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| Advisory Opinion 24-04KRS 11A.040 prohibits a former Division Director of the Division of Water for the Commonwealth of Kentucky from taking a job with a consulting firm with which he approved ongoing state contracts and projects.
DECISION QUALIFIED: For one year from the termination of state service, KRS 11A.040(6) prohibits officers, or public servants listed in KRS 11A.010(9)(a) to (g), from "enjoying" the benefits of any contract awarded by their agency to a consulting firm with which they are seeking employment. Further, KRS 11A.040(7) prohibits officers, or public servants listed in KRS 11A.010(9)(a) to (g), from accepting employment, compensation, or other economic benefit from any person or business that contracts or does business with, or is regulated by, the state in matters the officer was directly involved in during the last 36 months of their state service. However, KRS 11A.040(7) also contains a limited exception for an individual to return to the same business, firm, occupation, or profession they held prior to state service, or for which they had received a professional degree or license prior to state service.
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| Advisory Opinion 21-05Within limits, a public servant in a non-officer position may accept employment with a company that has a contract with his former agency without violating the post-employment provisions contained in KRS 11A.040(6)-(9). Within limits, a public servant in a non-officer position may serve as an expert witness for his former agency through a contract with his new employer who has other current contracts with the public servant’s former agency. |
| Advisory Opinion 21-07A former public servant in an officer position may work for a company that has a current contract with the public servant’s former agency if the contract does not result in the contractor receiving state funds. Because the contractor is not “doing business with” the former public servant’s agency, the post-employment provisions in KRS 11A.040(7) would not prohibit the former public servant from accepting the employment during the first year after state service. However, the public servant must limit his contacts with his former agency in compliance with the provisions of KRS 11A.040(9). |
| Advisory Opinion 20-02As defined in 9 KAR 1:025, Section 1(4), a contract for a 2020 construction project (Contract) in Henderson, Kentucky, to complete a section of the I-69 Ohio River Crossing is considered to be a separate “matter” from a 2016 agreement between Kentucky and Indiana (Agreement) to complete the environmental studies and preliminary development of the I-69 Ohio River Crossing for the application of the post-employment rules in KRS 11A.040(6) through (9). A former officer may be listed as a point of contact on the Contract during his first year post-employment without violating KRS 11A.040(6) through (9) as long as he abides by KRS 11A.040(9) in limiting any contacts he has with KYTC concerning the Agreement. The former officer may also work on the Contract during his first year post-employment without violating KRS 11A.040(6) through (9) as long as he abides by KRS 11A.040(7) and abstains from working on the Agreement and abides by KRS 11A.040(9) and avoids contacts with KYTC concerning the Agreement. |
| Advisory Opinion 19-11An officer and public servant serving in various roles of major management in the prior three years of state service seeks post-employment advice pursuant to KRS 11A.040(6) - (9). |
| Advisory Opinion 17-05Public servants in the position of Policy Research Consultant at the Public Service Commission are not considered officers as that term is defined in KRS 11A.010(7). |
| Advisory Opinion 17-06A public servant in a non-officer position may accept employment as a manager of a property owned by a company that has a contract with his former agency immediately after retiring from the executive branch of state government without violating the post-employment provisions contained in KRS 11A.040(6)-(9); however, that same public servant must abide by the post employment provisions applying to all public servants contained in KRS 11A.040(8) and (9). |
| Advisory Opinion 16-04Because a public health department is not considered a "person" or "business" as defined by the Executive Branch Code of Ethics, a public servant and officer working for the Cabinet for Health and Family Services may immediately go to work for a local public health department without violating the post-employment provisions applicable to officers and is therefore not required to abstain from matters involving the Cabinet for Health and Family Services for any amount of time after beginning employment with the local public health department. |
| Advisory Opinion AO 15-03With certain limitations, a public servant who is not an officer, may within a year after leaving state employment, provide sign language interpreter services to his former state agency while working for his new employer on a contract with his former state agency in which he was directly involved during his last thirty-six months of employment. |
| Advisory Opinion 14-02Based on both the characteristics of the job and the examples of duties or responsibilities of the job classification, a former Assistant State Highway Engineer in the Kentucky Transportation Cabinet is considered an “officer” as that term is defined in KRS 11A.010(7) and must comply with the post employment restrictions applicable to "officers" within the Executive Branch Code of Ethics. |
| Advisory Opinion 09-06For a period of one year, a former employee may not work for a private company that seeks to do business with the employee's former agency on matters in which the employee was directly involved during the last thirty-six months of his tenure. |
| Advisory Opinion 09-05The Deputy Secretary of the Tourism, Arts, and Heritage Cabinet may accept employment with the World Games 2010 Foundation, Inc. ("Foundation"), because the Tourism, Arts, and Heritage Cabinet is not doing business with the Foundation, nor is the Foundation regulated by the Commonwealth. |
| Advisory Opinion 08-29A Division Director who is a licensed attorney but who had no attorney responsibilities for the agency may return to private law practice and immediately begin to represent clients before his former agency, provided that he refrains for a period of one year from participation in matters in which he was directly involved for the last thirty-six (36) months of his state employment. |
| Advisory Opinion 07-29Because he is returning to his former profession, the Executive Director for Project Delivery with the Transportation Cabinet is not prohibited, upon retirement, from immediately accepting employment with a consulting firm with which he may have had direct involvement, provided for six months the employee does not work on any matters for the new employer with which he or anyone under his supervision had involvement. |
| Advisory Opinion 07-21“Contract” or “agreement” as those terms are used in KRS Chapter 11A do not apply to an actual employment relationship. |
| Advisory Opinion 07-28A former state employee may communicate with his former state agency on behalf of his current employer regarding implementation of existing contracts or grants awarded by his former agency assuming neither the former state employee nor anyone under his supervision had any involvement with such contracts or grants during the last three years. |
| Advisory Opinion 07-33Post-employment guidance and clarification for transportation engineer branch manager regarding project with which he had direct involvement. |
| Advisory Opinion 06-22A former officer of the Environmental and Public Protection Cabinet, for six months, may not benefit from a contract with any of the agencies within the Cabinet that were under his supervision. After six months, the former employee is not prohibited from benefiting from a contract with agencies within the Cabinet, provided for six additional months, he doesn’t communicate with those agencies concerning specific matters with which he was directly involved. |
| Advisory Opinion 06-02The Deputy Director of the Kentucky Horse Park may immediately accept employment with the World Games 2010 Foundation, Inc., if he is returning to his former profession and he abstains for six months from working on any matters in which he had direct involvement as part of his official duty for the Horse Park. |
| Advisory Opinion 06-23The chief of staff for the Commerce Cabinet may accept employment with ConnectKentucky since he had no direct involvement with Connect Kentucky as part of his official position with the state, and the Commerce Cabinet holds no contracts with ConnectKentucky. |
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