3.12.080 Enforcement Procedures.
A. Any person who has personal knowledge of a violation of this Ethics Code may file a complaint of the violation with the Hearing Officer. Complaints shall be submitted on a form prepared by the Ethics Commission and shall be delivered to the Hearing Officer at a location to be determined by the Hearing Officer in a sealed blank envelope. Complaints shall include, but not be limited to, the following:
1. Identity of complainant;
2. Identity of alleged Ethics Code violator;
3. Detailed description of activity constituting violation including dates and locations of violations;
4. Section of Ethics Code believed to be violated, if known;
5. Identity of other persons with knowledge regarding alleged violation, if known;
6. A statement by the complainant that he or she will maintain confidentiality regarding the fact that a complaint has been filed with the Ethics Commission, and that he or she understands that failure to maintain such confidentiality may jeopardize the process and result in an invalidation of the complaint. Breach of confidentiality by a complainant regarding the fact that a complaint has been filed constitutes a Class 1 civil infraction as defined by Chapter 1.16 PCC.
B. If a complainant breaches confidentiality regarding the fact that a complaint has been filed, the complaint may be dismissed as provided in Section 3.12.090 C. unless the subject of the complaint files a request with the Commission to complete the investigation.
C. Upon receipt of the above-described complaint, the Hearing Officer shall conduct such investigation of the allegations contained therein as he or she deems necessary and appropriate in order to make an initial determination as to whether probable cause exists to believe that a violation of this Ethics Code has occurred.
D. If the Hearing Officer is satisfied that there is no probable cause to believe that a violation of this Ethics Code has occurred, he or she shall:
1. So notify the complainant and the subject of the complaint; in writing. Written correspondence shall be deemed received within three days of the postmarked date;
2. Prepare written findings and conclusions regarding the complaint stating the factual basis for the findings and the legal basis for the conclusions;
3. File the findings, conclusions and a notice of no probable cause with the Ethics Commission;
4. If he or she believes a criminal act of a type not covered by the Ethics Code was committed, submit his or her file to the appropriate law enforcement authorities;
5. Take no further action other than as specified above and maintain confidentiality regarding his or her investigation.
E. In the event complainant believes that the Hearing Officer did not fairly and impartially review his or her complaint prior to determining no probable cause, complainant may file, by mailing to the Ethics Commission, a request for reconsideration with the Chair of the Commission. A statement that the Hearing Officer did not make a fair and impartial review because of reasons of conflict of interest, bias or prejudice must be attached to the request for reconsideration.
1. The statement must set forth facts and reasons for the belief that the conflict of interest, bias or prejudice exists.
2. The statement shall be postmarked no more than twenty (20) calendar days after complainant is deemed to receive notice of the Hearing Officer's original finding of no probable cause.
3. The Chair shall rule on the adequacy of the statement prior to referring the statement to the Commission. The Commission shall then review the original complaint, the statement, any other written materials which were considered by the Hearing Officer, and the Hearing Officer's findings and conclusions, to determine if probable cause exists. If four (4) Commission members find that probable cause does exist, the Commission shall:
a. Prepare and file its own written findings and conclusions;
b. Proceed as set forth in Subsection F. of this section.
4. Should it appear to the satisfaction of four (4) members of the Commission at any time that any of the statements presented to it pursuant to this section are presented in bad faith or solely for the purpose of harassing a respondent or prolonging the investigation, the Commission shall order the complainant submitting them to pay to the Commission and the respondent the amount of reasonable expenses which the filing of the statement caused it to incur, including reasonable attorneys fees, and shall declare no violation has occurred.
F. If the Hearing Officer finds probable cause to believe an Ethics Code violation has occurred, he or she shall:
1. Prepare written findings and conclusions regarding the complaint stating the factual basis for the findings and the legal basis for the conclusions;
2. File the findings and conclusions and a notice of probable cause with the Ethics Commission;
3. Submit his or her file to the appropriate law enforcement authorities if he or she believes a criminal act of a type not covered by the Ethics Code was committed;
4. Take no further action other than as specified above and maintain confidentiality regarding the complaint, the investigation and findings.
G. Except as set forth in this section, the Hearing Officer and the Commission shall keep in strict confidentiality the fact that a complaint has been received, the contents of the complaint, the identity of the party making the complaint, the results of the investigation and the Hearing Officer's findings and conclusions.
H. Upon receipt of the Hearing Officer's findings of probable cause, the Commission may choose between the two courses of action as follows:
1. Refer the matter to the office of the Pierce County Prosecutor for criminal prosecution; provided, that upon a determination that the proof beyond a reasonable doubt necessary for criminal conviction is not available, the office of the County Prosecutor may refer the matter back to the Commission for proceedings consistent with the civil burden of proof; e.g., a simple preponderance of the evidence; or
2. Retain the matter for its own formal investigation with a view toward the ultimate imposition of a civil penalty or penalties in the event it is determined an actual violation has occurred.
I. Should the Commission decide to retain the matter for its own formal investigation pursuant to Subsection G.2. above, the Commission shall notify, in writing, the complainant, and the respondent, of its decision to pursue a formal investigation by way of holding a hearing to determine if a violation has occurred.
J. Respondents shall be informed as to their rights to have the hearing either open or closed to the public pursuant to the requirements of RCW 42.30.110(1)(f) and (2).
K. 1. Hearings conducted by the Commission shall be informal with technical rules of evidence not applying to the proceedings except the rules of privilege recognized by law. The respondent may be represented by legal counsel and/or by his or her bargaining representative and may present and cross-examine witnesses and give evidence before the Commission. The Commission may call witnesses on its own motion and compel the production of books, records, papers or other evidence needed. To that end the Ethics Commission shall issue subpoenas and subpoenas duces tecum at the request of the Commission or the person complained against. All testimony shall be under oath administered by a member of the Commission. The Commission may adjourn its hearing from time to time in order to allow for the orderly presentation of evidence.
2. Upon motion of respondent or upon its own motion, the Commission may temporarily stay or permanently suspend its investigation when, in its informed discretion, the manifest needs of justice and fairness will be better served thereby.
3. Commission shall prepare an official record of the hearing, including all testimony which shall be recorded manually or by mechanical device, and exhibits; provided, the Commission shall not be required to transcribe such records unless an individual entitled to knowledge of the contents of the record presents a request accompanied by payment of the cost of transcription.
L. Within thirty (30) calendar days after the conclusion of the hearing, the Commission shall, based upon a preponderance of the evidence, make and fully record, in its permanent records, findings of fact, conclusions of law, and an order containing the final disposition including where appropriate the civil sanction(s) imposed. A copy of the findings, conclusions and order shall be forwarded by registered mail to the complainant and to the respondent at addresses provided by both persons to the Commission.
M. Any person found, by final written order of the Commission, to be in violation of this Code of Ethics may appeal the Commission's decision in the manner and form as provided by State law.
N. If no appeal is perfected within the thirty (30) calendar days following the date of the Commission's final order, and voluntary compliance with the order does not occur, the County Prosecutor shall petition in Superior Court for enforcement of the Commission's order in a manner patterned after that which is currently provided for enforcement of orders entered by the State Public Disclosure Commission in RCW 42.17.397 (Laws of Washington, 1975-76 2d ex. s.c. 112-13).
