Post-Employment Restrictions

Summary of the Rule

Don’t go to work for a company that did work for you as a state employee.

Examples of the Rule

• You are an employee of FSSA and would like to leave your state employment to work for a vendor that has a contract with FSSA. While you did not negotiate the contract, you were personally responsible for arranging meetings and performing research related to the contract. If you leave your state employment to work for the vendor, you cannot work on the contract the vendor has with FSSA.


• You work for the Utility Regulatory Commission making regulatory decisions concerning a public utility company. You may not work for this utility company for a year.


• You work for FSSA and have decided to start a family automotive parts business with your son. You may commence such employment immediately upon leaving your employment with the state.


• You are a Deputy Commissioner at INDOT. You participate in deciding which engineering firms should be awarded contracts. You resign from INDOT. You may not work at any of these firms for a year.


• You are a caseworker for FSSA. You help clients receive job training and welfare benefits from the state. You resign from FSSA and become an attorney. One of your former clients comes to you for advice because their new caseworker lowered their welfare benefits. You may not assist the person in that matter.

Past Advisory Opinions on the Rule

• 07-I-6, July 12, 2007
• 07-I-8, July 12, 2007
• 07-I-2, April 12, 2007
• 06-I-4, January 30, 2006
• 06-I-8, May 11, 2006
• 06-I-12, May 11, 2006
• 06-I-15, June 8, 2006
• 06-I-16, August 15, 2006
• 06-I-17, July 13, 2006
• 06-I-18, July 13, 2006

The Rule: 42 IAC 1-5-14 Post-Employment Restrictions

1. As used in this section, "particular matter" means:
   1. an application;
   2. a business transaction;
   3. a claim;
   4. a contract;
   5. a determination;
   6. an enforcement proceeding;
   7. an investigation;
   8. a judicial proceeding;
   9. a lawsuit;
   10. a license;
   11. an economic development project; or
   12. a public works project.
       The term does not include the proposal or consideration of a legislative matter or the proposal, consideration, adoption, or implementation of a rule or an administrative policy or practice of general application.
2. This subsection applies only to a person who served as a state officer, employee, or special state appointee after January 10, 2005. A former state officer, employee, or special state appointee may not accept employment or receive compensation:
   1. as a lobbyist;
   2. from an employer if the former state officer, employee, or special state appointee was:
      1. engaged in the negotiation or the administration of one (1) or more contracts with that employer on behalf of the state or an agency; and
      2. in a position to make a discretionary decision affecting the:
         1. outcome of the negotiation; or
         2. nature of the administration; or
   3. from an employer if the former state officer, employee, or special state appointee made a regulatory or licensing decision that directly applied to the employer or to a parent or subsidiary of the employer; before the elapse of at least three hundred sixty-five (365) days after the date on which the former state officer, employee, or special state appointee ceases to be a state officer, employee, or special state appointee.
3. A former state officer, employee, or special state appointee may not represent or assist a person in a particular matter involving the state if the former state officer, employee, or special state appointee personally and substantially participated in the matter as a state officer, employee, or special state appointee, even if the former state officer, employee, or special state appointee receives no compensation for the representation or assistance.
4. A former state officer, employee, or special state appointee may not accept employment or compensation from an employer if the circumstances surrounding the employment or compensation would lead a reasonable person to believe that:
   1. employment; or
   2. compensation;
      is given or had been offered for the purpose of influencing the former state officer, employee, or special state appointee in the performance of his or her duties or responsibilities while a state officer, an employee, or a special state appointee.
5. A written advisory opinion issued by the commission certifying that:
   1. employment of;
   2. representation by; or
   3. assistance from;
      the former state officer, employee, or special state appointee does not violate this section is conclusive proof that a former state officer, employee, or special state appointee is not in violation of this section.
6. Subsection (b) does not apply to a special state appointee who serves only as a member of an advisory body.
7. An employee's or a special state appointee's state officer or appointing authority may waive application of subsection (b) or (c) in individual cases when consistent with the public interest. Waivers must be in writing and filed with the commission. The inspector general may adopt rules under IC 4-22-2 to establish criteria for post-employment waivers.
8. Subsection (b) does not apply to a special state appointee who:
   1. was a special state appointee before January 10, 2005; and
   2. is a special state appointee after January 9, 2005.

This subsection expires January 1, 2007.