Opinion ID: 2592090
Heading Depth: 1
Heading Rank: 2

Heading: The Act's Revolving Door Provisions

Text: In general, the purpose of revolving door provisions such as those at issue here is to prevent former government employees from unfairly profiting from or otherwise trading upon the contacts, associations and special knowledge that they acquired during their tenure as public servants ( see , Note, Curbing Influence Peddling , op. cit. , at 1062; see also , ABA Committee on Ethics and Professional Responsibility, Formal Opn No. 342 [1975], reprinted in ABA, Formal and Informal Opinions, Standing Committee on Ethics and Professional Responsibility 110, 120). The underlying premise is that [f]ormer officers should not be permitted to exercise undue influence over former colleagues, still in office, in matters pending before the agencies [and] they should not be permitted to utilize information on specific cases gained during government service for their own benefit and that of private clients. Both are forms of unfair advantage (Pub L 95-521 [Ethics in Government Act], Sen Rep No. 95-170, reprinted in 1978 US Code, Cong & Admin News 4216, 4247). New York's first revolving door rules applied only to State officers and employees within the executive branch (Public Officers Law § 73 [former (4)]). In 1965, the coverage of the revolving door rules was somewhat expanded (L 1965, ch 1012, § 2, as amended by L 1968, ch 420, § 244, codified at Public Officers Law § 73 [former (7)]). Under the revolving door provisions that existed just prior to the enactment of the 1987 Ethics in Government Act, former heads and deputy heads of regulatory agencies were prohibited from receiving contingency fees for appearing before their former agencies on a variety of matters, and all former State officers and employees were prohibited from appearing before their former agencies on matters in which they had been directly involved, but only for a period of two years after their separation from State service ( see , Public Officers Law § 73 [former (7)]). Former legislators could not receive compensation for their appearances before the Legislature, but no similar restrictions were imposed on former legislative employees (id.) . The 1987 Act tightened these restrictions in several important respects. For the first time, certain former legislative employees, i.e., those covered by the financial disclosure requirements of Public Officers Law § 73-a, were barred from engaging in lobbying, for compensation, on matters in which they were directly involved during their tenure with the Legislature (Public Officers Law § 73 [8]). This prohibition, however, applies only for the remainder of the legislative term in which the employee's service to the Legislature was terminated (id.) . [2] In contrast, the duration of the statutory ban on severed executive branch employees [3] practicing before their former agencies on matters in which they were directly involved during their government service was extended to a lifetime disqualification (id.) . Further, a new postemployment limitation was added which prohibits such employees from appearing or practicing before their former agencies in relation to any case, proceeding or application or other matter for a period of two years after their State service has been terminated (emphasis supplied).