§ 4-2-6-11 — One year restriction on certain employment or representation; advisory opinion; exceptions; waivers; disclosure statements; restrictions on inspector general seeking state office

(a) As used in this section, "particular matter"
means any of the following:
(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.
(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.
(b) 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:
(A) 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
(B) in a position to make a discretionary decision affecting the:
(i) outcome of the negotiation; or
(ii) 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.
(c) 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.
(d) 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 the individual's duties or responsibilities while a state officer, an
employee, or a special state appointee.
(e) A written advisory opinion issued by the commission certifying
that:
(1) employment of;
(2) consultation by;
(3) representation by; or
(4) 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.
(f) Subsection (b) does not apply to the following:
(1) A special state appointee who serves only as a member of an
advisory body.
(2) A former state officer, employee, or special state appointee
who has:
(A) not negotiated or administered any contracts with that
employer in the two (2) years before the beginning of
employment or consulting negotiations with that employer; and
(B) any contract that:
(i) the former state officer, employee, or special state
appointee may have negotiated or administered before the
two (2) years preceding the beginning of employment or
consulting negotiations; and
(ii) is no longer active.
(g) 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. A waiver
must satisfy all of the following:
(1) The waiver must be signed by an employee's or a special state
appointee's:
(A) state officer or appointing authority authorizing the waiver;
and
(B) agency ethics officer attesting to form.
(2) The waiver must include the following information:
(A) Whether the employee's prior job duties involved
substantial decision making authority over policies, rules, or
contracts.
(B) The nature of the duties to be performed by the employee
for the prospective employer.
(C) Whether the prospective employment is likely to involve
substantial contact with the employee's former agency and the
extent to which any such contact is likely to involve matters
where the agency has the discretion to make decisions based on
the work product of the employee.
(D) Whether the prospective employment may be beneficial to
the state or the public, specifically stating how the intended
employment is consistent with the public interest.
(E) The extent of economic hardship to the employee if the
request for a waiver is denied.
(3) The waiver must be filed with and presented to the
commission by the state officer or appointing authority
authorizing the waiver.
(4) The waiver must be limited to an employee or a special state
appointee who obtains the waiver before engaging in the conduct
that would give rise to a violation of subsection (b) or (c).
The commission may conduct an administrative review of a waiver and
approve a waiver only if the commission is satisfied that the
information provided under subdivision (2) is specifically and
satisfactorily articulated. The inspector general may adopt rules under
IC 4-22-2 to establish criteria for post employment waivers.
(h) Subsection (b) applies, subject to waiver under subsection (g),
to a former state officer, employee, or special state appointee who:
(1) made decisions as an administrative law judge; or
(2) presided over information gathering or order drafting
proceedings;
that directly applied to the employer or to a parent or subsidiary of the
employer in a material manner.
(i) A former state officer, employee, or special state appointee who
forms a sole proprietorship or a professional practice and engages in a
business relationship with an entity that would otherwise violate this
section must file a disclosure statement with the commission not later
than one hundred eighty (180) days after separation from state service.
The disclosure must:
(1) be signed by the former state officer, employee, or special
state appointee;
(2) certify that the former state officer, employee, or special state
appointee is not an employee of the entity; and
(3) state in detail the treatment of taxes, insurance, and any other
benefits between the entity and the former state officer, employee,
or state appointee.
(j) The inspector general may not seek a state elected office before
the elapse of at least three hundred sixty-five (365) days after leaving
the inspector general position.

Legislative History

As added by P.L.9-1990, SEC.9. Amended by P.L.15-1992, SEC.6; P.L.222-2005, SEC.9; P.L.89-2006, SEC.10; P.L.1-2007, SEC.3; P.L.123-2015, SEC.25.