WSR 97-07-058
PERMANENT RULES
EXECUTIVE ETHICS BOARD
[Filed March 18, 1997, 11:17 a.m.]
Date of Adoption: March 14, 1997.
Purpose: To establish criteria for imposing sanctions and monetary penalties when a violation of chapter 42.52 RCW by a state officer or state employee is found.
Statutory Authority for Adoption: RCW 42.52.360 (2)(e)-(g).
Adopted under notice filed as WSR 97-03-133 on January 22, 1997.
Changes Other than Editing from Proposed to Adopted Version: WAC 292-120-040 Payment of civil penalty, the payment due date is changed from thirty to forty-five days, and language is added to allow the board to grant an extension.
Effective Date of Rule: Thirty-one days after filing.
March 18, 1997
Barbara Cook
Board Secretary
NEW SECTION
WAC 292-120-010 Purpose. The purpose of this rule is to set out
the criteria that the board may consider when imposing sanctions for a
violation of chapter 42.52 RCW and the rules adopted under it.
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NEW SECTION
WAC 292-120-020 Board may impose sanctions. If the board finds a violation of chapter 42.52 RCW or rules adopted under it, the board may impose one or more of the following sanctions:
(1) Reprimand, either by letter of instruction or formal reprimand;
(2) Recommend to the appropriate authorities suspension, removal from the position, or prosecution or other appropriate remedy;
(3) A civil penalty of up to five thousand dollars per violation or three times the economic value of any thing sought or received in violation of chapter 42.52 RCW or rules adopted under it, whichever is greater. Payment of the civil penalty shall be reduced by the amount of costs paid pursuant to subsection 5;
(4) Payment of damages sustained by the state that were caused by the violation and were not recovered by the state auditor;
(5) Costs, including reasonable investigative costs, that do not exceed the amount of any civil penalty;
(6) Recommend to the governor and the appropriate agency that they request the attorney general bring an action to cancel or rescind action taken by the violator, upon a board finding that:
(a) The violation has substantially influenced the state action; and
(b) Interests of the state require cancellation or rescission.
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NEW SECTION
WAC 292-120-030 Criteria for determining sanctions. In determining the appropriate sanction, including the amount of any civil penalty, the board may consider the nature of the violation and the extent or magnitude or severity of the violation, including:
(1) The monetary cost of the violation including:
(a) The cost of the violation to the state;
(b) The value of anything received or sought in the violation;
(c) The amount of any damages incurred by the state as a result of the violation;
(d) The costs incurred in enforcement, including reasonable investigative costs;
(2) The nature of the violation including whether the violation:
(a) Was continuing in nature;
(b) Was motivated by financial gain;
(c) Involved criminal conduct;
(d) Impaired a function of the agency;
(e) Tended to significantly reduce public respect for or confidence in state government or state government officers or employees;
(f) Involved personal gain or special privilege to the violator;
(3) Aggravating circumstances including whether the violator:
(a) Intentionally committed the violation with knowledge that the conduct constituted a violation;
(b) Attempted to conceal the violation prior to the filing of the complaint;
(c) Was untruthful or uncooperative in dealing with the board or the board's staff;
(d) Had significant official, management, or supervisory responsibility;
(e) Had committed prior violations found by the board;
(f) Incurred no other sanctions as a result of the violation;
(4) Mitigating factors including:
(a) Prior corrective action taken against the violator;
(b) Prior recovery of damages to the state;
(c) The unethical conduct was approved or required by the violator's supervisor or agency;
(d) The violation was unintentional;
(e) Other mitigating factors deemed relevant by the board.
(5) For purposes of this section, each act which violates one or
more provisions of chapter 42.52 RCW, or rules adopted under it, may
constitute a separate violation.
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NEW SECTION
WAC 292-120-040 Payment of civil penalty. Payment of any monetary
penalty assessed by the board must be made within 45 days of the date of
the board's order, unless an extention is granted by the board.
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Reviser's note: The spelling error in the above section occurred in the copy filed by the agency and appears in the Register pursuant to the requirements of RCW 34.08.040.