Would it violate the Ethics Code for a County employee, whose job involves the reviewing and processing of forms and applications prepared by the public, to obtain employment in the private sector shortly after her retirement from County employment, if, in her private employment, she would work on, and prepare for filing with her former County office, the type of forms and applications she reviews and processes in her County position.

           Assuming the applicability of the post-employment restrictions of the Ethics Code, in this instance, it would not violate the Ethics Code for a County employee, whose job involves the reviewing and processing of forms and applications prepared by the public, to obtain employment in the private sector shortly after retirement from County employment, working on the type of forms and applications she reviews and processes in her current County position. There is no violation of the post-employment section of the Ethics Code in such instance, since in her capacity as a County employee, she would not have (1) given an opinion; (2) conducted an investigation; or (3) otherwise been directly and materially responsible for such matter in the course of her official duties.

          The requesting party is a County row office employee whose job involves the reviewing and processing of forms and applications filed by the public. Her job requires her to meet with members of the public and provide general instructions as to how the forms and applications are to be completed. In so doing, she guides members of the public through the paperwork to ensure it is comnpieted in a manner set forth by her office. She is, however, prohibited from providing the information necessary to complete the paperwork, from rendering an opinion as to how such information can be gathered and from providing any legal advice. As such, her job responsibilities are primarily ministerial in nature. She has advised the Commission that she has not obtained any confidential information in the course of her official duties with the County.

 

          The County employee will soon be retiring from the County. She wishes to obtain employment in the private sector within two years of her retirement from the County. Her proposed post-County employment would involve the preparation of, and assisting with the filing with her current office, the type of forms she currently reviews and processes for the County.

          The New Castle County Ethics Code post-employment restriction, Section 2.03.103(D), states:

 

No person who has served as a County employee or County official shall represent or otherwise assist any private enterprise on any matter involving the County for a period of two (2) years after termination of employment or official status with the County, if the person gave an opinion, conducted an investigation or otherwise was directly and materially responsible for such matter in the course of official duties as a County employee or official. Nor shall any former County employee or County official disclose confidential information gained by reason of public position nor shall the person otherwise use such information for personal gain or benefit.

          Assuming the applicability of this section to the requesting party ¹, the initial query posed by the request is whether, in her proposed private post-County employment, the requesting party would be representing or assisting a private enterprise on any matter that she may have, as a County employee: (1) given an opinion; (2) conducted an investigation; or (3) otherwise was directly and materially responsible for. In making such inquiry, it is noteworthy that her private sector employer would qualify as a "private enterprise"². The determination of whether the employee's work, either generally as to the type of forms and applications she processes or specifically as to a particular form or application, constitutes a "matter" may also be relevant to the inquiry. The second query posed by the request is whether the County employee would disclose any confidential information she may have obtained by reason of her County position or use any such confidential information for her personal gain or benefit.

 

          With regard to the first two prongs of the first issue, the Commission finds that the requesting party's job responsibilities do not require her to give opinions or conduct investigations. Indeed, the requesting party' sj ob responsibilities are primarily ministerial and involve very little discretion. While the requesting party may provide instruction, or indicate to members of the public that various documents or items are needed to effectuate a proper filing, such responsibilities are not akin to "giving an opinion" or "conducting an investigation". She specifically testified that she is prohibited in her current employment from advising users of her office what specific information should be placed on a form. With regard to the third prong of the first issue, i.e., whether the requesting party would, in her post-County employment, be assisting or representing a private enterprise with a matter for which she was "directly and materially responsible" in the course of her official County duties, the Commission notes that her job responsibilities do require her to review and process the type of forms and applications she would work on in her proposed post-County employment. The Commission finds, however, that due to the ministerial and routine nature of her job, and the lack of any other factors, she is not deemed, under the facts presented, to be "directly and materially responsible" for such "matter". This finding is reached, whether "matter" is construed broadly, so as to encompass all forms and applications of the type she processes, or construed narrowly, such as to apply only to a specific application or form which has been filed by a particular individual. While it is unlikely that the County employee, in her private sector employment, may be required to work on a particular filing she administered in her County job, even if such were to occur, she would not be precluded from working on such matter, as the Commission finds the responsibility she has in her County job regarding such matters is not "direct and material".

 

          With regard to the second issue presented, i.e., whether the County employee would disclose confidential information or use it for personal gain or benefit, the requesting party stated that she does not possess any confidential information by reason of her County employment. Accordingly, no issue is presented regarding her disclosing or personally benefitting from use of such information. Of course, should the employee come into possession of confidential information, she would be prohibited in her new employment from using such information for her gain or the gain of her new employer.

 

² Section 2.03.102 of the New Castle County Ethics Code defines "private enterprise" as:

 

³ Section 2.04.102(1) of the Ethics Code states, in significant part: