Revolving Door Restrictions
Leaving State Service
The following general description of the "revolving door" statute, which applies to all State employees after they leave government service, is intended only as a guide, and should not be considered to be a comprehensive legal document. The questions that arise under this law can be complex and difficult. Employees, both before and after they leave State service, may call the New York State Commission on Public Integrity at 518-408-3976 or 1-800-873-8442. The Commission's assistance is confidential.
The revolving door statute is designed to keep former State employees from using their former government connections to benefit themselves, their clients or the business for which they work after leaving State government. It does this (1) by restricting for two years the contacts they can have with the agency where they worked and (2) by restricting the work they can do on matters on which they worked while in State service. The first restriction is known as "the two year bar" and the second as "the lifetime bar."
The Two-Year Bar
The Public Officers Law prohibits all former State employees from "appearing or practicing" before their former agencies for two years after they leave their State jobs. The Commission has interpreted "appear" to include more than a physical appearance at an agency office. It means that former State employees may not write letters to the former agency, prepare or submit contract proposals to the agency, call agency staff on official business or review agency files. The bar on practicing means they may not represent a client before the agency. For example, they may not handle reviews or audits performed by the agency.
The two year bar also prohibits former employees from rendering services for compensation on a matter before the agency. This means that a former State employee cannot, as part of his or her job, work on a specific matter which will be presented to the same agency. Such "back room" work is barred even if the employee does not appear before the agency or put his or her name on a piece of paper that is submitted to the agency.
The restrictions of the two year bar apply to appearing, practicing or working on matters only before an employee's former agency. They do not prohibit any activity involving other agencies of State government or any other government.
The Lifetime Bar
Former State employees may never appear before any agency or be paid for work on matters or transactions in which they were directly concerned and personally participated while working in State government. This rule prohibits appearances before any government body, including the State Legislature, Congress, and federal, State and local executive branch agencies, where an appearance relates to a matter on which the employee worked while with the State.
The critical issue is whether the matter or transaction on which the individual is working is the same as one on which he or she worked while with the State. In its advisory opinions, the Commission has determined that bills introduced in different legislative sessions may constitute the same transaction, particularly when they affect the same or substantially the same population and present the same issues. Programs that affect the same or substantially the same population, provide the same or substantially the same service and have the same goals are considered the same transaction for purposes of the law, even when funding sources and procedures may change.
Most of these situations are based on the specific facts involved, and the Commission determines each matter presented to it on a case by case basis.
Exceptions
None of the above rules applies to former State employees who become employees of the federal government or any State or local government. They do apply to former State employees working as paid consultants to a government.
The Commission also has permitted some "ministerial" matters without finding a violation of law. For example, a former employee of the State Department of Motor Vehicles may renew her automotive registration, and a former employee of the State Department of Environmental Conservation may obtain a fishing license. In these cases, the former State employee was allowed to appear before his or her agency within two years of leaving State service.
A more detailed article is available by mail and on the web.