This section provides guidance on laws, policies, and procedures to be followed when contracting with current and former New York State employees.

CONTRACTING WITH FORMER NYS EMPLOYEES

In accordance with Public Officers Law §73(8)(a) (POL 73), former State employees are subject to certain post-employment restrictions. These restrictions include a two-year bar and a lifetime bar.

Under the two-year bar, former State employees are prohibited from:

• appearing or practicing before their former agency/authority in an effort to influence a decision of, or action by their former agency/authority, or gaining information from their former agency that is not generally available to the public; and
• rendering services for compensation, in relation to any case, proceeding, application, or other matter before their former agency/authority.

Under the special two-year bar for Executive Chamber employees, former Executive Chamber employees are prohibited from:

• appearing or practicing before the Executive Chamber and any agency/authority in an effort to influence a decision of, or action by their former agency/authority, or gaining information from their former agency that is not generally available to the public.

Under the lifetime bar, former State employees are prohibited from:

• appearing or practicing before their former agency/authority or receiving compensation for services regarding any transaction with respect to which they were directly concerned with and in which they personally participated or was under their active consideration during their tenure with the State.

When contracting with an individual for the rendering of consulting, representational, advisory or other services, agencies and authorities must determine whether such individual was a State employee and, if so, whether contracting with such individual will result in a potential conflict as defined in POL 73.

However, the Commission on Ethics and Lobbying in Government recognizes there are instances when a former State employee is necessary to fulfill a particular need. Per POL 73, Commission on Ethics and Lobbying in Government is authorized to grant exceptions to the two-year or lifetime bar.

Prior to engaging a former State employee with a potential conflict as defined in POL 73 for the rendering of consulting, representational, advisory or other services, the agency or authority head must submit a written certification to Commission on Ethics and Lobbying in Government detailing the reasons why this individual has specific expertise, knowledge or experience to a particular matter and that the agency/authority has been unable to identify an alternate candidate at a comparable cost. All written certification requests must be submitted to Commission on Ethics and Lobbying in Government for review and approval.

To submit a written certification request or if you have questions regarding certifications, contact Commission on Ethics and Lobbying in Government at:

Commission on Ethics and Lobbying in Government
540 Broadway
Albany, New York 12207

1-800-87ETHIC (1-800-873-8442)

[email protected]

OSC Review:

If Commission on Ethics and Lobbying in Government grants an exception, the agency or authority must include the approved certification as part of the procurement record when submitting the contract to OSC’s Bureau of Contracts for approval.

CONTRACTING WITH CURRENT NYS EMPLOYEES

State agency managers should determine whether a vendor is a State employee. Public Officers Law, section 73 (4)(a) states that:

[n]o statewide elected official, state officer or employee, member of the legislature, legislative employee or political party chairman or firm or association of which such person is a member, or corporation, ten per centum or more of the stock of which is owned or controlled directly or indirectly by such person, shall (i) sell any goods or services having a value in excess of twenty-five dollars to any state agency. . .unless such goods or services are provided pursuant to an award or contract let after public notice and competitive bidding.

Agency managers should:

• Implement controls to ensure compliance with Section 73 of the Public Officers Law.
• Ensure that all employees are familiar with the provisions of the Public Officers Law, especially section 73 (4)(a).

To ensure compliance with the Public Officers Law, the Office of the State Comptroller will continue to monitor State employees who are doing business with the State.

Guide to Financial Operations

REV. 01/19/2021