law judge may extend the time for an answer, on a showing of good cause.
Absent a showing of good cause, failure to file a written answer shall be
deemed an admission to the facts alleged in the complaint and the board may
enter a default judgment which shall be final.
I. Conduct of Hearings
(1) From the time the board issues notice of a public hearing on a complaint, the
proceeding shall be conducted pursuant to the Administrative Procedure Act
(chapter 34.05 RCW), except as modified by chapter 42.52 RCW or these rules.
Prior to the issuance of such notice, the board’s consideration and disposition of
a complaint shall not be considered an adjudicative proceeding. In the case of a
conflict between Chapter 34.05 RCW and these procedures rules, the
procedures rules adopted by the board shall take precedence.
(2) All hearings conducted under this section are open to the public. The board’s
deliberations on a complaint that do not occur during a public hearing are
confidential.
(3) A hearing shall be conducted either by the board or by an administrative law
judge. If an administrative law judge participates, the board may choose to sit
with the administrative law judge to hear the matter and to enter a final order at
the conclusion of the proceedings. The board may also opt to have the
administrative law judge hear the matter alone and prepare an initial order for
review by the board. If an administrative law judge sits with the board, he or
she shall rule on procedural and evidentiary matters.
(4) Parties to a complaint proceeding shall be the respondent and the staff
assigned to present the case in support of the complaint pursuant to RCW
42.52.430(2). Parties are subject to the ex parte restrictions stated in RCW
34.05.455.
(5) When a complaint has been filed with the board, neither the complainant, if
other than the staff, nor any other person shall have special standing to
participate or intervene in the investigation or consideration of the complaint by
the board.
(6) The staff assigned to investigate a complaint pursuant to RCW 42.52.420
may be subsequently assigned as adviser(s) to the board following a
determination of reasonable cause, without regard to the restrictions of RCW
34.05.455 and .458.
(7) The board may subpoena witnesses, compel their attendance, administer
oaths, take testimony of a persons under oath, and require production for
examination of any books, papers, documents or tangible things relating to any
matter under investigation or in hearing before the board. The subpoena shall:
(a) Specifically describe the testimony which is sought; and materials to be
produced, in the form of designated books, papers, documents or tangible
things under control of the witness;
(b) Set forth a reasonable time and place for the taking of testimony and
production of the materials; and
(c) Notify the person who has been subpoenaed that if the testimony is not
given or designated materials are not produced, the board will apply to the
superior court for an appropriate order or other remedy. The subpoena may
be personally delivered or sent by certified mail, return receipt requested.
(8) Without prior approval by the assigned administrative law judge or by the
board if an administrative law judge has not been assigned, no party shall have
the right to issue subpoenas; or to demand interrogatories, depositions, or other
forms of discovery, without prior approval by the board.
(9) The board may conduct all or part of the hearing by telephoneor other
virtual means, if each participant in the hearing has an opportunity to participate
in, to hear, and, if technically feasible, to see the entire proceeding while it is
taking place.
(10) The time limits stated in RCW 34.05.419 shall not apply to board
complaint proceedings.
(11) Service of notices, filings, pleadings and other papers maybe made
personally or by first-class, registered, or certified mail; by electronic
telefacsimile transmission and same-day mailing of copies; or by commercial
parcel delivery company. Service by mail shall be regarded as completed upon
deposit in the United States mail properly stamped and addressed. Service by
electronic telefacsimile transmission shall be regarded as completed upon
production by the telefacsimile device of confirmation of transmission. Service
by commercial parcel delivery shall be regarded as completed upon delivery to
the parcel delivery company with charges prepaid. Service by electronic
transmission is authorized for all hearings in accordance with RCW
34.05.010(19). A respondent to a proceeding must provide a valid email address
in their answer to the board’s determination of reasonable cause, and if not in
their answer, by the time of the prehearing conference. The respondent must
monitor this email address throughout the hearing process for the purposes of
accepting and providing service of process. Service of pleadings and other
documents is deemed complete upon transmission to the email address provided
by the parties.
J. Prehearing Conferences
(1) In any proceeding, the board on its own motion or upon request by a party
or the party’s authorized representative, may direct the parties to appear at a
specified time and place for a conference to consider:
(a) Simplification of issues;
(b) The necessity of amendments to the hearing notice;
(c) The possibility of obtaining stipulations, admissions of facts and of
documents;
(d) Limitation on the number of witnesses; and
(e) Procedural and such other matters as may aid in the disposition of the
proceeding.
(2) Prehearing conferences may be presided over by the board or an
administrative law judge.
(3) Prehearing conferences may be held at a time and place, or by telephone,
television, or other electronic means, as specified by the presiding officer.
(4) Following the prehearing conference, the presiding officer shall issue an
order reciting the action taken and decisions made at the 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 shall control the subsequent course of the
proceeding unless modified for good cause by subsequent order.
K. Final Order in Complaints
(1) If the board in its final decision determines that the person has committed a
violation, it shall issue an order stating its findings of fact, conclusions of law, and
specifying such penalty or remedial action as the board finds appropriate. If the
board in its final decision determines that the person has not committed a violation,
it shall issue an order stating its findings of fact, conclusions of law, and dismissing
the complaint.
(2) Notification of the results of final orders in complaint cases shall be
accomplished by simultaneous mailing or emailing to the complainant and
respondent. If the notification is being sent by email, other distribution to the
media and others who have requested notice of the board’s action may occur the
same working day. If the notification is being sent by USPS mail, the other
distribution shall occur the following working day.
(3) Following a hearing in which the board participates, the board shall:
(a) Set forth in writing its findings of fact, conclusions of law and a decision
on the merits of the case; and
(b) Deliver, either in person or by email or mail, to the respondent,
complainant, and news media and others who have requested notice of the
board’s actions, a copy of the board’s opinion.
(4) Following a hearing in which the board does not participate, the administrative
law judge shall:
(a) Set forth written findings of fact, conclusions of law and decision on the
merits of the case in an initial order;
(b) Deliver, either in person or by email or mail, to each party, board
member, and the 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.
(c) If neither party files exceptions to the initial order within 20 days, the
board may adopt the initial order as the final order of the board.
(d) Within 20 days of entry of the initial order, either the staff or the
respondent may file written exceptions to the initial order. Such exceptions
shall be served on all other parties, the Administrative Law Judge, the staff,
and all members of the board. The board shall set a date for submission of
written argument on the exceptions and shall notify the staff and the
respondent in writing.
(e) The board shall review the initial order, any exceptions and argument
filed and shall issue a final order which shall be delivered, either in person or
by email or mail, to the staff, the respondent, complainant, and media and
others who have requested notice of the board’s actions.
L. Procedures Applicable to Advisory Opinions
(1) The legislative ethics board shall issue advisory opinions with regard to the
application of chapter 42.52 RCW and the rules adopted under the chapter. The
following procedures apply to requests for advisory opinions:
(a) Requests for advisory opinions may be made by any legislator, legislative
employee, or board member. The board may issue an advisory opinion on its
own motion.
(b)Requests may also be made by other persons with respect to the application
of the State Ethics Act to them.
(c) A request must be stated hypothetically unless the individual requests a
specific opinion concerning his or her own conduct. Requests must be
written, signed, and directed to the chair of the board in care of Board
Counsel at the address published on the board’s website.
(d)Requests shall supply such information as the board requires to enable it to
issue the opinion. Advisory Opinions will not be issued based upon facts that
have already occurred.
(e) An Advisory Opinion will not be issued unless the Board is unanimous in its
decision to issue the opinion.
(f) The identity of the person making the request shall be known only to the
chair and staff of the board, unless such confidentiality is waived in the
request.
(2) The board shall either:
(a) Issue a written advisory opinion; or
(b) notify, in writing, the person requesting such opinion that the request is
denied and the reason(s) for the denial.
(3) Upon receipt, requests shall be assigned a reference number. The board shall
maintain and keep current for public inspection a status sheet which shall contain
with respect to each request: its reference number, the date the request was
received by the board and its present status.
(4) The staff shall notify the person requesting the opinion as to the status of the
request within thirty days and at thirty-day intervals thereafter until final action is
taken.
(5) Upon request, the board shall make available to the public copies of the status
sheets and advisory opinions issued by the board.
M. Procedures Applicable to Informal Advice
(1) It is a function of board staff to provide ethics advice to persons eligible to
request advisory opinions. In providing such advice, board staff should also
provide a disclaimer that the advice represents solely the opinion of the staff and is
not the opinion of the Board or in any respect binding on the Board.
(2) In considering a complaint, the board will give weight to the fact that the
person charged in the complaint relied in good faith on board staff’s advice.
(3) The board may review the board staff advice provided under subsection (1) of
this section and may approve or disapprove of any advice so provided. However,
any such approval or disapproval is limited to whether board staff had reasonable
grounds for the advice and should not be interpreted as indicating that the board
approves or disapproves the actual advice provided. Only advisory opinions issued
by the board and complaints decided by the board may be relied on for purposes of
determining how the board will interpret a provision of the State Ethics Act.
N. Designated Ethics Advisers
(1) The Chief Clerk of the House and the Secretary of the Senate may each
designate and assign legal counsel as “Designated Ethics Advisers” to assist
legislators, legislative staff and, if requested, the Legislative Ethics Board. The
responsibilities of such advisers should be in accordance with this rule.
(2) No more than two such Designated Ethics Advisers may be from each
legislative body and their designation and assignment should be within the sole
discretion of the Chief Clerk of the House and the Secretary of the Senate,
respectively.
(3) The advisers may assist legislators and employees, in their respective
legislative bodies, with advice and analysis based upon legislative ethics statutes
and rules and upon published opinions of the Legislative Ethics Board. In those
instances where an adviser has conferred with board staff, and the staff has
concurred with the proposed advice, the advice shall be deemed to be entitled to
the protections afforded in Rule 1 M(2). Advice or analysis, which is not concurred
in by staff, will be viewed as in-house legal advice and outside the scope of the
protections provided in Rule 1 M(2). Requests for advisory opinions are
appropriate in cases where designated ethics advisers and board staff disagree.
(4) The advisers are expected to serve as liaisons between their respective
legislative bodies, including their chief administrative officers, and the staff, and
may communicate matters of mutual concern to the Board.
(5) The advisers, in coordination and consultation with the staff, may develop and
assist the staff to implement a program of ethics training and education for
legislators and legislative staff.
(6) The advisers should, to the extent reasonably possible, attend Board meetings
and be available and prepared to comment on matters before the Board with the
exception of formal complaints. The designated advisers will not participate in the
Board’s review and decision making on formal complaints before the Board.
(7) The designated advisers may assist legislators and staff in the preparation of
advisory opinion requests, responses to complaints, and other communication with
the Board but shall not, however, represent members or staff before the Board as
advocates on their behalf