Advisory Opinion 1130

Solid Waste/Post Employment Restrictions

ISSUE: WHAT RESTRICTIONS WOULD SECTIONS 3.04.035 (B) AND (C) OF THE CODE OF ETHICS PLACE ON A FORMER KING COUNTY PROGRAM MANAGER?

Opinion: The post-employment restrictions contained in K.C.C. 3.04.035 (B) and (C) would limit the county manager's ability to influence the Solid Waste Division, or to assist others in influencing such division, and other such county agencies where she participated in county actions relating to waste reduction and recycling. She is further restricted from working on any project or program in which she exercised contract management authority.

Pursuant to KCC 3.04.035(B), the county manager may also not do business on behalf of third parties with an agency affected by the reorganization where the primary decision-making authority is exercised by the same supervisory personnel as in her former department. The county manager may do business with other county or former Metro agencies where she exercised no official responsibilities.

Statement of Circumstances: The King County Waste Reduction and Recycling Manager plans to leave county employment and establish her own business as an independent consultant on environmental policy issues. As a program manager, she supervises all waste reduction and recycling programs and is responsible for the management of related consultant contracts. She is also a member of the Solid Waste Division's management team.

As an independent consultant, the manager expects to directly contract with public agencies on small contracts, and to subcontract to large consulting firms for larger contracts. It is likely that some of these contracts will entail work with the Department of Development and Environmental Services and the Surface Water Management Division. Under the new reorganization plan, which will take effect on January 1, 1995, the Solid Waste and Surface Water Management Divisions will become part of the newly established Department of Natural Resources, but will remain separate divisions. The Department of Development and Environmental Services will remain intact, but will add an urban and rural planning division, and a growth management, economic development, and housing division.

The question posed to the Board is how the post-employment restrictions contained in the Code of Ethics will affect the county manager due to the proposed reorganization?

Analysis: Section 3.04.035 (B) of the Code of Ethics provides in relevant part that:

All other county employees are prohibited from attempting to influence for compensation their former departments within one year after termination of employment…provided that such prohibition shall not apply to former career service employees whose termination of county employment is solely the result of a reduction of force due to lack of work, lack of funds, or considerations of efficiency so long as such former employee does not participate in work related to any application, permit, approval or contract on which, while a county employee, he or she personally participated or acquired information in the course of official duties which is not available as a matter of the public knowledge or public record. For two years after leaving the county's employ, former employees are required to disclose past county employment prior to participation in any county action;

while section (C) provides that:

No former county employee may assist any person for compensation or share in compensation received by any person on matters concerning which the former employee is prohibited from participating personally. (Ord. 10841 1, 1993: Ord. 9704 5, 1990: Ord. 6144 2, 1982). In Advisory Opinion 1090, the Board clearly stated that the intent of sections 3.04.035 (B) and (C) was "not to unduly restrict the activities of all former County employees who might want to conduct business with the County, but rather to maintain the public's confidence that former officials and employees will not derive a direct personal benefit from actions and decisions made while they were public employees."

In this case, pursuant to KCC 3.04.035(B), the county manager would be restricted from doing business on behalf of third parties, with her former division and any other county agencies dealing with waste recycling and reduction if she was a participant in county actions. She would further be limited in doing any work on behalf of third parties, either as an independent consultant, or as a subconsultant, on any project or program in which she exercised contract management authority as a county employee. Contract management authority is defined by the Board as personal involvement in, or direct or indirect supervisory responsibility for, the formulation and execution of a contract, including without limitation the preparation of specifications, evaluation of bids or proposals, negotiation of contract terms or the supervision and monitoring of performance. The county manager would further be restricted from doing work with an agency affected by the reorganization where the primary decision-making authority is exercised by the same supervisory personnel as in her former department. These restrictions would be for a one-year period beginning with the date the county manager leaves county employment. The county manager would not be restricted in doing work for county or former Metro agencies where she exercised no official responsibilities.

References: King County Code of Ethics, sections 3.04.020 (B), 3.04.035(B) and (C); Advisory Opinion 1090; King County Code, chapter 10.14; Proposed Ordinance 95–548 relating to the reorganization of county agencies.

ISSUED THIS ___________ DAY OF ___________________, 199__.

Signed for the Board: Dr. J. Patrick Dobel, Chair

Members:

Dr. J. Patrick Dobel, Chair
Timothy Edwards, Esq.
Rev. Paul Pruitt
Ron Carlson
Dr. Lois Price Spratlen

JPD/mag

cc:

Gary Locke, King County Executive
Metropolitan King County Councilmembers
Jan Davies, Interim Director-Ombudsman, Office of Citizen Complaints
Robert I. Stier, Senior Deputy Prosecuting Attorney and Counsel to the Board of Ethics
Paul Tanaka, Director, Department of Public Works
Susan Gulick, Manager, Waste Reduction and Recycling Program, Solid Waste
Gary Kiyonaga, Administrative Services Manager, Department of Public Works