Advisory Opinion 95-11-1133

Board of Ethics/Nepotism

ISSUE: WHETHER NEPOTISM CONSTITUTES A CONFLICT OF INTEREST UNDER THE CODE OF ETHICS?

Opinion: The King County Board of Ethics finds that nepotism is a conflict of interest based on familial relationship or domestic partnership, and is inconsistent with the basic principles of the Code of Ethics. Nepotism occurs whenever a county employee participates, directly or indirectly, in a county action which affects the interests of a close relative or domestic partner. Such actions include employment decisions relating to hiring, appointment, reappointment, classification, reclassification, evaluation, promotion, transfer, discipline, supervision, or pay increases.

Under the Code of Ethics, county employees are responsible for identifying potential conflicts of interest based on nepotism and for notifying their supervisors or appointing authorities in writing of such potential conflicts. Supervisors and appointing authorities are responsible for disposing of these conflicts in writing or, in circumstances where it can be demonstrated that routine measures to dispose of the conflict are not in the county's best interests, referring such cases to the Board of Ethics for a formal advisory opinion.

Analysis: The legislative intent of Chapter 3.04, the Employee Code of Ethics, is "that the private conduct and financial dealings of public officials and employees and of candidates for public office should present no actual or apparent conflict of interest between the public trust and private interest; and, that public confidence is sustained by establishing and enforcing rules that ensure the impartiality and honesty of officials and employees in all public transactions and decisions." (K.C.C. 3.04.015) The Board of Ethics believes that the practice of nepotism is inconsistent with the policy intent of the Code of Ethics, and clearly creates situations where independent judgement and impartial decision-making may be called into question.

The Board therefore declares nepotism to be a conflict of interest based on familial relationship and as such it violates the Code of Ethics.

With nepotism established as a conflict of interest, the Board clarifies the following issues for county officials and employees: Which family relationships would create a nepotism situation? What guidelines or principles need to be followed to remedy nepotism? What is the responsibility of county employees and management with regard to potential or existing nepotism? And, how should county agencies handle unique or fact-specific nepotism issues?

Family Relationships Which Create Nepotism Situations

The Code of Ethics already prohibits close relatives from serving on the same board or commission [K.C.C. 3.04.030(P)], and delineates which relatives are affected by this provision. Close relatives include husband, wife, father, father-in-law, mother, mother-in-law, brother, brother-in-law, sister, sister-in-law, son, son-in-law, daughter, daughter-in-law, niece, nephew, grandparent, grandchild, uncle, and aunt.

The Board believes that the standards applied to public citizens who serve on county boards and commissions should not be more stringent than those applied to county employees. The Board therefore applies the definition of close relative contained in K.C.C. 3.04.030(P) to nepotism situations, and adds domestic partners and their children, and step- and adopted children. By "domestic partner," the Board fully incorporates the definition contained in K.C.C. 3.12.010(15).

Principles and Guidelines

Nepotism is inconsistent with several of the basic principles of the Code of Ethics, including the need to maintain independent judgement, to exercise impartial decision-making, and to ensure private interest or personal benefit does not override the public's interest. In addition, nepotism creates situations which can give the appearance of improper influence or favor. The following guidelines are based on the principle that no county employee should participate in any matter which directly or indirectly affects the interests of a close family member or domestic partner, who is also a county employee, including:

1. advocating or participating in, or causing the employment, appointment, reappointment, classification, reclassification, evaluation, promotion, transfer, or discipline of a close family member or domestic partner in a county position, or in an agency over which he or she exercises jurisdiction or control;
2. participating in the determination of a close family member's or domestic partner's compensation;
3. delegating any tasks relating to employment, appointment, reappointment, classification, reclassification, evaluation, promotion, transfer, or discipline of a close family member or domestic partner to a subordinate; and,
4. supervising, directly or indirectly, a close family member or domestic partner, or delegating such supervision to a subordinate.

Responsibility and Accountability of Managers, Supervisors, and County Employees

The Board of Ethics understands that while management has an affirmative obligation to address nepotism when it occurs in the workplace, management may also not be aware of specific family or domestic partnership relationships which may create situations where nepotism occurs. The Code of Ethics places responsibility for identifying and addressing conflict of interest issues with both county employees and supervisors, managers, or appointing authorities. Subsection 3.04.037 provides that:

Any employee who becomes aware that he or she may have a potential conflict of interest which arises in the course of his or her official duties shall notify in writing his or her supervisory or appointing authority of such conflict.

Upon receipt of such notification the supervisor or [appointing] authority shall take action to resolve the potential conflict of interest, including but not limited to designating within a reasonable time an alternative employee to perform the duty which is involved in the potential conflict. The disposition of the potential conflict shall be stated in writing in files maintained by the supervisor or official. The supervisor or official may request an advisory opinion from the board of ethics before disposing of such potential conflict.

Because it is the county employee who is most aware of a family or domestic partner relationship, the responsibility rests with that employee to inform management of a potential conflict of interest based on such relationship. If an employee informs management in writing of a potential conflict of interest, his or her responsibilities would be considered as having met the intent of the Code of Ethics and this advisory opinion. Once a county employee has acknowledged a potential conflict based on a familial relationship or domestic partnership, supervisors, managers, or appointing authorities are obligated under the Code of Ethics to take such measures as are necessary to remove the conflict. These measures must be designated in writing to meet the intent of the Code of Ethics and this advisory opinion.

Role of the Board of Ethics

Pursuant to K.C.C. 3.04.037, supervisors and appointing authorities are advised to request an advisory opinion from the Board of Ethics when they have exhausted all available avenues to dispose of a potential conflict of interest, including those resulting from nepotism. This course of action would also apply to nepotism situations which involve unique or fact-specific circumstances. These would be circumstances where it can be demonstrated that it is not in the county's interest to dispose of the conflict through routine measures.

References: King County Code of Ethics, sections 3.04.015, 3.04.030(P), 3.04.037, and 3.04.100; King County Code Personnel Guidelines, subsection 3.12.010(15).

ISSUED THIS ___________ DAY OF ________________, 199__.

Signed for the Board: Timothy G. Edwards, Chair

Members:

Timothy Edwards, Esq.
Rev. Paul Pruitt
Ron Carlson
Dr. Lois Price Spratlen

TGE/mag

cc:

Gary Locke, King County Executive
Metropolitan King County Councilmembers
David Krull, Director-Ombudsman, Office of Citizen Complaints
Robert I. Stier, Senior Deputy Prosecuting Attorney and Counsel to the Board of Ethics
All County Departments and Divisions