Advisory Opinion 94-9-1103
DMS/Financial Disclosure Requirements

ISSUE: WHETHER UNCOMPENSATED BOARD AND COMMISSION MEMBERS ARE "COUNTY EMPLOYEES" UNDER THE CODE OF ETHICS AND WHETHER THEY ARE SUBJECT TO THE CODE'S FINANCIAL DISCLOSURE REQUIREMENTS?

Opinion: Whether compensated or uncompensated, members of County boards, commissions, and committees, including those under the Department of Metropolitan Services, are defined as County employees under the Code of Ethics and as such are subject to the Code of Ethics. In accordance with established ethics policy, these members are required to complete financial disclosure statements pursuant to K.C.C. 3.04.050. The effective date for this requirement is January 1, 1994. Failure to comply with the Code of Ethics can result in immediate removal from appointment to a County board, committee, or commission.

Statement of Circumstances: The chair of a citizen advisory board in the Department of Metropolitan Services (Metro) has asked the Board of Ethics to clarify the following questions with regard to the Code of Ethics:

• Whether uncompensated board and commission members are subject to the Code of Ethics?
  
• Whether board and commission members who represent communities, organizations, and employers are subject to financial disclosure requirements?
  
• And, if financial disclosure statements are applicable, whether they apply to board and commission members sitting on boards prior to January 1, 1994, when Metro merged with King County?

Analysis: In determining whether uncompensated board and commission members are subject to the Code of Ethics, the Board considered the definition of "County employee" in K.C.C. 3.04.017(D) which states that a "County employee" means

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."

The definition of a County employee is therefore not dependent on whether employees, elected officials, or members of board, commissions, or committees are compensated or uncompensated, but rather whether they are established by law with responsibilities to County government and whether they render service on behalf of King County. Although members of Metro's boards and commissions were appointed by the former Metro Council, Chapter 28.01 of the King County Code provides that the operation of the Department of Metropolitan Services shall be subject to all applicable provisions of the King County Code effective January 1, 1994, while Chapter 28.04.005(C) specifically provides that all provisions of Chapter 3.04 K.C.C., Employee Code of Ethics shall apply. Therefore, members of boards, commissions, and committees within the Department of Metropolitan Services, compensated or uncompensated, are subject to the Code of Ethics.

In determining whether board and commission members are subject to financial disclosure requirements, the Board relies on the authority of K.C.C. 3.04.050 and 3.04.110 which state:

All elected county officials; employees appointed by the county executive; all employees appointed by the deputy county executive, or department directors, and who are subject to the approval of the county executive; all employees of the council; and such other public employees as may be determined by the board of ethics, shall filed with the board of ethics within ten days of employment or appointment and on or before April 15th of each year thereafter a written statement of [financial disclosure.] (3.04.050)

The board of ethics will adopt and promulgate rules and regulations delineating personnel employed by the county, not included in the Code of Ethics, who shall be required to complete and file statements of disclosure or income and investments. (3.04.110)

In previous advisory opinions, including Advisory Opinions 1002, 1005, 1022, and 1054, the Board of Ethics considered issues relating to boards and commissions with members who represented community, industry, or business concerns. In these opinions the Board underscored two basic principles of public service:

The first holds that members of County boards, commissions, and committees, as well as public employees, are charged with upholding the public interest.

The second states that when board or commission members represent a particular interest, conflicts between that interest and the public interest can arise in situations where decision-making, recommendation, or the rendering of advice could affect the economic welfare of the organizations they represent.

Financial disclosure ensures that responsible County employees and members of boards, commissions, and committees acknowledge private interests which could affect independent and impartial judgement and the ability to exercise official responsibilities on behalf of the County. The Board has relied on these principles in its administrative rules and policies which provide for financial disclosure from elected County officials, exempt, and appointed employees and officials, board and commission members, and those who award and negotiate contracts. Therefore, members of boards, commissions, and committees are County employees and are required to complete financial disclosure statements within ten (10) days of appointment and by April 15 of each year thereafter as long as they remain members.

References: King County Code of Ethics, sections 3.04.017 (D), 3.04.050, 3.04.060(B)(3), 3.04.110; K.C.C. 28.01 and 28.04.

ISSUED THIS ___________ DAY OF ___________________, 199__.

Signed for the Board: Timothy G. Edwards, Chair

Members:

Dr. J. Patrick Dobel, Chair
Timothy Edwards, Esq.
Rev. Paul Pruitt

JPD/mag

cc:

Gary Locke, King County Executive
Metropolitan King County Council Members
Carolyn Purnell, Executive Director, Metro
Carin Weiss, Deputy Director, Metro
Susan Baugh, Director–Ombudsman, Office of Citizen Complaints
Daryl Grigsby, Director, Water Pollution Control Department
Robert I. Stier, Senior Deputy Prosecuting Attorney and Counsel to the Board of Ethics
Denise Healy, Program Manager, Industrial Waste Section, WPCD
Members, Industrial Waste Advisory Board