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Document Code No.: LGL 8-1-2 (AEP)
Department/Issuing Agency: King County Board of Ethics
Effective Date: February 19, 2002
Approved: /s/ Ron Sims
Type of Action: Supersedes LGL 8-1-1 (AEP), Procedures for Filing Acknowledgement of Receipt Statements, Financial Disclosure Statements, and Consultant Disclosure Forms, December 24, 1993

Signed document (PDF, 4.5 MB)


1.0 SUBJECT TITLE: Procedures for Filing Acknowledgement of Receipt Statements, Statements of Financial and Other Interests, and Consultant Disclosure Forms

2.0 PURPOSE:

To establish procedures and required actions for filing statements with the Office of Human Resources Management or King County Board of Ethics, including those affecting:

2.1 Dissemination of Ethics Information

2.2 Acknowledgement of Receipt Statements

2.3 Statements of Financial and Other Interests

2.4 Consultant Disclosure Forms

3.0 ORGANIZATIONS AFFECTED:

All County employees, except those in the Judicial Branch, but including those in Judicial Administration; Elected Officials; Executive Departments; County Officers; County Council, Candidates for County Elective Office, except for Judicial Candidates, and Board and Commission members.

4.0 REFERENCES:

4.1 King County Code (K.C.C.) Chapter 3.04 - Code of Ethics

4.2 Chapter 42.17 RCW - Public Disclosure Law

4.3 King County Statement of Financial and Other Interests for King County Employees issued by the Board of Ethics

4.4 King County Statement of Financial and Other Interests for Members of King County Boards, Commissions, Committees and Other Multimember Bodies issued by the Board of Ethics

4.5 King County Consultant Disclosure Form issued by the Board of Ethics

5.0 DEFINITIONS:

5.1 "Board of Ethics" or "Ethics Board" refers to the King County Board of Ethics established by K.C.C. chapter 3.04.

5.2 The "Code of Ethics" means K.C.C. Chapter 3.04.

5.3 "County Employee" or "Employee" means as defined in K.C.C. 3.04.017, any individual who is appointed as an employee by the appointing authority of a county agency, office, department, council, board, commission, or other separate unit or division of County government, however designated, but does not include employees of the County's Judicial Branch. The term "County Employee" also includes County elected officials and members of County boards, commissions, committees, or other multi-member bodies, but does not include officials or employees of the county's judicial branch but does include employees of the department of judicial administration.

5.4 "Statement of Financial and Other Interests" refers to the form issued by the Board of Ethics and used to disclose financial and other interests and which is to be filed by county elected officials, employees appointed by the executive, employees appointed by the deputy county executive or department directors and who are subject to approval by the county executive, employees of the county council, employees designated by the Board of Ethics, and candidates for county elective office, except for judicial candidates.

5.5 "Acknowledgement of Receipt" refers to the form to be signed by each employee which acknowledges receipt of a summary of the Code of Ethics and indicates understanding that a complete copy of the Code is available through immediate supervisors or from the Board of Ethics. (See Appendix 9.3 for Acknowledgement of Receipt Form.)

5.6 "Summary" refers to a shortened version of the Code of Ethics provided to all employees and containing the main provisions of the Code of Ethics.

5.7 "Consultant Disclosure Form" refers to the sworn written statement issued by the Board of Ethics and to be filed by consultants that enter into contracts with King County to provide professional or technical services costing in excess of $2500.00. all as required by K.C.C. 3.04.120.

6.0 POLICIES:

6.1 It is the policy of King County that the private conduct and financial dealings of public officials and employees and of candidates for public office shall present no actual or apparent conflict of interest between the public trust and private interest. Public confidence in government must be sustained by establishing and enforcing rules which ensure the highest standards of professional conduct.

6.2 Each affected agency of County government shall inform its employees of the provisions of the Code of Ethics and strive to effectively enforce its requirements by seeking appropriate assistance from the office of citizen complaints, the Board of Ethics, and the Prosecuting Attorney's Office when considering and acting upon allegations of misconduct, as set forth in K.C.C. 3.04.015.

6.3 Each affected agency of the County government shall distribute an "Acknowledgement of Receipt" form and a Summary of the Code to each County employee and receive signed copies of the receipt form before the employee commences work. Completed forms shall be forwarded to the Office of Human Resource Management.

6.4 Each agency of County government shall distribute "Consultant Disclosure Forms" to consultants entering into contracts with King County to provide professional or technical services consisting in excess of $2500.00. No payment shall be made to the consultant until the required form has been filed with the Department of Finance and the Board of Ethics.

6.5 The Board of Ethics is authorized by the Code of Ethics to approve or deny requests for release of Statements of Financial and Other Interests. Statements for elected officials, candidates, department directors, division managers, the deputy county executive, and the executive's administrative assistants are designated as open to public disclosure by the Code of Ethics.

7.0 PROCEDURES:

CODE OF ETHICS ACKNOWLEDGEMENT OF RECEIPT FORMS:

Action By: Department and division or OHRM, as applicable

Action:

7.1 Set up new employee files.
7.1.1 Provide summary of Code and Acknowledgement of Receipt forms.

Action By: Employee

Action:

7.1.2 Signs form and returns to department and division or OHRM, as applicable.

Action By: Department and division or Employee, as applicable

Action:

7.2 Forwards form to OHRM for filing in the employee's file until termination of employment with King County.

STATEMENTS OF FINANCIAL AND OTHER INTERESTS:

Action By: Elected County officials, employees appointed by the deputy county executive or department directors and who are subject to approval by the county executive, employees of the county council, employees designated by departments based on criteria established by the Board of Ethics, and candidates for county elective office, except for judicial candidates.

Action:

7.3 Files a Statement of Financial and Other Interests with the Board of Ethics.
7.3.1 Within ten days of employment or appointment; and

7.3.2 On or before April 15th of each year and are encouraged to file updated statements reflecting changes occurring after the April 15th deadline;

7.3.3 Within two weeks of becoming a candidate for county elective office, except for judicial candidates.

7.3.4 Within two weeks of becoming a nominee for appointment to a county board, commission, committee or other multi-member body.

Action By: County Departments and Divisions

Action:

7.4 Report appointments and election of new employees required to file Statements of Financial and other interest to the Board of Ethics within ten (10) days after appointment or election.

Action By: Board Staff

Action:

7.5 Maintains statements in a secure file.
7.5.1 Sends periodic reminders before the April 15th filing date to designated coordinators of all individuals required to turn in statements and who have not done so.

7.5.2 Reports failure to comply with the filing requirements to the employees' appointing authority after two reminders.

REQUESTS FOR RELEASE OF STATEMENTS:

Action By: Board Staff

Action:

7.6 Responds to requests for disclosure and asks requester to state requests in writing.

7.7 Stamps and logs in all requests.

7.8 Determines whether records are scheduled for destruction in accordance with retention schedules. Ensures records are not destroyed while request for disclosure is pending.

7.9 Responds to request within five (5) business days of receipt by:

7.9.1 Providing the record; or,

7.9.2 Acknowledging receipt of the request and providing a reasonable estimate of the time the Board will require to respond with the request.

7.10 Notifies board and commission member(s) or other designated employees of request to release Statements of Financial and a Other Interests within five (5) days of receipt of request.

7.11 Schedules release date for fourteen (14) working days after notification is sent to board and commission members or designated employees.

7.12 Notifies requester of release date for records.

7.13 Releases statements after deleting residential and other privacy information, unless directed by superior court to take other action.

CONSULTANT DISCLOSURE FORMS:

Action By: Consultants

Action:

7.14 Complete Consultant Disclosure Form when contracting to provide professional or technical services to the county costing in excess of $2500.

Action By: Departments and Divisions

Action:

7.15 Forward copies of Consultant Disclosure Form to both the King County Department of Finance (Procurement and Contracts Services Division) and the Board of Ethics.

8.0 RESPONSIBILITIES:

8.1 The Board of Ethics is responsible for developing and implementing policies regarding disclosure of financial and other interests and for developing criteria by which departments shall identify county employees who are required to file Statements of Financial and Other Interests. The Board shall maintain Statements of Financial and Other Interests and Consultant Disclosure Forms.

8.2 Departments and division are responsible for distributing a summary form of the Code of Ethics and an Acknowledgement of Receipt form to new employees. Departments and divisions are also responsible for forwarding the Acknowledgement of Receipt forms to OHRM for filing.

8.3 OHRM files Acknowledgement of Receipt forms.

8.4 County Employees, including board and commission members, are responsible for completing an Acknowledgement of Receipt form.

8.5 County Departments and Divisions are responsible for ensuring completion of Consultant Disclosure Forms by affected consultants and for ensuring no payments are made to consultants until such forms have been completed and filed as required.

8.6 Affected county employees shall file Statements and Other Interests within ten days of appointment and by April 15th of each year.

8.7 Departments shall consider the criteria established by the Board of Ethics to identify employees, in addition to those employees designated in the Code of Ethics, who shall file Statement of Financial and Other Interests. Department shall submit lists of such employees to the Board of Ethics upon request by the Board.

9.0 APPENDICES:

These appendices are available as follows:

9.1 Statement of Financial and Other Interests by Employees - from the Board of Ethics

9.2 Statement of Financial and Other Interests by members of King County boards, commissions, committees, and other multi-member bodies - from the Board of Ethics

9.3 Acknowledgement of Receipt Form and Summary - from OHRM and Board of Ethics.

9.4 Consultant Disclosure Form - from the Board of Ethics.