Notes on 18 U.S.C. § 207 : US Code - Notes

Search Notes on 18 U.S.C. § 207 : US Code - Notes

(Added Pub. L. 87-849, Sec. 1(a), Oct. 23, 1962, 76 Stat. 1123;
amended Pub. L. 95-521, title V, Sec. 501(a), Oct. 26, 1978, 92
Stat. 1864; Pub. L. 96-28, June 22, 1979, 93 Stat. 76; Pub. L. 101-
189, div. A, title VIII, Sec. 814(d)(2), Nov. 29, 1989, 103 Stat.
1499; Pub. L. 101-194, title I, Sec. 101(a), Nov. 30, 1989, 103
Stat. 1716; Pub. L. 101-280, Secs. 2(a), 5(d), May 4, 1990, 104
Stat. 149, 159; Pub. L. 101-509, title V, Sec. 529 [title I, Sec.
101(b)(8)(A)], Nov. 5, 1990, 104 Stat. 1427, 1440; Pub. L. 102-25,
title VII, Sec. 705(a), Apr. 6, 1991, 105 Stat. 120; Pub. L. 102-
190, div. C, title XXXI, Sec. 3138(a), Dec. 5, 1991, 105 Stat.
1579; Pub. L. 102-395, title VI, Sec. 609(a), Oct. 6, 1992, 106
Stat. 1873; Pub. L. 103-322, title XXXIII, Secs. 330002(i),
330010(15), Sept. 13, 1994, 108 Stat. 2140, 2144; Pub. L. 104-65,
Sec. 21(a), Dec. 19, 1995, 109 Stat. 704; Pub. L. 104-179, Secs. 5,
6, Aug. 6, 1996, 110 Stat. 1567, 1568; Pub. L. 104-208, div. A,
title I, Sec. 101(f) [title VI, Sec. 635], Sept. 30, 1996, 110
Stat. 3009-314, 3009-363; Pub. L. 105-244, title I, Sec. 102(a)(5),
Oct. 7, 1998, 112 Stat. 1618; Pub. L. 107-347, title II, Sec.
209(d)(1), (3), Dec. 17, 2002, 116 Stat. 2930; Pub. L. 108-136,
div. A, title XI, Sec. 1125(b)(1), Nov. 24, 2003, 117 Stat. 1639;
Pub. L. 108-271, Sec. 8(b), July 7, 2004, 118 Stat. 814.)
REFERENCES IN TEXT
Section 1102 of the Omnibus Trade and Competitiveness Act of
1988, referred to in subsec. (b)(2)(A), is classified to section
2902 of Title 19, Customs Duties.
Levels I and II of the Executive Schedule, referred to in
subsecs. (c)(2)(A)(ii) and (d)(1)(B), are set out in sections 5312
and 5313, respectively, of Title 5, Government Organization and
Employees.
The National Defense Authorization Act for Fiscal Year 2004,
referred to in subsec. (c)(2)(A)(ii), is Pub. L. 108-136, Nov. 24,
2003, 117 Stat. 1392. For complete classification of this Act to
the Code, see Tables.
Senior Executive Service, referred to in subsecs. (c)(2)(A)(ii)
and (e)(6)(B), see section 5382 of Title 5, Government Organization
and Employees.
Section 102(a) of the Ethics Reform Act of 1989, referred to in
subsec. (e)(7)(L), (M), is section 102(a) of Pub. L. 101-194, which
is set out below.
Section 1(e) and (f) of the Foreign Agents Registration Act of
1938, referred to in subsec. (f)(3), is classified to section
611(e) and (f) of Title 22, Foreign Relations and Intercourse.
Section 101 of the Higher Education Act of 1965, referred to in
subsec. (j)(2)(B), is classified to section 1001 of Title 20,
Education.
Section 501(c)(3) of the Internal Revenue Code of 1986, referred
to in subsec. (j)(2)(B), is classified to section 501(c)(3) of
Title 26, Internal Revenue Code.
CODIFICATION
Another section 501(a) of Pub. L. 95-521, as added by Pub. L. 101-
194, title VI, Sec. 601(a), Nov. 30, 1989, 103 Stat. 1760, is set
out in the Appendix to Title 5, Government Organization and
Employees.
PRIOR PROVISIONS
A prior section 207, act June 25, 1948, ch. 645, 62 Stat. 692,
related to the acceptance of a bribe by a judge, prior to the
general amendment of this chapter by Pub. L. 87-849 and is
substantially covered by revised section 201.
Provisions similar to those comprising this section were
contained in section 284 of this title prior to the repeal of such
section and the general amendment of this chapter by Pub. L. 87-
849.
AMENDMENTS
2004 - Subsec. (e)(7)(G). Pub. L. 108-271 substituted "Government
Accountability Office" for "General Accounting Office".
2003 - Subsec. (c)(2)(A)(ii). Pub. L. 108-136 amended cl. (ii)
generally. Prior to amendment, cl. (ii) read as follows: "employed
in a position which is not referred to in clause (i) and for which
the basic rate of pay, exclusive of any locality-based pay
adjustment under section 5302 of title 5 (or any comparable
adjustment pursuant to interim authority of the President), is
equal to or greater than the rate of basic pay payable for level 5
of the Senior Executive Service,".
2002 - Subsec. (c)(2)(A)(v). Pub. L. 107-347, Sec. 209(d)(1),
added cl. (v).
Subsec. (l). Pub. L. 107-347, Sec. 209(d)(3), added subsec. (l).
1998 - Subsec. (j)(2)(B). Pub. L. 105-244 substituted "section
101" for "section 1201(a)".
1996 - Subsec. (c)(2)(A)(ii). Pub. L. 104-179, Sec. 6,
substituted "level 5 of the Senior Executive Service," for "level V
of the Executive Schedule,".
Subsec. (e)(6)(B). Pub. L. 104-208 substituted "level 5 of the
Senior Executive Service" for "level V of the Executive Schedule".
Subsec. (j). Pub. L. 104-179, Sec. 5, added par. (7).
1995 - Subsec. (f)(2). Pub. L. 104-65 inserted "or Deputy United
States Trade Representative" after "is the United States Trade
Representative" and substituted "at any time" for "within 3 years".
1994 - Subsec. (a)(3). Pub. L. 103-322, Sec. 330010(15),
substituted "restrictions" for "Restrictions" in heading.
Subsec. (c)(2)(A)(ii). Pub. L. 103-322, Sec. 330002(i),
substituted a comma for semicolon at end.
1992 - Subsec. (f)(2), (3). Pub. L. 102-395 added par. (2) and
redesignated former par. (2) as (3).
1991 - Subsec. (k). Pub. L. 102-25 reinstated subsec. (k) as
originally enacted by Pub. L. 101-189. See 1989 Amendment note and
Effective Date of 1991 Amendments note below.
Subsec. (k)(1)(B). Pub. L. 102-190 designated existing provisions
as cl. (i) and added cl. (ii).
1990 - Subsec. (a)(1). Pub. L. 101-280, Sec. 2(a)(1), amended
subsec. (a)(1), as amended by Pub. L. 101-194, by inserting
"(including any special Government employee)" after "who is an
officer or employee", striking out "Government" after "executive
branch of the United States", "and any special Government employee"
after "independent agency of the United States", "Government" after
"employment with the United States", "as the case may be," before
"knowingly makes" and before "on behalf of", inserting "or the
District of Columbia" after "(except the United States", and in
subpar. (A) inserting "or the District of Columbia" after "United
States".
Subsec. (a)(2). Pub. L. 101-280, Sec. 2(a), amended subsec.
(a)(2), as amended by Pub. L. 101-194, by substituting "or the
District of Columbia, knowingly" for "Government, knowingly" and
"(except the United States or the District of Columbia)" for
"(except the United States)", in subpar. (A) inserting "or the
District of Columbia" after "United States)", and in subpar. (B)
striking out "Government" after "United States".
Subsec. (a)(3). Pub. L. 101-280, Sec. 2(a)(3), amended subsec.
(a), as amended by Pub. L. 101-194, by adding par. (3).
Subsec. (b)(1). Pub. L. 101-280, Sec. 2(a)(4), amended subsec.
(b)(1), as amended by Pub. L. 101-194, by substituting "a former
officer or employee of the executive branch of the United States
(including any independent agency) and is" for "a former officer or
employee", substituting "or any person who is a former officer or
employee of the legislative branch or a former Member of Congress"
for "and any person described in subsection (e)(7)", substituting
"which is so designated by the appropriate department or agency,
and which the person knew or should have known was so designated,
shall not, on the basis of that information, knowingly represent"
for "and which is so designated by the appropriate department or
agency, shall not, on the basis of that information, which the
person knew or should have known was so designated, knowingly
represent", inserting "a period of" before "1 year", and striking
out "Government" before "terminates".
Subsec. (c). Pub. L. 101-280, Sec. 5(d), substituted "shall be
subject to the penalties set forth in section 216 of this title"
for "shall be fined not more than $10,000 or imprisoned for not
more than two years, or both" in concluding provisions of subsec.
(c) as in effect on May 4, 1990.
Subsec. (c)(1). Pub. L. 101-280, Sec. 2(a)(5)(A), amended subsec.
(c)(1), as amended by Pub. L. 101-194, by substituting "(including
any special Government employee) of the executive branch of the
United States" for "of the executive branch".
Subsec. (c)(2)(A)(i). Pub. L. 101-280, Sec. 2(a)(5)(B)(i),
amended subsec. (c)(2)(A)(i), as amended by Pub. L. 101-194, by
inserting "specified in or" after "employed at a rate of pay" and
striking out "or a comparable or greater rate of pay under other
authority," after "chapter 53 of title 5,".
Subsec. (c)(2)(A)(ii). Pub. L. 101-509, Sec. 529 [title I, Sec.
101(b)(8)(A)(i)], added cl. (ii) and struck out former cl. (ii)
which read as follows: "employed in a position which is not
referred to in clause (i) and for which the rate of basic pay is
equal to or greater than the rate of basic pay payable for GS-17 of
the General Schedule,".
Pub. L. 101-280, Sec. 2(a)(5)(B)(ii), amended subsec.
(a)(2)(A)(ii), as amended by Pub. L. 101-194, by substituting "rate
of basic" for "basic rate of" wherever appearing.
Subsec. (c)(2)(C), (D). Pub. L. 101-280, Sec. 2(a)(5)(B)(iii),
amended subsec. (c)(2)(C), (D), as amended by Pub. L. 101-194, by
redesignating subpar. (D) as (C) and striking out former subpar.
(C) which read as follows: "Subparagraph (A)(ii) includes persons
employed in the Senior Executive Service at the basic rate of pay
specified in that subparagraph."
Subsec. (d)(1)(B). Pub. L. 101-280, Sec. 2(a)(6)(A), amended
subsec. (d)(1)(B), as amended by Pub. L. 101-194, by substituting
"in the executive branch of the United States (including any
independent agency)" for "paid".
Subsec. (d)(2). Pub. L. 101-280, Sec. 2(a)(6)(B), amended subsec.
(d)(2), as amended by Pub. L. 101-194, by substituting "Persons who
may not be contacted" for "Entities to which restrictions apply" in
heading, and striking out "other" after "any" in subpar. (B).
Subsec. (e)(6). Pub. L. 101-509, Sec. 529 [title I, Sec.
101(b)(8)(A)(ii)], added par. (6) and struck out former par. (6)
which read as follows: "The restrictions contained in paragraphs
(2), (3), (4), and (5) apply only to acts by a former employee who,
for at least 60 days, in the aggregate, during the 1-year period
before that former employee's service as such employee terminated,
was paid for such service at a rate of basic pay equal to or
greater than the rate of basic pay payable for GS-17 of the General
Schedule under section 5332 of title 5."
Pub. L. 101-280, Sec. 2(a)(7)(A), amended subsec. (e)(6), as
amended by Pub. L. 101-194, by substituting "rate of basic" for
"basic rate of" wherever appearing.
Subsec. (e)(7)(L), (M). Pub. L. 101-280, Sec. 2(a)(7)(B), amended
subsec. (e)(7)(L), (M), as amended by Pub. L. 101-194, by inserting
"on or" before "after the effective date".
Subsec. (f)(1). Pub. L. 101-280, Sec. 2(a)(8)(A), amended subsec.
(f)(1), as amended by Pub. L. 101-194, by substituting "such
subsection" for "subsection (c), (d), or (e), as the case may be".
Subsec. (f)(1)(A). Pub. L. 101-280, Sec. 2(a)(8)(B), amended
subsec. (f)(1)(A), as amended by Pub. L. 101-194, by striking out
"the interests of" after "represents" and "of the Government" after
"department or agency".
Subsec. (f)(1)(B). Pub. L. 101-280, Sec. 2(a)(8)(C), amended
subsec. (f)(1)(B), as amended by Pub. L. 101-194, by striking out
"of the Government" after "department or agency".
Subsec. (i)(1). Pub. L. 101-280, Sec. 2(a)(9), amended subsec.
(i)(1), as amended by Pub. L. 101-194, by adding par. (1) and
striking out former par. (1) which read as follows: "the term
'intent to influence' means the intent to affect any official
action by a Government entity of the United States through any
officer or employee of the United States, including Members of
Congress;".
Subsec. (j)(1). Pub. L. 101-280, Sec. 2(a)(10)(A), amended
subsec. (j)(1), as amended by Pub. L. 101-194, by substituting
"this section" for "subsections (a), (c), (d), and (e)", "on behalf
of" for "as an officer or employee of", and "or the District of
Columbia" for "Government".
Subsec. (j)(3). Pub. L. 101-280, Sec. 2(a)(10)(B), amended
subsec. (j)(3), as amended by Pub. L. 101-194, by substituting
"this section" for "subsections (c), (d), and (e)" and "in which
the United States participates, if the Secretary of State certifies
in advance that such activity is in the interests of the United
States" for "of which the United States is a member".
Subsec. (j)(4). Pub. L. 101-280, Sec. 2(a)(10)(C), amended
subsec. (j)(4), as amended by Pub. L. 101-194, by substituting
"Special" for "Personal matters and special" in heading,
substituting "prevent an individual" for "apply to appearances or
communications by a former officer or employee concerning matters
of a personal and individual nature, such as personal income taxes
or pension benefits; nor shall the prohibitions of those
subsections prevent a former officer or employee", substituting
"individual's" for "former officer's or employee's", and striking
out ", other than that regularly provided for by law or regulation
for witnesses" after "if no compensation is thereby received".
Subsec. (j)(5). Pub. L. 101-280, Sec. 2(a)(10)(D), amended
subsec. (j)(5), as amended by Pub. L. 101-194, by substituting "and
(d)" for "(d), and (e)" and inserting "For purposes of this
paragraph, the term 'officer or employee' includes the Vice
President."
Subsec. (j)(6). Pub. L. 101-280, Sec. 2(a)(10)(E)(ii), amended
subsec. (j)(6), as amended by Pub. L. 101-194, by substituting
"sentence - " for "sentence, a former officer or employee subject
to the restrictions contained in subsection (a)(1) with respect to
a particular matter may not, except pursuant to court order, serve
as an expert witness for any other person (except the United
States) in that matter." and adding subpars. (A) and (B).
Pub. L. 101-280, Sec. 2(a)(10)(E)(i), amended subsec. (j)(6), as
amended by Pub. L. 101-194, by substituting "an individual" for "a
former Member of Congress or officer or employee of the executive
or legislative branch or an independent agency (including the Vice
President and any special Government employee)".
1989 - Pub. L. 101-194 amended section generally, substituting
"Restrictions on former officers, employees, and elected officials
of the executive and legislative branches" for "Disqualification of
former officers and employees; disqualification of partners of
current officers and employees" as section catchline and making
extensive changes in content and structure of text. For text of
section as it existed prior to the general amendment by Pub. L. 101-
194, see Effective Date of 1989 Amendment; Effect on Employment
note set out below.
Subsec. (k). Pub. L. 101-189 added subsec. (k).
1979 - Subsec. (b). Pub. L. 96-28, Sec. 1, substituted "by
personal presence at any formal or informal appearance" for
"concerning any formal or informal appearance" in cl. (ii) of
provisions before par. (1), and, in par. (3), inserted "as to (i),"
before "which was actually pending" and ", as to (ii)," before "in
which he participated".
Subsec. (d). Pub. L. 96-28, Sec. 2, designated existing
provisions as par. (1), designated existing pars. (1) and (3) as
subpars. (A) and (B) of par. (1) as so designated, and added
subpar. (C) of par. (1) and par. (2), incorporating into the new
par. and subpar. portions of former provisions relating to
positions for which the basic rate of pay was equal to or greater
than the basic rate of pay for GS-17 of the General Schedule
prescribed by section 5332 of Title 5 and who had significant
decision-making or supervisory responsibility, as designated by the
Director of the Office of Government Ethics, in consultation with
the head of the department or agency concerned, and provisions
relating to the designation of positions by the Director of the
Office of Government Ethics.
1978 - Pub. L. 95-521 expanded section to include provisions
designed to more effectively deal with the problem of the
disproportionate influence former officers and employees might have
upon the government processes and decision-making in their previous
departments or agencies when they return in the role of
representatives or advocates of nongovernmental groups or interests
before those same departments or agencies.
EFFECTIVE DATE OF 2003 AMENDMENT
Amendment by Pub. L. 108-136 effective on first day of first pay
period beginning on or after Jan. 1, 2004, see section 1125(c)(1)
of Pub. L. 108-136, set out as a note under section 5304 of Title
5, Government Organization and Employees.
EFFECTIVE DATE OF 2002 AMENDMENT
Amendment by Pub. L. 107-347 effective 120 days after Dec. 17,
2002, see section 402(a) of Pub. L. 107-347, set out as an
Effective Date note under section 3601 of Title 44, Public Printing
and Documents.
EFFECTIVE DATE OF 1998 AMENDMENT
Amendment by Pub. L. 105-244 effective Oct. 1, 1998, except as
otherwise provided in Pub. L. 105-244, see section 3 of Pub. L. 105-
244, set out as a note under section 1001 of Title 20, Education.
EFFECTIVE DATE OF 1995 AMENDMENT
Section 21(c) of Pub. L. 104-65 provided that: "The amendments
made by this section [amending this section and section 2171 of
Title 19, Customs Duties] shall apply with respect to an individual
appointed as United States Trade Representative or as a Deputy
United States Trade Representative on or after the date of
enactment of this Act [Dec. 19, 1995]."
EFFECTIVE DATE OF 1992 AMENDMENT
Section 609(b) of Pub. L. 102-395 provided that: "This section
[amending this section] shall not apply to the person serving as
the United States Trade Representative at the date of enactment of
this Act [Oct. 6, 1992]."
EFFECTIVE DATE OF 1991 AMENDMENTS
Section 3138(b) of Pub. L. 102-190 provided that: "The amendments
made by subsection (a) [amending this section] shall take effect on
the date of the enactment of this Act [Dec. 5, 1991] and shall
apply to persons granted waivers under section 207(k)(1) of title
18, United States Code, on or after that date."
Section 705(a) of Pub. L. 102-25 provided that subsec. (k), added
by Pub. L. 101-189 and omitted in the general amendment of this
section by Pub. L. 101-194, is reinstated as originally enacted,
effective as of Jan. 1, 1991.
EFFECTIVE DATE OF 1990 AMENDMENTS
Section 529 [title I, Sec. 101(b)(8)(B)] of Pub. L. 101-509
provided that: "The amendments made by subparagraph (A) [amending
this section] take effect on January 1, 1991."
Amendment by Pub. L. 101-280 effective May 4, 1990, see section
11 of Pub. L. 101-280, set out as a note under section 101 of Pub.
L. 95-521 in the Appendix to Title 5, Government Organization and
Employees.
EFFECTIVE DATE OF 1989 AMENDMENT; EFFECT ON EMPLOYMENT
Section 102 of Pub. L. 101-194, as amended by Pub. L. 101-280,
Sec. 2(b), May 4, 1990, 104 Stat. 152, provided that:
"(a) In General. - (1) Subject to paragraph (2) and to subsection
(b), the amendments made by section 101 [amending this section]
take effect on January 1, 1991.
"(2) Subject to subsection (b), the amendments made by section
101 take effect at noon on January 3, 1991, with respect to Members
of Congress (within the meaning of section 207 of title 18, United
States Code).
"(b) Effect on Employment. - (1) The amendments made by section
101 apply only to persons whose service as a Member of Congress,
the Vice President, or an officer or employee to which such
amendments apply terminates on or after the effective date of such
amendments.
"(2) With respect to service as an officer or employee which
terminates before the effective date set forth in subsection (a),
section 207 of title 18, United States Code, as in effect at the
time of the termination of such service, shall continue to apply,
on and after such effective date, with respect to such service."
Prior to the effective date of the amendment by Pub. L. 101-194,
section 207 read as follows:
"Sec. 207. Disqualification of former officers and employees;
disqualification of partners of current officers and employees
"(a) Whoever, having been an officer or employee of the executive
branch of the United States Government, of any independent agency
of the United States, or of the District of Columbia, including a
special Government employee, after his employment has ceased,
knowingly acts as agent or attorney for, or otherwise represents,
any other person (except the United States), in any formal or
informal appearance before, or, with the intent to influence, makes
any oral or written communication on behalf of any other person
(except the United States) to -
"(1) any department, agency, court, court-martial, or any
civil, military, or naval commission of the United States or the
District of Columbia, or any officer or employee thereof, and
"(2) in connection with any judicial or other proceeding,
application, request for a ruling or other determination,
contract, claim, controversy, investigation, charge, accusation,
arrest, or other particular matter involving a specific party or
parties in which the United States or the District of Columbia is
a party or has a direct and substantial interest, and
"(3) in which he participated personally and substantially as
an officer or employee through decision, approval, disapproval,
recommendation, the rendering of advice, investigation or
otherwise, while so employed; or
"(b) Whoever, (i) having been so employed, within two years after
his employment has ceased, knowingly acts as agent or attorney for,
or otherwise represents, any other person (except the United
States), in any formal or informal appearance before, or, with the
intent to influence, makes any oral or written communication on
behalf of any other person (except the United States) to, or (ii)
having been so employed and as specified in subsection (d) of this
section, within two years after his employment has ceased,
knowingly represents or aids, counsels, advises, consults, or
assists in representing any other person (except the United States)
by personal presence at any formal or informal appearance before -
"(1) any department, agency, court, court-martial, or any
civil, military or naval commission of the United States or the
District of Columbia, or any officer or employee thereof, and
"(2) in connection with any judicial or other proceeding,
application, request for a ruling or other determination,
contract, claim, controversy, investigation, charge, accusation,
arrest or other particular matter involving a specific party or
parties in which the United States or the District of Columbia is
a party or has a direct and substantial interest, and
"(3) as to (i), which was actually pending under his official
responsibility as an officer or employee within a period of one
year prior to the termination of such responsibility, or, as to
(ii), in which he participated personally and substantially as an
officer or employee; or
"(c) Whoever, other than a special Government employee who serves
for less than sixty days in a given calendar year, having been so
employed as specified in subsection (d) of this section, within one
year after such employment has ceased, knowingly acts as agent or
attorney for, or otherwise represents, anyone other than the United
States in any formal or informal appearance before, or, with the
intent to influence, makes any oral or written communication on
behalf of anyone other than the United States, to -
"(1) the department or agency in which he served as an officer
or employee, or any officer or employee thereof, and
"(2) in connection with any judicial, rulemaking, or other
proceeding, application, request for a ruling or other
determination, contract, claim, controversy, investigation,
charge, accusation, arrest, or other particular matter, and
"(3) which is pending before such department or agency or in
which such department or agency has a direct and substantial
interest -
shall be subject to the penalties set forth in section 216 of this
title.
"(d)(1) Subsection (c) of this section shall apply to a person
employed -
"(A) at a rate of pay specified in or fixed according to
subchapter II of chapter 53 of title 5, United States Code, or a
comparable or greater rate of pay under other authority;
"(B) on active duty as a commissioned officer of a uniformed
service assigned to pay grade of O-9 or above as described in
section 201 of title 37, United States Code; or
"(C) in a position which involves significant decision-making
or supervisory responsibility, as designated under this
subparagraph by the Director of the Office of Government Ethics,
in consultation with the department or agency concerned. Only
positions which are not covered by subparagraphs (A) and (B)
above, and for which the basic rate of pay is equal to or greater
than the basic rate of pay for GS-17 of the General Schedule
prescribed by section 5332 of title 5, United States Code, or
positions which are established within the Senior Executive
Service pursuant to the Civil Service Reform Act of 1978, or
positions of active duty commissioned officers of the uniformed
services assigned to pay O-7 or O-8, as described in section 201
of title 37, United States Code, may be designated. As to persons
in positions designated under this subparagraph, the Director may
limit the restrictions of subsection (c) to permit a former
officer or employee, who served in a separate agency or bureau
within a department or agency, to make appearances before or
communications to persons in an unrelated agency or bureau,
within the same department or agency, having separate and
distinct subject matter jurisdiction, upon a determination by the
Director that there exists no potential for use of undue
influence or unfair advantage based on past government service.
On an annual basis, the Director of the Office of Government
Ethics shall review the designations and determinations made
under this subparagraph and, in consultation with the department
or agency concerned, make such additions and deletions as are
necessary. Departments and agencies shall cooperate to the
fullest extent with the Director of the Office of Government
Ethics in the exercise of his responsibilities under this
paragraph.
"(2) The prohibition of subsection (c) shall not apply to
appearances, communications, or representation by a former officer
or employee, who is -
"(A) an elected official of a State or local government, or
"(B) whose principal occupation or employment is with (i) an
agency or instrumentality of a State or local government, (ii) an
accredited, degree-granting institution of higher education, as
defined in section 1201(a) of the Higher Education Act of 1965,
or (iii) a hospital or medical research organization, exempted
and defined under section 501(c)(3) of the Internal Revenue Code
of 1986, and the appearance, communication, or representation is
on behalf of such government, institution, hospital, or
organization.
"(e) For the purposes of subsection (c), whenever the Director of
the Office of Government Ethics determines that a separate
statutory agency or bureau within a department or agency exercises
functions which are distinct and separate from the remaining
functions of the department or agency, the Director shall by rule
designate such agency or bureau as a separate department or agency;
except that such designation shall not apply to former heads of
designated bureaus or agencies, or former officers and employees of
the department or agency whose official responsibilities included
supervision of said agency or bureau.
"(f) The prohibitions of subsections (a), (b), and (c) shall not
apply with respect to the making of communications solely for the
purpose of furnishing scientific or technological information under
procedures acceptable to the department or agency concerned, or if
the head of the department or agency concerned with the particular
matter, in consultation with the Director of the Office of
Government Ethics, makes a certification, published in the Federal
Register, that the former officer or employee has outstanding
qualifications in a scientific, technological, or other technical
discipline, and is acting with respect to a particular matter which
requires such qualifications, and that the national interest would
be served by the participation of the former officer or employee.
"(g) Whoever, being a partner of an officer or employee of the
executive branch of the United States Government, of any
independent agency of the United States, or of the District of
Columbia, including a special Government employee, acts as agent or
attorney for anyone other than the United States before any
department, agency, court, court-martial, or any civil, military,
or naval commission of the United States or the District of
Columbia, or any officer or employee thereof, in connection with
any judicial or other proceeding, application, request for a ruling
or other determination, contract, claim, controversy,
investigation, charge, accusation, arrest, or other particular
matter in which the United States or the District of Columbia is a
party or has a direct and substantial interest and in which such
officer or employee or special Government employee participates or
has participated personally and substantially as an officer or
employee through decision, approval, disapproval, recommendation,
the rendering of advice, investigation, or otherwise, or which is
the subject of his official responsibility, shall be fined not more
than $5,000, or imprisoned for not more than one year, or both.
"(h) Nothing in this section shall prevent a former officer or
employee from giving testimony under oath, or from making
statements required to be made under penalty of perjury.
"(i) The prohibition contained in subsection (c) shall not apply
to appearances or communications by a former officer or employee
concerning matters of a personal and individual nature, such as
personal income taxes or pension benefits; nor shall the
prohibition of that subsection prevent a former officer or employee
from making or providing a statement, which is based on the former
officer's or employee's own special knowledge in the particular
area that is the subject of the statement, provided that no
compensation is thereby received, other than that regularly
provided for by law or regulation for witnesses.
"(j) If the head of the department or agency in which the former
officer or employee served finds, after notice and opportunity for
a hearing, that such former officer or employee violated subsection
(a), (b), or (c) of this section, such department or agency head
may prohibit that person from making, on behalf of any other person
(except the United States), any informal or formal appearance
before, or, with the intent to influence, any oral or written
communication to, such department or agency on a pending matter of
business for a period not to exceed five years, or may take other
appropriate disciplinary action. Such disciplinary action shall be
subject to review in an appropriate United States district court.
No later than six months after the effective date of this Act,
departments and agencies shall, in consultation with the Director
of the Office of Government Ethics, establish procedures to carry
out this subsection.
"(k)(1)(A) The President may grant a waiver of a restriction
imposed by this section to any officer or employee described in
paragraph (2) if the President determines and certifies in writing
that it is in the public interest to grant the waiver and that the
services of the officer or employee are critically needed for the
benefit of the Federal Government. Not more than 25 officers and
employees currently employed by the Federal Government at any one
time may have been granted waivers under this paragraph.
"(B) A waiver granted under this paragraph to any person shall
apply only with respect to activities engaged in by that person
after that person's Federal Government employment is terminated and
only to that person's employment at a Government-owned, contractor
operated entity with which the person served as an officer or
employee immediately before the person's Federal Government
employment began.
"(2) Waivers under paragraph (1) may be granted only to civilian
officers and employees of the executive branch, other than officers
and employees in the Executive Office of the President.
"(3) A certification under paragraph (1) shall take effect upon
its publication in the Federal Register and shall identify -
"(A) the officer or employee covered by the waiver by name and
by position, and
"(B) the reasons for granting the waiver.
A copy of the certification shall also be provided to the Director
of the Office of Government Ethics.
"(4) The President may not delegate the authority provided by
this subsection.
"(5)(A) Each person granted a waiver under this subsection shall
prepare reports, in accordance with subparagraph (B), stating
whether the person has engaged in activities otherwise prohibited
by this section for each six-month period described in subparagraph
(B), and if so, what those activities were.
"(B) A report under subparagraph (A) shall cover each six-month
period beginning on the date of the termination of the person's
Federal Government employment (with respect to which the waiver
under this subsection was granted) and ending two years after that
date. Such report shall be filed with the President and the
Director of the Office of Government Ethics not later than 60 days
after the end of the six-month period covered by the report. All
reports filed with the Director under this paragraph shall be made
available for public inspection and copying.
"(C) If a person fails to file any report in accordance with
subparagraphs (A) and (B), the President shall revoke the waiver
and shall notify the person of the revocation. The revocation shall
take effect upon the person's receipt of the notification and shall
remain in effect until the report is filed.
"(D) Any person who is granted a waiver under this subsection
shall be ineligible for appointment in the civil service unless all
reports required of such person by subparagraphs (A) and (B) have
been filed.
"(E) As used in this subsection, the term 'civil service' has the
meaning given that term in section 2101 of title 5."
EFFECTIVE DATE OF 1978 AMENDMENT
Section 503 of Pub. L. 95-521, which provided that the amendments
made by section 501 (amending this section) shall become effective
on July 1, 1979, was amended generally by Pub. L. 101-194, title
VI, Sec. 601(a), Nov. 30, 1989, 103 Stat. 1761, and is now set out
in the Appendix to Title 5, Government Organization and Employees.
Section 502 of Pub. L. 95-521, which provided that the amendments
made by section 501 (amending this section) shall not apply to
those individuals who left Government service prior to the
effective date of such amendments (July 1, 1979) or, in the case of
individuals who occupied positions designated pursuant to section
207(d) of title 18, United States Code, prior to the effective date
of such designation; except that any such individual who returns to
Government service on or after the effective date of such
amendments or designation shall be thereafter covered by such
amendments or designation, was amended generally by Pub. L. 101-
194, title VI, Sec. 601(a), Nov. 30, 1989, 103 Stat. 1761, and is
now set out in the Appendix to Title 5.
EFFECTIVE DATE
Section effective 90 days after Oct. 23, 1962, see section 4 of
Pub. L. 87-849, set out as a note under section 201 of this title.
REGULATIONS
Responsibility of Office of Government Ethics for promulgating
regulations and interpreting this section, see section 201(c) of
Ex. Ord. No. 12674, Apr. 12, 1989, 54 F.R. 15159, as amended, set
out as a note under section 7301 of Title 5, Government
Organization and Employees.
TRANSFER OF FUNCTIONS
Certain functions of Clerk of House of Representatives
transferred to Director of Non-legislative and Financial Services
by section 7 of House Resolution No. 423, One Hundred Second
Congress, Apr. 9, 1992. Director of Non-legislative and Financial
Services replaced by Chief Administrative Officer of House of
Representatives by House Resolution No. 6, One Hundred Fourth
Congress, Jan. 4, 1995.
AGENCIES WITHIN EXECUTIVE OFFICE OF PRESIDENT
For provisions relating to treatment of agencies within the
Executive Office of the President as one agency under subsec. (c)
of this section, see Ex. Ord. No. 12674, Sec. 202, Apr. 12, 1989,
54 F.R. 15160, as amended, set out as a note under section 7301 of
Title 5, Government Organization and Employees.
EXEMPTIONS
Exemptions from former section 284 of this title deemed to be
exemptions from this section, see section 2 of Pub. L. 87-849, set
out as a note under section 203 of this title.
(!1) So in original. Probably should be "subsection".