§ 207. — Restrictions on former officers, employees, and elected officials of the executive and legislative branches.
[Laws in effect as of January 24, 2002]
[Document not affected by Public Laws enacted between
January 24, 2002 and December 19, 2002]
[CITE: 18USC207]
TITLE 18--CRIMES AND CRIMINAL PROCEDURE
PART I--CRIMES
CHAPTER 11--BRIBERY, GRAFT, AND CONFLICTS OF INTEREST
Sec. 207. Restrictions on former officers, employees, and
elected officials of the executive and legislative branches
(a) Restrictions on All Officers and Employees of the Executive
Branch and Certain Other Agencies.--
(1) Permanent restrictions on representation on particular
matters.--Any person who is an officer or employee (including any
special Government employee) of the executive branch of the United
States (including any independent agency of the United States), or
of the District of Columbia, and who, after the termination of his
or her service or employment with the United States or the District
of Columbia, knowingly makes, with the intent to influence, any
communication to or appearance before any officer or employee of any
department, agency, court, or court-martial of the United States or
the District of Columbia, on behalf of any other person (except the
United States or the District of Columbia) in connection with a
particular matter--
(A) in which the United States or the District of Columbia
is a party or has a direct and substantial interest,
(B) in which the person participated personally and
substantially as such officer or employee, and
(C) which involved a specific party or specific parties at
the time of such participation,
shall be punished as provided in section 216 of this title.
(2) Two-year restrictions concerning particular matters under
official responsibility.--Any person subject to the restrictions
contained in paragraph (1) who, within 2 years after the termination
of his or her service or employment with the United States or the
District of Columbia, knowingly makes, with the intent to influence,
any communication to or appearance before any officer or employee of
any department, agency, court, or court-martial of the United States
or the District of Columbia, on behalf of any other person (except
the United States or the District of Columbia), in connection with a
particular matter--
(A) in which the United States or the District of Columbia
is a party or has a direct and substantial interest,
(B) which such person knows or reasonably should know was
actually pending under his or her official responsibility as
such officer or employee within a period of 1 year before the
termination of his or her service or employment with the United
States or the District of Columbia, and
(C) which involved a specific party or specific parties at
the time it was so pending,
shall be punished as provided in section 216 of this title.
(3) Clarification of restrictions.--The restrictions contained
in paragraphs (1) and (2) shall apply--
(A) in the case of an officer or employee of the executive
branch of the United States (including any independent agency),
only with respect to communications to or appearances before any
officer or employee of any department, agency, court, or court-
martial of the United States on behalf of any other person
(except the United States), and only with respect to a matter in
which the United States is a party or has a direct and
substantial interest; and
(B) in the case of an officer or employee of the District of
Columbia, only with respect to communications to or appearances
before any officer or employee of any department, agency, or
court of the District of Columbia on behalf of any other person
(except the District of Columbia), and only with respect to a
matter in which the District of Columbia is a party or has a
direct and substantial interest.
(b) One-Year Restrictions on Aiding or Advising.--
(1) In general.--Any person who is a former officer or employee
of the executive branch of the United States (including any
independent agency) and is subject to the restrictions contained in
subsection (a)(1), or any person who is a former officer or employee
of the legislative branch or a former Member of Congress, who
personally and substantially participated in any ongoing trade or
treaty negotiation on behalf of the United States within the 1-year
period preceding the date on which his or her service or employment
with the United States terminated, and who had access to information
concerning such trade or treaty negotiation which is exempt from
disclosure under section 552 of title 5, 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, aid, or advise any other person
(except the United States) concerning such ongoing trade or treaty
negotiation for a period of 1 year after his or her service or
employment with the United States terminates. Any person who
violates this subsection shall be punished as provided in section
216 of this title.
(2) Definition.--For purposes of this paragraph--
(A) the term ``trade negotiation'' means negotiations which
the President determines to undertake to enter into a trade
agreement pursuant to section 1102 of the Omnibus Trade and
Competitiveness Act of 1988, and does not include any action
taken before that determination is made; and
(B) the term ``treaty'' means an international agreement
made by the President that requires the advice and consent of
the Senate.
(c) One-Year Restrictions on Certain Senior Personnel of the
Executive Branch and Independent Agencies.--
(1) Restrictions.--In addition to the restrictions set forth in
subsections (a) and (b), any person who is an officer or employee
(including any special Government employee) of the executive branch
of the United States (including an independent agency), who is
referred to in paragraph (2), and who, within 1 year after the
termination of his or her service or employment as such officer or
employee, knowingly makes, with the intent to influence, any
communication to or appearance before any officer or employee of the
department or agency in which such person served within 1 year
before such termination, on behalf of any other person (except the
United States), in connection with any matter on which such person
seeks official action by any officer or employee of such department
or agency, shall be punished as provided in section 216 of this
title.
(2) Persons to whom restrictions apply.--(A) Paragraph (1) shall
apply to a person (other than a person subject to the restrictions
of subsection (d))--
(i) employed at a rate of pay specified in or fixed
according to subchapter II of chapter 53 of title 5,
(ii) 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,
(iii) appointed by the President to a position under section
105(a)(2)(B) of title 3 or by the Vice President to a position
under section 106(a)(1)(B) of title 3,
(iv) employed in a position which is held by an active duty
commissioned officer of the uniformed services who is serving in
a grade or rank for which the pay grade (as specified in section
201 of title 37) is pay grade O-7 or above; or
(v) assigned from a private sector organization to an agency
under chapter 37 of title 5.
(B) Paragraph (1) shall not apply to a special Government
employee who serves less than 60 days in the 1-year period before
his or her service or employment as such employee terminates.
(C) At the request of a department or agency, the Director of
the Office of Government Ethics may waive the restrictions contained
in paragraph (1) with respect to any position, or category of
positions, referred to in clause (ii) or (iv) of subparagraph (A),
in such department or agency if the Director determines that--
(i) the imposition of the restrictions with respect to such
position or positions would create an undue hardship on the
department or agency in obtaining qualified personnel to fill
such position or positions, and
(ii) granting the waiver would not create the potential for
use of undue influence or unfair advantage.
(d) Restrictions on Very Senior Personnel of the Executive Branch
and Independent Agencies.--
(1) Restrictions.--In addition to the restrictions set forth in
subsections (a) and (b), any person who--
(A) serves in the position of Vice President of the United
States,
(B) is employed in a position in the executive branch of the
United States (including any independent agency) at a rate of
pay payable for level I of the Executive Schedule or employed in
a position in the Executive Office of the President at a rate of
pay payable for level II of the Executive Schedule, or
(C) is appointed by the President to a position under
section 105(a)(2)(A) of title 3 or by the Vice President to a
position under section 106(a)(1)(A) of title 3,
and who, within 1 year after the termination of that person's
service in that position, knowingly makes, with the intent to
influence, any communication to or appearance before any person
described in paragraph (2), on behalf of any other person (except
the United States), in connection with any matter on which such
person seeks official action by any officer or employee of the
executive branch of the United States, shall be punished as provided
in section 216 of this title.
(2) Persons who may not be contacted.--The persons referred to
in paragraph (1) with respect to appearances or communications by a
person in a position described in subparagraph (A), (B), or (C) of
paragraph (1) are--
(A) any officer or employee of any department or agency in
which such person served in such position within a period of 1
year before such person's service or employment with the United
States Government terminated, and
(B) any person appointed to a position in the executive
branch which is listed in section 5312, 5313, 5314, 5315, or
5316 of title 5.
(e) Restrictions on Members of Congress and Officers and Employees
of the Legislative Branch.--
(1) Members of congress and elected officers.--(A) Any person
who is a Member of Congress or an elected officer of either House of
Congress and who, within 1 year after that person leaves office,
knowingly makes, with the intent to influence, any communication to
or appearance before any of the persons described in subparagraph
(B) or (C), on behalf of any other person (except the United States)
in connection with any matter on which such former Member of
Congress or elected officer seeks action by a Member, officer, or
employee of either House of Congress, in his or her official
capacity, shall be punished as provided in section 216 of this
title.
(B) The persons referred to in subparagraph (A) with respect to
appearances or communications by a former Member of Congress are any
Member, officer, or employee of either House of Congress, and any
employee of any other legislative office of the Congress.
(C) The persons referred to in subparagraph (A) with respect to
appearances or communications by a former elected officer are any
Member, officer, or employee of the House of Congress in which the
elected officer served.
(2) Personal staff.--(A) Any person who is an employee of a
Senator or an employee of a Member of the House of Representatives
and who, within 1 year after the termination of that employment,
knowingly makes, with the intent to influence, any communication to
or appearance before any of the persons described in subparagraph
(B), on behalf of any other person (except the United States) in
connection with any matter on which such former employee seeks
action by a Member, officer, or employee of either House of
Congress, in his or her official capacity, shall be punished as
provided in section 216 of this title.
(B) The persons referred to in subparagraph (A) with respect to
appearances or communications by a person who is a former employee
are the following:
(i) the Senator or Member of the House of Representatives
for whom that person was an employee; and
(ii) any employee of that Senator or Member of the House of
Representatives.
(3) Committee staff.--Any person who is an employee of a
committee of Congress and who, within 1 year after the termination
of that person's employment on such committee, knowingly makes, with
the intent to influence, any communication to or appearance before
any person who is a Member or an employee of that committee or who
was a Member of the committee in the year immediately prior to the
termination of such person's employment by the committee, on behalf
of any other person (except the United States) in connection with
any matter on which such former employee seeks action by a Member,
officer, or employee of either House of Congress, in his or her
official capacity, shall be punished as provided in section 216 of
this title.
(4) Leadership staff.--(A) Any person who is an employee on the
leadership staff of the House of Representatives or an employee on
the leadership staff of the Senate and who, within 1 year after the
termination of that person's employment on such staff, knowingly
makes, with the intent to influence, any communication to or
appearance before any of the persons described in subparagraph (B),
on behalf of any other person (except the United States) in
connection with any matter on which such former employee seeks
action by a Member, officer, or employee of either House of
Congress, in his or her official capacity, shall be punished as
provided in section 216 of this title.
(B) The persons referred to in subparagraph (A) with respect to
appearances or communications by a former employee are the
following:
(i) in the case of a former employee on the leadership staff
of the House of Representatives, those persons are any Member of
the leadership of the House of Representatives and any employee
on the leadership staff of the House of Representatives; and
(ii) in the case of a former employee on the leadership
staff of the Senate, those persons are any Member of the
leadership of the Senate and any employee on the leadership
staff of the Senate.
(5) Other legislative offices.--(A) Any person who is an
employee of any other legislative office of the Congress and who,
within 1 year after the termination of that person's employment in
such office, knowingly makes, with the intent to influence, any
communication to or appearance before any of the persons described
in subparagraph (B), on behalf of any other person (except the
United States) in connection with any matter on which such former
employee seeks action by any officer or employee of such office, in
his or her official capacity, shall be punished as provided in
section 216 of this title.
(B) The persons referred to in subparagraph (A) with respect to
appearances or communications by a former employee are the employees
and officers of the former legislative office of the Congress of the
former employee.
(6) Limitation on restrictions.--(A) The restrictions contained
in paragraphs (2), (3), and (4) 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 a rate of basic pay equal to or greater than an
amount which is 75 percent of the basic rate of pay payable for a
Member of the House of Congress in which such employee was employed.
(B) The restrictions contained in paragraph (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 employed in a position for
which the rate of basic 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 basic rate of pay payable for level 5 of the
Senior Executive Service.
(7) Definitions.--As used in this subsection--
(A) the term ``committee of Congress'' includes standing
committees, joint committees, and select committees;
(B) a person is an employee of a House of Congress if that
person is an employee of the Senate or an employee of the House
of Representatives;
(C) the term ``employee of the House of Representatives''
means an employee of a Member of the House of Representatives,
an employee of a committee of the House of Representatives, an
employee of a joint committee of the Congress whose pay is
disbursed by the Clerk of the House of Representatives, and an
employee on the leadership staff of the House of
Representatives;
(D) the term ``employee of the Senate'' means an employee of
a Senator, an employee of a committee of the Senate, an employee
of a joint committee of the Congress whose pay is disbursed by
the Secretary of the Senate, and an employee on the leadership
staff of the Senate;
(E) a person is an employee of a Member of the House of
Representatives if that person is an employee of a Member of the
House of Representatives under the clerk hire allowance;
(F) a person is an employee of a Senator if that person is
an employee in a position in the office of a Senator;
(G) the term ``employee of any other legislative office of
the Congress'' means an officer or employee of the Architect of
the Capitol, the United States Botanic Garden, the General
Accounting Office, the Government Printing Office, the Library
of Congress, the Office of Technology Assessment, the
Congressional Budget Office, the Copyright Royalty Tribunal, the
United States Capitol Police, and any other agency, entity, or
office in the legislative branch not covered by paragraph (1),
(2), (3), or (4) of this subsection;
(H) the term ``employee on the leadership staff of the House
of Representatives'' means an employee of the office of a Member
of the leadership of the House of Representatives described in
subparagraph (L), and any elected minority employee of the House
of Representatives;
(I) the term ``employee on the leadership staff of the
Senate'' means an employee of the office of a Member of the
leadership of the Senate described in subparagraph (M);
(J) the term ``Member of Congress'' means a Senator or a
Member of the House of Representatives;
(K) the term ``Member of the House of Representatives''
means a Representative in, or a Delegate or Resident
Commissioner to, the Congress;
(L) the term ``Member of the leadership of the House of
Representatives'' means the Speaker, majority leader, minority
leader, majority whip, minority whip, chief deputy majority
whip, chief deputy minority whip, chairman of the Democratic
Steering Committee, chairman and vice chairman of the Democratic
Caucus, chairman, vice chairman, and secretary of the Republican
Conference, chairman of the Republican Research Committee, and
chairman of the Republican Policy Committee, of the House of
Representatives (or any similar position created on or after the
effective date set forth in section 102(a) of the Ethics Reform
Act of 1989);
(M) the term ``Member of the leadership of the Senate''
means the Vice President, and the President pro tempore, Deputy
President pro tempore, majority leader, minority leader,
majority whip, minority whip, chairman and secretary of the
Conference of the Majority, chairman and secretary of the
Conference of the Minority, chairman and co-chairman of the
Majority Policy Committee, and chairman of the Minority Policy
Committee, of the Senate (or any similar position created on or
after the effective date set forth in section 102(a) of the
Ethics Reform Act of 1989).
(f) Restrictions Relating to Foreign Entities.--
(1) Restrictions.--Any person who is subject to the restrictions
contained in subsection (c), (d), or (e) and who knowingly, within 1
year after leaving the position, office, or employment referred to
in such subsection--
(A) represents a foreign entity before any officer or
employee of any department or agency of the United States with
the intent to influence a decision of such officer or employee
in carrying out his or her official duties, or
(B) aids or advises a foreign entity with the intent to
influence a decision of any officer or employee of any
department or agency of the United States, in carrying out his
or her official duties,
shall be punished as provided in section 216 of this title.
(2) Special rule for trade representative.--With respect to a
person who is the United States Trade Representative or Deputy
United States Trade Representative, the restrictions described in
paragraph (1) shall apply to representing, aiding, or advising
foreign entities at any time after the termination of that person's
service as the United States Trade Representative.
(3) Definition.--For purposes of this subsection, the term
``foreign entity'' means the government of a foreign country as
defined in section 1(e) of the Foreign Agents Registration Act of
1938, as amended, or a foreign political party as defined in section
1(f) of that Act.
(g) Special Rules for Detailees.--For purposes of this section, a
person who is detailed from one department, agency, or other entity to
another department, agency, or other entity shall, during the period
such person is detailed, be deemed to be an officer or employee of both
departments, agencies, or such entities.
(h) Designations of Separate Statutory Agencies and Bureaus.--
(1) Designations.--For purposes of subsection (c) and except as
provided in paragraph (2), whenever the Director of the Office of
Government Ethics determines that an agency or bureau within a
department or agency in the executive branch exercises functions
which are distinct and separate from the remaining functions of the
department or agency and that there exists no potential for use of
undue influence or unfair advantage based on past Government
service, the Director shall by rule designate such agency or bureau
as a separate department or agency. 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 or her responsibilities under this
paragraph.
(2) Inapplicability of designations.--No agency or bureau within
the Executive Office of the President may be designated under
paragraph (1) as a separate department or agency. No designation
under paragraph (1) shall apply to persons referred to in subsection
(c)(2)(A)(i) or (iii).
(i) Definitions.--For purposes of this section--
(1) the term ``officer or employee'', when used to describe the
person to whom a communication is made or before whom an appearance
is made, with the intent to influence, shall include--
(A) in subsections (a), (c), and (d), the President and the
Vice President; and
(B) in subsection (f), the President, the Vice President,
and Members of Congress;
(2) the term ``participated'' means an action taken as an
officer or employee through decision, approval, disapproval,
recommendation, the rendering of advice, investigation, or other
such action; and
(3) the term ``particular matter'' includes any investigation,
application, request for a ruling or determination, rulemaking,
contract, controversy, claim, charge, accusation, arrest, or
judicial or other proceeding.
(j) Exceptions.--
(1) Official government duties.--The restrictions contained in
this section shall not apply to acts done in carrying out official
duties on behalf of the United States or the District of Columbia or
as an elected official of a State or local government.
(2) State and local governments and institutions, hospitals, and
organizations.--The restrictions contained in subsections (c), (d),
and (e) shall not apply to acts done in carrying out official duties
as an employee of--
(A) an agency or instrumentality of a State or local
government if the appearance, communication, or representation
is on behalf of such government, or
(B) an accredited, degree-granting institution of higher
education, as defined in section 101 of the Higher Education Act
of 1965, or a hospital or medical research organization,
exempted and defined under section 501(c)(3) of the Internal
Revenue Code of 1986, if the appearance, communication, or
representation is on behalf of such institution, hospital, or
organization.
(3) International organizations.--The restrictions contained in
this section shall not apply to an appearance or communication on
behalf of, or advice or aid to, an international organization 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.
(4) Special knowledge.--The restrictions contained in
subsections (c), (d), and (e) shall not prevent an individual from
making or providing a statement, which is based on the individual's
own special knowledge in the particular area that is the subject of
the statement, if no compensation is thereby received.
(5) Exception for scientific or technological information.--The
restrictions contained in subsections (a), (c), and (d) shall not
apply with respect to the making of communications solely for the
purpose of furnishing scientific or technological information, if
such communications are made 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. For purposes of this paragraph,
the term ``officer or employee'' includes the Vice President.
(6) Exception for testimony.--Nothing in this section shall
prevent an individual from giving testimony under oath, or from
making statements required to be made under penalty of perjury.
Notwithstanding the preceding sentence--
(A) a former officer or employee of the executive branch of
the United States (including any independent agency) who is
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
(B) a former officer or employee of the District of Columbia
who is 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 District of Columbia) in that matter.
(7) Political parties and campaign committees.--(A) Except as
provided in subparagraph (B), the restrictions contained in
subsections (c), (d), and (e) shall not apply to a communication or
appearance made solely on behalf of a candidate in his or her
capacity as a candidate, an authorized committee, a national
committee, a national Federal campaign committee, a State committee,
or a political party.
(B) Subparagraph (A) shall not apply to--
(i) any communication to, or appearance before, the Federal
Election Commission by a former officer or employee of the
Federal Election Commission; or
(ii) a communication or appearance made by a person who is
subject to the restrictions contained in subsections \1\ (c),
(d), or (e) if, at the time of the communication or appearance,
the person is employed by a person or entity other than--
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\1\ So in original. Probably should be ``subsection''.
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(I) a candidate, an authorized committee, a national
committee, a national Federal campaign committee, a State
committee, or a political party; or
(II) a person or entity who represents, aids, or advises
only persons or entities described in subclause (I).
(C) For purposes of this paragraph--
(i) the term ``candidate'' means any person who seeks
nomination for election, or election, to Federal or State office
or who has authorized others to explore on his or her behalf the
possibility of seeking nomination for election, or election, to
Federal or State office;
(ii) the term ``authorized committee'' means any political
committee designated in writing by a candidate as authorized to
receive contributions or make expenditures to promote the
nomination for election, or the election, of such candidate, or
to explore the possibility of seeking nomination for election,
or the election, of such candidate, except that a political
committee that receives contributions or makes expenditures to
promote more than 1 candidate may not be designated as an
authorized committee for purposes of subparagraph (A);
(iii) the term ``national committee'' means the organization
which, by virtue of the bylaws of a political party, is
responsible for the day-to-day operation of such political party
at the national level;
(iv) the term ``national Federal campaign committee'' means
an organization that, by virtue of the bylaws of a political
party, is established primarily for the purpose of providing
assistance, at the national level, to candidates nominated by
that party for election to the office of Senator or
Representative in, or Delegate or Resident Commissioner to, the
Congress;
(v) the term ``State committee'' means the organization
which, by virtue of the bylaws of a political party, is
responsible for the day-to-day operation of such political party
at the State level;
(vi) the term ``political party'' means an association,
committee, or organization that nominates a candidate for
election to any Federal or State elected office whose name
appears on the election ballot as the candidate of such
association, committee, or organization; and
(vii) the term ``State'' means a State of the United States,
the District of Columbia, the Commonwealth of Puerto Rico, and
any territory or possession of the United States.
(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)(i) 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.
(ii) Notwithstanding clause (i), a waiver granted under this
paragraph to any person who was an officer or employee of Lawrence
Livermore National Laboratory, Los Alamos National Laboratory, or Sandia
National Laboratory immediately before the person's Federal Government
employment began shall apply to that person's employment by any such
national laboratory after the person's employment by the Federal
Government is terminated.
(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.
(l) Contract Advice by Former Details.--Whoever, being an employee
of a private sector organization assigned to an agency under chapter 37
of title 5, within one year after the end of that assignment, knowingly
represents or aids, counsels, or assists in representing any other
person (except the United States) in connection with any contract with
that agency shall be punished as provided in section 216 of this title.
(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.)
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.
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.
Levels I and II of the Executive Schedule, referred to in subsec.
(d)(1)(B), are set out in sections 5312 and 5313, respectively, of Title
5.
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
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 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.
Section Referred to in Other Sections
This section is referred to in sections 202, 216 of this title;
title 5 sections 568, 3374, 3704; title 7 sections 2009aa-1, 2009bb-1;
title 10 section 9447; title 12 section 2245; title 16 section 459b-7;
title 19 section 2171; title 20 section 1018; title 22 sections 3310,
3507, 3508, 3613, 3622; title 25 section 450i; title 26 section 7802;
title 28 section 594; title 30 section 663; title 35 section 3; title 38
section 5902; title 40 section 14309; title 42 sections 1396a, 2297h-3;
title 48 section 1907; title 49 section 106; title 50 section 405; title
50 App. section 463.
