CITE
18 USC Sec. 207 01/05/2009
EXPCITE
TITLE 18 - CRIMES AND CRIMINAL PROCEDURE
PART I - CRIMES
CHAPTER 11 - BRIBERY, GRAFT, AND CONFLICTS OF INTEREST
HEAD
Sec. 207. Restrictions on former officers, employees, and elected
officials of the executive and legislative branches
STATUTE
(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 that person is paid at a rate of basic
pay which is equal to or greater than 86.5 percent of the rate
of basic pay for level II of the Executive Schedule, or, for a
period of 2 years following the enactment of the National
Defense Authorization Act for Fiscal Year 2004, a person who,
on the day prior to the enactment of that Act, was employed in
a position which is not referred to in clause (i) and for which
the rate of basic pay, exclusive of any locality-based pay
adjustment under section 5304 or section 5304a of title 5, was
equal to or greater than the rate of basic pay payable for
level 5 of the Senior Executive Service on the day prior to the
enactment of that Act,
(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 2 years 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 of the house. -
(A) Senators. - Any person who is a Senator and who, within 2
years after that person leaves office, knowingly makes, with
the intent to influence, any communication to or appearance
before any Member, officer, or employee of either House of
Congress or any employee of any other legislative office of the
Congress, on behalf of any other person (except the United
States) in connection with any matter on which such former
Senator 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) Members and officers of the house of representatives. -
(i) Any person who is a Member of the House of Representatives
or an elected officer of the House of Representatives 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 clause (ii)
or (iii), 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.
(ii) The persons referred to in clause (i) with respect to
appearances or communications by a former Member of the House
of Representatives are any Member, officer, or employee of
either House of Congress and any employee of any other
legislative office of the Congress.
(iii) The persons referred to in clause (i) with respect to
appearances or communications by a former elected officer are
any Member, officer, or employee of the House of
Representatives.
(2) Officers and staff of the senate. - Any person who is an
elected officer of the Senate, or an employee of the Senate to
whom paragraph (7)(A) applies, and who, within 1 year after that
person leaves office or employment, knowingly makes, with the
intent to influence, any communication to or appearance before
any Senator or any officer or employee of the Senate, on behalf
of any other person (except the United States) in connection with
any matter on which such former elected officer or former
employee seeks action by a Senator or an officer or employee of
the Senate, in his or her official capacity, shall be punished as
provided in section 216 of this title.
(3) Personal staff. - (A) Any person who is an employee of a
Member of the House of Representatives to whom paragraph (7)(A)
applies 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 Member of the House of Representatives for whom that
person was an employee; and
(ii) any employee of that Member of the House of
Representatives.
(4) Committee staff. - Any person who is an employee of a
committee of the House of Representatives, or an employee of a
joint committee of the Congress whose pay is disbursed by the
Clerk of the House of Representatives, to whom paragraph (7)(A)
applies and who, within 1 year after the termination of that
person's employment on such committee or joint committee (as the
case may be), 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 joint committee (as the case
may be) or who was a Member of the committee or joint committee
(as the case may be) in the year immediately prior to the
termination of such person's employment by the committee or joint
committee (as the case may be), 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.
(5) Leadership staff. - (A) Any person who is an employee on
the leadership staff of the House of Representatives to whom
paragraph (7)(A) applies 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 any Member
of the leadership of the House of Representatives and any
employee on the leadership staff of the House of Representatives.
(6) Other legislative offices. - (A) Any person who is an
employee of any other legislative office of the Congress to whom
paragraph (7)(B) applies 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.
(7) Limitation on restrictions. - (A) 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 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 (6) 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, is equal to or
greater than the basic rate of pay payable for level IV of the
Executive Schedule.
(8) Exception. - This subsection shall not apply to contacts
with the staff of the Secretary of the Senate or the Clerk of the
House of Representatives regarding compliance with lobbying
disclosure requirements under the Lobbying Disclosure Act of
1995.
(9) 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 Government
Accountability Office, the Government Printing Office, the
Library of Congress, the Office of Technology Assessment, the
Congressional Budget Office, the United States Capitol Police,
and any other agency, entity, or office in the legislative
branch not covered by paragraph (1), (2), (3), (4), or (5) 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. -
(A) In general. - 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.
(B) Tribal organizations and inter-tribal consortiums. - The
restrictions contained in this section shall not apply to acts
authorized by section 104(j) of the Indian Self-Determination
and Education Assistance Act (25 U.S.C. 450i(j)).
(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 -
(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.
SOURCE
(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; Pub. L.
110-81, title I, Secs. 101, 104(a), Sept. 14, 2007, 121 Stat. 736,
740.)
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, II, and IV of the Executive Schedule, referred to in
subsecs. (c)(2)(A)(ii), (d)(1)(B), and (e)(7)(B), are set out in
sections 5312, 5313, and 5315, 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 subsec. (c)(2)(A)(ii),
see section 5382 of Title 5, Government Organization and Employees.
The Lobbying Disclosure Act of 1995, referred to in subsec.
(e)(8), is Pub. L. 104-65, Dec. 19, 1995, 109 Stat. 691, which is
classified principally to chapter 26 (Sec. 1601 et seq.) of Title
2, The Congress. For complete classification of this Act to the
Code, see Short Title note set out under section 1601 of Title 2
and Tables.
Section 102(a) of the Ethics Reform Act of 1989, referred to in
subsec. (e)(9)(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
2007 - Subsec. (d)(1). Pub. L. 110-81, Sec. 101(a), substituted
"within 2 years" for "within 1 year" in concluding provisions.
Subsec. (e)(1). Pub. L. 110-81, Sec. 101(b)(3), added par. (1)
and struck out former par. (1) which read as follows:
"(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."
Subsec. (e)(2). Pub. L. 110-81, Sec. 101(b)(3), added par. (2).
Former par. (2) redesignated (3).
Subsec. (e)(3). Pub. L. 110-81, Sec. 101(b)(2), redesignated par.
(2) as (3). Former par. (3) redesignated (4).
Subsec. (e)(3)(A). Pub. L. 110-81, Sec. 101(b)(4)(A), substituted
"of a Member of the House of Representatives to whom paragraph
(7)(A) applies" for "of a Senator or an employee of a Member of the
House of Representatives".
Subsec. (e)(3)(B). Pub. L. 110-81, Sec. 101(b)(4)(B), struck out
"Senator or" before "Member of the House" in cls. (i) and (ii).
Subsec. (e)(4). Pub. L. 110-81, Sec. 101(b)(5), substituted
"committee of the House of Representatives, or an employee of a
joint committee of the Congress whose pay is disbursed by the Clerk
of the House of Representatives, to whom paragraph (7)(A) applies"
for "committee of Congress" and inserted "or joint committee (as
the case may be)" after "committee" wherever subsequently
appearing.
Pub. L. 110-81, Sec. 101(b)(2), redesignated par. (3) as (4).
Former par. (4) redesignated (5).
Subsec. (e)(5). Pub. L. 110-81, Sec. 101(b)(2), redesignated par.
(4) as (5). Former par. (5) redesignated (6).
Subsec. (e)(5)(A). Pub. L. 110-81, Sec. 101(b)(6)(A), substituted
"to whom paragraph (7)(A) applies" for "or an employee on the
leadership staff of the Senate".
Subsec. (e)(5)(B). Pub. L. 110-81, Sec. 101(b)(6)(B), substituted
"any Member of the leadership of the House of Representatives and
any employee on the leadership staff of the House of
Representatives." for "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."
Subsec. (e)(6). Pub. L. 110-81, Sec. 101(b)(2), redesignated par.
(5) as (6). Former par. (6) redesignated (7).
Subsec. (e)(6)(A). Pub. L. 110-81, Sec. 101(b)(7), inserted "to
whom paragraph (7)(B) applies" after "office of the Congress".
Subsec. (e)(7). Pub. L. 110-81, Sec. 101(b)(2), redesignated par.
(6) as (7). Former par. (7) redesignated (9).
Subsec. (e)(7)(A). Pub. L. 110-81, Sec. 101(b)(8)(A), substituted
"(4), and (5)" for "and (4)".
Subsec. (e)(7)(B). Pub. L. 110-81, Sec. 101(b)(8)(B), substituted
"paragraph (6)" for "paragraph (5)" and "level IV of the Executive
Schedule" for "level 5 of the Senior Executive Service" and struck
out "(or any comparable adjustment pursuant to interim authority of
the President)" after "title 5".
Subsec. (e)(8). Pub. L. 110-81, Sec. 101(b)(9), added par. (8).
Subsec. (e)(9). Pub. L. 110-81, Sec. 101(b)(1), redesignated par.
(7) as (9).
Subsec. (e)(9)(G). Pub. L. 110-81, Sec. 101(b)(10), struck out
"the Copyright Royalty Tribunal," after "Congressional Budget
Office," and substituted "(4), or (5)" for "or (4)".
Subsec. (j)(1). Pub. L. 110-81, Sec. 104(a), inserted subpar. (A)
designation and heading, realigned margins, and added subpar. (B).
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 2007 AMENDMENT
Pub. L. 110-81, title I, Sec. 105(a), Sept. 14, 2007, 121 Stat.
741, provided that: "The amendments made by section 101 [amending
this section] shall apply to individuals who leave Federal office
or employment to which such amendments apply on or after the date
of adjournment of the first session of the 110th Congress sine die
or December 31, 2007, whichever date is earlier."
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.
CONSTRUCTION OF 2007 AMENDMENT
Pub. L. 110-81, title I, Sec. 104(c), Sept. 14, 2007, 121 Stat.
740, provided that: "Except as expressly identified in this section
[amending this section and section 450i of Title 25, Indians] and
in the amendments made by this section, nothing in this section or
the amendments made by this section affects any other provision of
law."
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.
FOOTNOTE
(!1) So in original. Probably should be "subsection".