WSR 18-20-107
PERMANENT RULES
EXECUTIVE ETHICS BOARD
[Filed October 2, 2018, 1:24 p.m., effective November 2, 2018]
Effective Date of Rule: Thirty-one days after filing.
Purpose: The purpose of this rule making is to adopt a rule that implements the new Public Records Act (PRA) requirements and provide the necessary findings so that the executive ethics board may use the amended statutory default fee schedule effective July 23, 2017, and explain the procedures for payment of copies and waiver of fees. This rule making will also update the rule to provide clarity to state employees and the public.
Citation of Rules Affected by this Order: Amending WAC 292-130-020, 292-130-050, 292-130-100, 292-130-110, 292-130-130, and 292-130-140.
Statutory Authority for Adoption: RCW 42.52.360.
Adopted under notice filed as WSR 18-16-026 on July 24, 2018.
Number of Sections Adopted in Order to Comply with Federal Statute: New 0, Amended 0, Repealed 0; Federal Rules or Standards: New 0, Amended 0, Repealed 0; or Recently Enacted State Statutes: New 0, Amended 6, Repealed 0.
Number of Sections Adopted at the Request of a Nongovernmental Entity: New 0, Amended 0, Repealed 0.
Number of Sections Adopted on the Agency's own Initiative: New 0, Amended 6, Repealed 0.
Number of Sections Adopted in Order to Clarify, Streamline, or Reform Agency Procedures: New 0, Amended 6, Repealed 0.
Number of Sections Adopted using Negotiated Rule Making: New 0, Amended 0, Repealed 0; Pilot Rule Making: New 0, Amended 0, Repealed 0; or Other Alternative Rule Making: New 0, Amended 0, Repealed 0.
Date Adopted: September 28, 2018.
Ruthann Bryant
Administrative Officer
AMENDATORY SECTION(Amending WSR 16-16-075, filed 7/29/16, effective 8/29/16)
WAC 292-130-020Agency descriptionContact informationPublic records officer.
(1) The executive ethics board was created by chapter 42.52 RCW to enforce the state's ethics law and rules adopted under it with respect to statewide elected officers and all other officers and employees in the executive branch, boards and commissions, and institutions of higher education.
((The executive ethics board consists of five members, appointed by the governor as follows: One member shall be a classified service employee; one member shall be a state officer or state employee in an exempt position; one member shall be a citizen selected from a list of three names submitted by the attorney general; one member shall be a citizen selected from a list of three names submitted by the state auditor; and, one member shall be a citizen at large selected by the governor.))
(2) Any person wishing to request access to public records of the executive ethics board, or seeking assistance in making such a request, should contact the public records officer of the executive ethics board:
Executive Director
Executive Ethics Board
2425 Bristol Court S.W.
P.O. Box 40149
Olympia, WA 98504-0149
360-664-0871
360-586-3955 (fax)
ethics@atg.wa.gov
Information and a request form is also available at the executive ethics board's web site at www.ethics.wa.gov. ((The office hours are 8:00 a.m. to 5:00 p.m., Monday through Friday except legal holidays and during regularly scheduled board meetings.))
(3) The public records officer will oversee compliance with the act but another executive ethics board staff member may process the request. Therefore, these rules will refer to the public records officer or "designee." ((The public records officer or designee and the executive ethics board will provide the "fullest assistance" to requestors; create and maintain for use by the public and executive ethics board officials an index to public records of the executive ethics board; ensure that public records are protected from damage or disorganization; and prevent fulfilling public records requests from causing excessive interference with essential functions of the executive ethics board.))
AMENDATORY SECTION(Amending WSR 16-16-075, filed 7/29/16, effective 8/29/16)
WAC 292-130-050Availability of public records.
(1) ((Hours for inspection of records.)) Public records are available for inspection and copying Monday through Friday, 9:00 a.m. to noon, and 1:00 p.m. to 4:00 p.m., excluding legal holidays and during scheduled board meetings. Records must be inspected at the offices of the executive ethics board. Many public records are also available for inspection and copying on www.ethics.wa.gov at any time, at no cost.
(2) ((Records index.)) An index of public records is available for use by members of the public, including final orders, stipulations and advisory opinions. The indices for these documents are available upon request.
(3) ((Organization of records.)) The executive ethics board will maintain its records in a reasonably organized manner. The executive ethics board will take reasonable actions to protect records from damage and disorganization. A requestor ((shall))must not take executive ethics board records from executive ethics board offices without the permission of the public records officer or designee. A variety of records is available on the executive ethics board web site at www.ethics.wa.gov. Requestors are encouraged to view the documents available on the web site prior to submitting a records request.
(4) ((Making a request for public records.
(a))) Any person wishing to inspect or copy public records of the executive ethics board should make the request in writing on the executive ethics board request form or through an online portal, or by letter, fax, or email addressed to the public records officer at the email address publicly designated by the executive ethics board, or by submitting the request in person at the executive ethics board office and including the following information:
(((i)))(a) Name of requestor;
(((ii)))(b) Address of requestor;
(((iii)))(c) Other contact information, including telephone number and ((any)) email address;
(((iv)))(d) Identification of the public records adequate for the public records officer or designee to locate the records; and
(((v)))(e) The date and time of day of the request.
(((b)))(5) If the requestor wishes to have copies of the records made instead of simply inspecting them, he or she should so indicate and make arrangements to pay for copies of the records or a deposit. Pursuant to WAC 292-130-110, ((standard black and white and color photocopies will be provided at fifteen cents per page))charges for copies are provided in a fee schedule available at the executive ethics board office or www.ethics.wa.gov.
(((c)))(6) A records request form is available for use by requestors at the executive ethics board office ((of the public records officer)) and online at www.ethics.wa.gov.
(((d)))(7) The public records officer or designee may accept requests for public records that contain the above information by telephone or in person. If the public records officer or designee accepts such a request, he or she will confirm receipt of the information and the substance of the request in writing.
(8) If requestors refuse to identify themselves or provide sufficient contact information, the agency will respond to the extent feasible and consistent with the law.
AMENDATORY SECTION(Amending WSR 16-16-075, filed 7/29/16, effective 8/29/16)
WAC 292-130-100Processing of public records requestsGeneral.
(1) ((Providing "fullest assistance." The executive ethics board is charged by statute with adopting rules which provide for how it will "provide full access to public records," "protect records from damage or disorganization," "prevent excessive interference with other essential functions of the agency," provide "fullest assistance" to requestors, and provide the "most timely possible action" on public records requests. The public records officer or designee will process requests in the order allowing the most requests to be processed in the most efficient manner.
(2) Acknowledging receipt of request.))Upon receipt of a request, the executive ethics board will assign it a tracking number and log it in.
(2) The public records officer or designee will evaluate the request according to the nature of the request, volume, and availability of requested records.
(3) Following the initial evaluation of the request under this subsection, and within five business days of receipt of the request, the public records officer or designee will do one or more of the following:
(a) Make the records available for inspection or copying((;
(b)))including:
(i) If the copies are available on the executive ethics board's web site, provide the internet address and link on the web site to the specific records requested;
(ii) If copies are requested and payment of a deposit for the copies, if any, is made or other terms of payment are agreed upon, send the copies to the requestor((;
(c))).
(b) Acknowledge receipt of the request and provide a reasonable estimate of when records or an installment of records will be available; or
(((d) If the request is unclear or does not sufficiently identify the requested records, request clarification from the requestor. Such clarification may be requested and provided by telephone. The public records officer or designee may revise the estimate of when records will be available; or
(e)))(c) Acknowledge receipt of the request and ask the requestor to provide clarification for a request that is unclear, and provide, to the greatest extent possible, a reasonable estimate of time the executive ethics board will require to respond to the request if it is not clarified.
(i) Such clarification may be requested and provided by telephone and memorialized in writing;
(ii) If the requestor fails to respond to a request for clarification and the entire request is unclear, the executive ethics board need not respond to it. The executive ethics board will respond to those portions of a request that are clear; or
(d) Deny the request.
(((3) Consequences of failure to respond.))(4) If the executive ethics board does not respond in writing within five business days of receipt of the request for disclosure, the requestor should ((consider contacting))contact the public records officer or designee to determine the reason for the failure to respond.
(((4) Protecting rights of others.))(5) In the event that the requested records contain information that may affect rights of others and may be exempt from disclosure, the public records officer or designee may, prior to providing the records, give notice to such others whose rights may be affected by the disclosure. Such notice should be given so as to make it possible for those other persons to contact the requestor and ask him or her to revise the request, or, if necessary, seek an order from a court to prevent or limit the disclosure. The notice to the affected persons will include a copy of the request.
(((5) Records exempt from disclosure.))(6) Some records are exempt from disclosure, in whole or in part. If the executive ethics board believes that a record is exempt from disclosure and should be withheld, the public records officer or designee will state the specific exemption and provide a brief written explanation of why the record or a portion of the record is being withheld. If only a portion of a record is exempt from disclosure, but the remainder is not exempt, the public records officer or designee will redact the exempt portions, provide the nonexempt portions, and indicate to the requestor why portions of the record are being redacted.
(((6) Inspection of records.
(a)))(7) Consistent with other demands, the executive ethics board ((shall))will promptly provide space to inspect public records. No member of the public may remove a document from the viewing area or disassemble or alter any document. The requestor ((shall))must indicate which documents he or she wishes the executive ethics board to copy.
(((b))) The requestor must claim or review the assembled records within thirty days of the executive ethics board's notification to him or her that the records are available for inspection or copying. The agency will notify the requestor in writing of this requirement and inform the requestor that he or she should contact the agency to make arrangements to claim or review the records. If the requestor or a representative of the requestor fails to claim or review the records within the thirty-day period or make other arrangements, the executive ethics board may close the request and refile the assembled records. Other public records requests can be processed ahead of a subsequent request by the same person for the same or almost identical records, which can be processed as a new request.
(((7) Providing copies of records.))(8) After inspection is complete, the public records officer or designee will make the requested copies or arrange for copying. Where executive ethics board charges for copies, the requestor must pay for the copies.
(((8) Providing records in installments.))(9) When the request is for a large number of records, the public records officer or designee will provide access for inspection and copying in installments, if he or she reasonably determines that it would be practical to provide the records in that way. If, within thirty days, the requestor fails to inspect the entire set of records or one or more of the installments, the public records officer or designee may stop searching for the remaining records and close the request.
(((9) Completion of inspection.))(10) When the inspection of the requested records is complete and all requested copies are provided, the public records officer or designee will indicate that the executive ethics board has completed a ((diligent))reasonable search for the requested records and made any located nonexempt records available for inspection.
(((10) Closing withdrawn or abandoned request.))(11) When the requestor either withdraws the request ((or)), fails to clarify an entirely unclear request, fails to fulfill his or her obligations to inspect the records ((or)), pay the deposit, pay the required fees for an installment, or make final payment for the requested copies, the public records officer or designee will close the request and, unless the agency has already indicated in previous correspondence that the request would be closed under the above circumstances, indicate to the requestor that the executive ethics board has closed the request.
(((11) Later discovered documents.))(12) If, after the executive ethics board has informed the requestor that it has provided all available records, the executive ethics board becomes aware of additional responsive documents existing at the time of the request, it will promptly inform the requestor of the additional documents and provide them on an expedited basis.
AMENDATORY SECTION(Amending WSR 16-16-075, filed 7/29/16, effective 8/29/16)
WAC 292-130-110Costs of providing copies of public recordsPayments.
(1) ((Costs for paper copies.)) There is no fee for inspecting public records((. A requestor may obtain standard black and white photocopies or color copies for fifteen cents per page. Copying fees will be waived for twenty-five or fewer photocopies.
Before beginning to make the copies, the public records officer or designee may require a deposit of up to ten percent of the estimated costs of copying all the records selected by the requestor. The public records officer or designee may also require the payment of the remainder of the copying costs before providing all the records, or the payment of the costs of copying an installment before providing that installment. The executive ethics board will not charge sales tax when it makes copies of public records.
(2) Costs for electronic records. The cost of electronic copies of records shall be one dollar for information on a CD-ROM. There will be no charge for emailing electronic records to a requestor.
(3) Costs of mailing. The executive ethics board may also charge actual costs of mailing, including the cost of the shipping container.
(4) Payment. Payment may be made by cash, check, or money order to the executive ethics board.)), including inspecting records on the executive ethics board's web site.
(2) The executive ethics board is not calculating actual costs for copying records because to do so would be unduly burdensome for the following reasons: The executive ethics board does not have the resources to conduct a study to determine its actual copying costs; to conduct such a study would interfere with other essential board functions; and the public and requestors have commented on and been informed of authorized fees and costs provided in the Public Records Act including RCW 42.56.120 and other laws. It is more cost efficient, expeditious and in the public interest for the executive ethics board to adopt the state legislature's approved fees and costs for most of the executive ethics board's records, as authorized in RCW 42.56.120 and as published in the executive ethics board's fee schedule.
(3) The executive ethics board will charge for copies of records pursuant to the default fees in RCW 42.56.120 (2)(b) and (c). The executive ethics board will charge for customized services pursuant to RCW 42.56.120(3). Under RCW 42.56.130, the executive ethics board may charge other copy fees authorized by statutes outside of chapter 42.56 RCW. The executive ethics board may enter into an alternative fee agreement with a requestor under RCW 42.56.120(4). The charges for copying methods used by the executive ethics board are summarized in the fee schedule available on the executive ethics board's web site at www.ethics.wa.gov.
(4) Requestors are required to pay for copies in advance of receiving records. Fee waivers are an exception and are available for some small requests under the following conditions:
(a) It is within the discretion of the public records officer or designee to waive copying fees when:
(i) All of the records responsive to an entire request are paper copies only and are twenty-five or fewer pages; or
(ii) All of the records responsive to an entire request are electronic and can be provided in a single email with attachments of a size totaling no more than the equivalent of one hundred printed pages. If that email for any reason is not deliverable, records will be provided through another means of delivery, and the requestor will be charged in accordance with this rule.
(b) Fee waivers are not applicable to records provided in installments.
(5) The public records officer or designee may require an advance deposit of ten percent of the estimated fees when the copying fees for an installment or an entire request, or customized service charge, exceeds twenty-five dollars.
(6) All required fees must be paid in advance of release of the copies or an installment of copies, or in advance of when a deposit is required. The executive ethics board will notify the requestor of when payment is due.
(7) Payment should be made by check or money order to the executive ethics board. The executive ethics board prefers not to receive cash.
(8) The executive ethics board will close a request when a requestor fails by the payment date to pay in the manner prescribed for records, an installment of records, or a required deposit.
AMENDATORY SECTION(Amending WSR 16-16-075, filed 7/29/16, effective 8/29/16)
WAC 292-130-130Exemptions.
(1) The Public Records Act provides that a number of types of documents are exempt from public inspection and copying. In addition, documents are exempt from disclosure if any "other statute" exempts or prohibits disclosure. ((Requestors should be aware of the following exemptions, outside the Public Records Act, that restrict the availability of some documents held by the executive ethics board for inspection and copying:
Under RCW 42.52.420 the identity of a person filing a complaint under RCW 42.52.410(1) is exempt from public disclosure as provided for in RCW 42.56.240.
(2) The executive ethics board is prohibited by statute from disclosing lists of individuals for commercial purposes.
(3)))(2) During the course of an investigation, records generated or collected as a result of the investigation may be exempt from public inspection and copying under RCW 42.56.240.
(a) The investigation is not considered complete until a case is resolved either by a stipulation and settlement that is signed by all parties; or, when the board enters a final order after a public hearing.
(b) The following records are not considered part of the investigation file and are releasable upon request:
(i) Complaints, upon receipt by the respondent;
(ii) The board staff's investigation report;
(iii) The board's findings of reasonable cause or no reasonable cause; and
(iv) Stipulations and settlements, upon receipt by the board.
AMENDATORY SECTION(Amending WSR 16-16-075, filed 7/29/16, effective 8/29/16)
WAC 292-130-140Review of denials of public records request.
(1) ((Petition for internal administrative review of denial of access.)) Any person who objects to the initial denial or partial denial of a records request may petition in writing (including email) to the public records officer or designee for review of that decision. The petition should include a copy of or reasonably identify the written statement by the public records officer or designee denying the request.
(2) ((Consideration of petition for review.)) The public records officer or designee will promptly provide the petition and any other relevant information to the chair of the board or the chair's designee. The chair or the chair's designee will immediately consider the matter and either affirm or reverse such denial within two business days following the executive ethics board's receipt of the petition, or within such other time as mutually agreed upon by the requestor and executive ethics board((, or call a special meeting of the board as soon as legally possible to review the denial)).
(3) ((Review by the attorney general's office.)) Pursuant to RCW 42.56.530, if the executive ethics board denies a requestor access to public records because it claims the record is exempt in whole or in part from disclosure, the requestor may request the attorney general's office to review the matter. The attorney general has adopted rules on such requests in WAC 44-06-160.
(4) ((Judicial review.)) Any person may obtain court review of denials of public records requests pursuant to RCW 42.56.550 at the conclusion of two business days after the initial denial regardless of any internal administrative appeal.