Advisory Opinion 97-02-1153
DDES/Post Employment Restrictions

ISSUE: HOW THE COUNTY'S POST-EMPLOYMENT RESTRICTION APPLIES TO FORMER ENGINEERS WHO MAY ASSIST APPLICANTS IN SUBMITTING PLANS TO A FORMER DEPARTMENT?

Opinion: The post-employment restrictions contained in K.C.C. 3.04.035 (B) and (C) would limit a former engineer from attempting to influence the decisions of his or her former department, or to assist others in influencing the department, either directly or indirectly as a peer reviewer for a period of one year after leaving county employment.

Statement of Circumstances: The Department of Development and Environmental Services (DDES) employs engineers in the Land Use Services Division to review applications for development in unincorporated King County. These applications typically include professional engineering work associated with the development proposal; and, this work is use throughout the review and construction process by parties associated with the application, review, construction and approval cycle.

In order to expedite the engineering review process, DDES implemented a peer review program. A list of professional engineering firms is maintained by Land Use Services, and any firm or individual who holds a professional engineering license and has a history of competent engineering work qualifies for inclusion. When an applicant decides to pursue a development project, the applicant has to option of requesting a peer review of the engineering plans, and forwards the name of a prospective peer reviewer to DDES. If the peer reviewer is approved by the department, the plans are submitted to the reviewer and returned to the department after the review is completed. The applicant pays for the peer review.

The department has asked the Board of Ethics is determine two issues:

1. To what extent is the department restricted from doing business with an applicant who submits plans composed by a former engineer employee within one year of leaving DDES employment?

2. To what extent may a former engineer employee participate as a peer reviewer within one year of leaving DDES employment?

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 deputy prosecuting attorneys with respect to their representation of defendants in criminal proceedings; and, provided further 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 1062, wherein the Board disallowed a former DDES employee from submitting residential sprinkler plans back to his former agency within the one-year post-employment restriction, the Board agreed that this restriction is intended to prevent former county employees from securing special and preferential treatment from their former agencies; and, thereby gain an unfair advantage over others. In Advisory Opinion 1090, the Board further argued that subsections 3.04.035 (B) and (C) were designed "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." To this the Board would also add that such restrictions are also intended to prevent former officials and employees from assisting others in deriving a benefit.

Based on this analysis, former engineers may not submit plans, or assist an applicant in preparing plans, that will be submitted to DDES within one year of leaving the department; nor may these former engineers act as peer reviewers during this one-year period. Such participation is an attempt to influence the decision-making process of a former department, which is prohibited under the Code of Ethics.

References: King County Code of Ethics, sections 3.04.020 (B), 3.04.035(B) and (C); Advisory Opinions 1062 and 1090.

ISSUED THIS ___________ DAY OF ___________________, 199__.

Signed for the Board: Dr. Lois Price Spratlen, Chair

Members:

Rev. Paul Pruitt
Roland Carlson
Lembhard Howell

LPS/mag

cc:

Ron Sims, King County Executive
Metropolitan King County Councilmembers
Rella Foley, Interim Director-Ombudsman, Office of Citizen Complaints
Robert I. Stier, Senior Deputy Prosecuting Attorney and Counsel to the Board of Ethics
Robert S. Derrick, Director, Department of Development and Environmental Services
Mark Carey, Manager, Land Use Services Division, DDES
Joe Miles, Supervisor, Engineering Review Services, Land Use Services, DDES