18 U.S.C. § 207 — Restrictions on former officers, employees, and elected officials of the executive and legislative branches

submitted 64 years ago by Pub. L. 87-849 to r/title-18-CRIMES-AND-CRIMINAL-PROCEDURE · 5,965 words · no verdicts yet

in plain englishAI-generated · not legal advice

This law limits what former federal officers, employees, and lawmakers can do for pay after they leave government. It bars them from contacting their old agency or Congress on someone else's behalf for periods from one year to life, depending on their job and how involved they were. It also restricts working for foreign governments, sets exceptions, and allows a small number of presidential waivers.

(a) Permanent and two-year rules for executive branch officers and employees. (1) Once you leave, you can never again contact or appear before any federal or D.C. officer, employee, court, or court-martial on behalf of someone else (not the government) about a "particular matter" if: (A) the U.S. or D.C. was a party to it or had a direct, substantial interest in it, (B) you personally and substantially worked on it while employed, and (C) it involved specific parties at that time. Breaking this is punished under section 216. (2) For two years after leaving, you also can't contact officials about a matter that (A) the U.S. or D.C. was a party to or had a direct interest in, (B) you knew or should have known was pending under your official responsibility during your last year of service, and (C) involved specific parties at that time. (3) Clarification: for executive branch employees, this only covers contacts with U.S. officials about matters where the U.S. is a party or has a direct interest. For D.C. employees, it only covers D.C. officials and D.C. matters. (b) One-year rule on trade or treaty negotiations. If you personally and substantially worked on an ongoing trade or treaty negotiation for the U.S. in your last year of service, and you had access to specially designated, legally protected information about it, you can't use that information to represent, aid, or advise anyone else about that negotiation for one year after leaving. Violators are punished under section 216. "Trade negotiation" means negotiations the President decided to pursue under the 1988 trade law; "treaty" means an international agreement needing Senate approval. (c) One-year rule for senior executive branch personnel. Certain senior officials (listed in paragraph (2)) can't, for one year after leaving, contact their old department or agency on someone else's behalf about any matter where they are seeking official action. Paragraph (2) lists who counts as senior: people paid at Senior Executive Service rates or higher, certain presidential or vice-presidential appointees, senior military officers at grade O-7 or above, and private-sector employees detailed to an agency. It exempts special government employees who worked fewer than 60 days in their last year, and lets the Office of Government Ethics waive the rule for a position if enforcing it would create an undue hardship in hiring and wouldn't risk undue influence. (d) Rules for very senior personnel. The Vice President, top-level executive-schedule officials, and certain presidential/vice-presidential appointees can't, for two years after leaving that position, contact certain people (listed in paragraph (2): anyone in the department they served in during their last year, and anyone in specified top-tier government positions) on someone else's behalf about a matter where they seek official action. (e) Rules for Congress members and legislative staff. (1) Senators can't, for two years after leaving office, contact Congress on someone else's behalf about a matter where they seek official action. House members and elected House officers face the same rule but for one year. (2) Senate elected officers and senior Senate employees face a one-year rule. (3) Personal staff of a House member face a one-year rule, limited to contacting that member's office. (4) Committee staff face a one-year rule, limited to contacting that committee or joint committee. (5) House leadership staff face a one-year rule, limited to contacting House leadership. (6) Staff of other legislative branch offices (like the Government Accountability Office or Library of Congress) face a one-year rule, limited to their own former office. (7) Limitation: paragraphs (2) through (5) only apply to staff who were paid at least 75% of a Member's salary for at least 60 days total in their last year; paragraph (6) only applies to staff paid at or above Executive Schedule level IV for the same 60-day threshold. (8) Exception: this subsection doesn't cover contacts with Senate or House staff about complying with lobbying disclosure rules. (9) This paragraph defines many terms used above, including "committee of Congress," "employee of the House/Senate," the various leadership-staff terms, and the specific leadership positions covered. (f) Rules on foreign entities. Anyone covered by subsection (c), (d), or (e) can't, within one year of leaving, represent a foreign government or foreign political party before federal officials to influence a decision, or aid or advise a foreign entity to influence such a decision. The U.S. Trade Representative and Deputy Trade Representative face this ban for life, not just one year. "Foreign entity" means a foreign government or foreign political party as defined in the Foreign Agents Registration Act. (g) Special rule for detailees. Someone detailed from one agency to another counts as an employee of both agencies while detailed. (h) Designating separate agencies. For subsection (c), the Director of the Office of Government Ethics can declare that a bureau within a department functions separately enough, with no risk of undue influence, to count as its own agency, and must review these designations yearly. This can't apply to any part of the Executive Office of the President, or to certain specific senior positions. (i) Definitions. "Officer or employee" (the person contacted) includes the President and Vice President for subsections (a), (c), and (d), and also Members of Congress for subsection (f). "Participated" means taking action through deciding, approving, disapproving, recommending, advising, investigating, or similar acts. "Particular matter" includes investigations, applications, rulings, rulemakings, contracts, controversies, claims, charges, arrests, and judicial or other proceedings. (j) Exceptions. (1) The restrictions don't apply to acts you do as part of your official duties for the U.S., D.C., or as an elected state or local official, or to certain acts authorized under a specific tribal self-determination law. (2) Subsections (c), (d), and (e) don't apply to state or local government employees acting on their government's behalf, or to employees of accredited universities, hospitals, or medical research nonprofits acting on that institution's behalf. (3) The restrictions don't apply to work for an international organization the U.S. belongs to, if the Secretary of State certifies in advance that it serves U.S. interests. (4) Subsections (c), (d), and (e) don't stop you from sharing your own personal, uncompensated expertise on a topic. (5) Subsections (a), (c), and (d) don't apply to communications made solely to share scientific or technical information, if done under approved procedures, or if the agency head certifies (after consulting the Office of Government Ethics, and publishing the certification) that you have outstanding technical qualifications the matter requires and that the national interest is served. (6) Nothing stops you from testifying under oath or making legally required statements. But a former executive branch employee covered by (a)(1) can't serve as a paid expert witness in that same matter for anyone except by court order; the same rule applies to former D.C. employees. (7) Subsections (c), (d), and (e) don't apply to communications made solely on behalf of a candidate, their campaign committee, a national or state party committee, or similar political organization. This exception doesn't cover former Federal Election Commission employees contacting the FEC, or people who, at the time, work for an employer other than a covered political organization (or one that serves only such organizations). (k) Presidential waiver. The President may waive this section's restrictions for up to 25 federal employees at a time, by certifying in writing that it's in the public interest and that the employee's services are critically needed. The waiver applies only to work at a government-owned, contractor-operated facility the person worked at just before joining the government (with a special extension for certain national laboratory employees). It's limited to civilian executive branch employees outside the Executive Office of the President. Each certification must be published in the Federal Register, name the employee and position, and state the reasons; a copy goes to the Office of Government Ethics. The President can't hand off this waiver power to anyone else. Each waived employee must file reports every six months for two years describing any activity that would otherwise have been banned; these reports are public. Failing to file causes the President to revoke the waiver, and the person becomes ineligible for civil service appointment until all required reports are filed. (l) Contract advice by former detailees. A private-sector employee who was detailed to an agency can't, within one year after the detail ends, represent, aid, counsel, or assist anyone else (except the U.S.) in connection with a contract with that agency. Violators are punished under section 216.

the actual law source: uscode.house.gov ↗public domain

(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 Publishing 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)).1

(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 2 (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 credit: (Added Pub. L. 87–849, § 1(a), Oct. 23, 1962, 76 Stat. 1123; amended Pub. L. 95–521, title V, § 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, § 814(d)(2), Nov. 29, 1989, 103 Stat. 1499; Pub. L. 101–194, title I, § 101(a), Nov. 30, 1989, 103 Stat. 1716; Pub. L. 101–280, §§ 2(a), 5(d), May 4, 1990, 104 Stat. 149, 159; Pub. L. 101–509, title V, § 529 [title I, § 101(b)(8)(A)], Nov. 5, 1990, 104 Stat. 1427, 1440; Pub. L. 102–25, title VII, § 705(a), Apr. 6, 1991, 105 Stat. 120; Pub. L. 102–190, div. C, title XXXI, § 3138(a), Dec. 5, 1991, 105 Stat. 1579; Pub. L. 102–395, title VI, § 609(a), Oct. 6, 1992, 106 Stat. 1873; Pub. L. 103–322, title XXXIII, §§ 330002(i), 330010(15), Sept. 13, 1994, 108 Stat. 2140, 2144; Pub. L. 104–65, § 21(a), Dec. 19, 1995, 109 Stat. 704; Pub. L. 104–179, §§ 5, 6, Aug. 6, 1996, 110 Stat. 1567, 1568; Pub. L. 104–208, div. A, title I, § 101(f) [title VI, § 635], Sept. 30, 1996, 110 Stat. 3009–314, 3009–363; Pub. L. 105–244, title I, § 102(a)(5), Oct. 7, 1998, 112 Stat. 1618; Pub. L. 107–347, title II, § 209(d)(1), (3), Dec. 17, 2002, 116 Stat. 2930; Pub. L. 108–136, div. A, title XI, § 1125(b)(1), Nov. 24, 2003, 117 Stat. 1639; Pub. L. 108–271, § 8(b), July 7, 2004, 118 Stat. 814; Pub. L. 110–81, title I, §§ 101, 104(a), Sept. 14, 2007, 121 Stat. 736, 740; Pub. L. 111–148, title III, § 3403(a)(2), Mar. 23, 2010, 124 Stat. 506; Pub. L. 113–235, div. H, title I, § 1301(b), Dec. 16, 2014, 128 Stat. 2537; Pub. L. 115–123, div. E, title XI, § 52001(b)(1), Feb. 9, 2018, 132 Stat. 298.)

history & why it existsrecord from the source credit

1962Enacted · Pub. L. 87-849 · 76 Stat. 1123
1978Amended · Pub. L. 95-521 · 92 Stat. 1864
1979Amended · Pub. L. 96-28 · 93 Stat. 76
1989Amended · Pub. L. 101-189 · 103 Stat. 1499
1989Amended · Pub. L. 101-194 · 103 Stat. 1716
1990Amended · Pub. L. 101-280 · 104 Stat. 149, 159
1990Amended · Pub. L. 101-509 · 104 Stat. 1427, 1440
1991Amended · Pub. L. 102-25 · 105 Stat. 120
1991Amended · Pub. L. 102-190 · 105 Stat. 1579
1992Amended · Pub. L. 102-395 · 106 Stat. 1873
1994Amended · Pub. L. 103-322 · 108 Stat. 2140, 2144
1995Amended · Pub. L. 104-65 · 109 Stat. 704
1996Amended · Pub. L. 104-179 · 110 Stat. 1567, 1568
1996Amended · Pub. L. 104-208 · 110 Stat. 3009
1998Amended · Pub. L. 105-244 · 112 Stat. 1618
2002Amended · Pub. L. 107-347 · 116 Stat. 2930
2003Amended · Pub. L. 108-136 · 117 Stat. 1639
2004Amended · Pub. L. 108-271 · 118 Stat. 814
2007Amended · Pub. L. 110-81 · 121 Stat. 736, 740
2010Amended · Pub. L. 111-148 · 124 Stat. 506
2014Amended · Pub. L. 113-235 · 128 Stat. 2537
2018Amended · Pub. L. 115-123 · 132 Stat. 298

A history note hasn’t been published yet. The record shows enactment by Pub. L. 87-849 on 1962-10-23.

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