18 USC 207 - Restrictions on former officers, employees, and elected officials of the executive and legislative branches

1 See References in Text note below.

2 So in original. Probably should be “subsection”.

(c), (d), or (e) if, at the time of the communication or appearance, the person is employed by a person or entity other than—

Editorial Notes

References in Text

Section 1102 of the Omnibus Trade and Competitiveness Act of 1988, referred to in subsec. (span)(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 Puspan. 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 Puspan. L. 104–65, Dec. 19, 1995, 109 Stat. 691, which is classified principally to chapter 26 (§ 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 Puspan. 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 104(j) of the Indian Self-Determination and Education Assistance Act (25 U.S.C. 450i(j)), referred to in subsec. (j)(1)(B), was formerly classified to section 450i(j) of Title 25, Indians, prior to editorial reclassification as section 5323(j) of Title 25.

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 Puspan. L. 95–521, as added by Puspan. L. 101–194, title VI, § 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 Puspan. 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 Puspan. L. 87–849.

Amendments

2018—Subsec. (c)(3). Puspan. L. 115–123 struck out par. (3) which related to members of the independent payment advisory board.

2010—Subsec. (c)(3). Puspan. L. 111–148, § 3403(a)(2), added par. (3).

2007—Subsec. (d)(1). Puspan. L. 110–81, § 101(a), substituted “within 2 years” for “within 1 year” in concluding provisions.

Subsec. (e)(1). Puspan. L. 110–81, § 101(span)(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). Puspan. L. 110–81, § 101(span)(3), added par. (2). Former par. (2) redesignated (3).

Subsec. (e)(3). Puspan. L. 110–81, § 101(span)(2), redesignated par. (2) as (3). Former par. (3) redesignated (4).

Subsec. (e)(3)(A). Puspan. L. 110–81, § 101(span)(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). Puspan. L. 110–81, § 101(span)(4)(B), struck out “Senator or” before “Member of the House” in cls. (i) and (ii).

Subsec. (e)(4). Puspan. L. 110–81, § 101(span)(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.

Puspan. L. 110–81, § 101(span)(2), redesignated par. (3) as (4). Former par. (4) redesignated (5).

Subsec. (e)(5). Puspan. L. 110–81, § 101(span)(2), redesignated par. (4) as (5). Former par. (5) redesignated (6).

Subsec. (e)(5)(A). Puspan. L. 110–81, § 101(span)(6)(A), substituted “to whom paragraph (7)(A) applies” for “or an employee on the leadership staff of the Senate”.

Subsec. (e)(5)(B). Puspan. L. 110–81, § 101(span)(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). Puspan. L. 110–81, § 101(span)(2), redesignated par. (5) as (6). Former par. (6) redesignated (7).

Subsec. (e)(6)(A). Puspan. L. 110–81, § 101(span)(7), inserted “to whom paragraph (7)(B) applies” after “office of the Congress”.

Subsec. (e)(7). Puspan. L. 110–81, § 101(span)(2), redesignated par. (6) as (7). Former par. (7) redesignated (9).

Subsec. (e)(7)(A). Puspan. L. 110–81, § 101(span)(8)(A), substituted “(4), and (5)” for “and (4)”.

Subsec. (e)(7)(B). Puspan. L. 110–81, § 101(span)(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). Puspan. L. 110–81, § 101(span)(9), added par. (8).

Subsec. (e)(9). Puspan. L. 110–81, § 101(span)(1), redesignated par. (7) as (9).

Subsec. (e)(9)(G). Puspan. L. 110–81, § 101(span)(10), struck out “the Copyright Royalty Tribunal,” after “Congressional Budget Office,” and substituted “(4), or (5)” for “or (4)”.

Subsec. (j)(1). Puspan. L. 110–81, § 104(a), inserted subpar. (A) designation and span, realigned margins, and added subpar. (B).

2004—Subsec. (e)(7)(G). Puspan. L. 108–271 substituted “Government Accountability Office” for “General Accounting Office”.

2003—Subsec. (c)(2)(A)(ii). Puspan. 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). Puspan. L. 107–347, § 209(d)(1), added cl. (v).

Subsec. (l). Puspan. L. 107–347, § 209(d)(3), added subsec. (l).

1998—Subsec. (j)(2)(B). Puspan. L. 105–244 substituted “section 101” for “section 1201(a)”.

1996—Subsec. (c)(2)(A)(ii). Puspan. L. 104–179, § 6, substituted “level 5 of the Senior Executive Service,” for “level V of the Executive Schedule,”.

Subsec. (e)(6)(B). Puspan. L. 104–208 substituted “level 5 of the Senior Executive Service” for “level V of the Executive Schedule”.

Subsec. (j). Puspan. L. 104–179, § 5, added par. (7).

1995—Subsec. (f)(2). Puspan. 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). Puspan. L. 103–322, § 330010(15), substituted “restrictions” for “Restrictions” in span.

Subsec. (c)(2)(A)(ii). Puspan. L. 103–322, § 330002(i), substituted a comma for semicolon at end.

1992—Subsec. (f)(2), (3). Puspan. L. 102–395 added par. (2) and redesignated former par. (2) as (3).

1991—Subsec. (k). Puspan. L. 102–25 reinstated subsec. (k) as originally enacted by Puspan. L. 101–189. See 1989 Amendment note and Effective Date of 1991 Amendments note below.

Subsec. (k)(1)(B). Puspan. L. 102–190 designated existing provisions as cl. (i) and added cl. (ii).

1990—Subsec. (a)(1). Puspan. L. 101–280, § 2(a)(1), amended subsec. (a)(1), as amended by Puspan. 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). Puspan. L. 101–280, § 2(a), amended subsec. (a)(2), as amended by Puspan. 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). Puspan. L. 101–280, § 2(a)(3), amended subsec. (a), as amended by Puspan. L. 101–194, by adding par. (3).

Subsec. (span)(1). Puspan. L. 101–280, § 2(a)(4), amended subsec. (span)(1), as amended by Puspan. 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). Puspan. L. 101–280, § 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). Puspan. L. 101–280, § 2(a)(5)(A), amended subsec. (c)(1), as amended by Puspan. 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). Puspan. L. 101–280, § 2(a)(5)(B)(i), amended subsec. (c)(2)(A)(i), as amended by Puspan. 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). Puspan. L. 101–509, § 529 [title I, § 101(span)(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,”.

Puspan. L. 101–280, § 2(a)(5)(B)(ii), amended subsec. (a)(2)(A)(ii), as amended by Puspan. L. 101–194, by substituting “rate of basic” for “basic rate of” wherever appearing.

Subsec. (c)(2)(C), (D). Puspan. L. 101–280, § 2(a)(5)(B)(iii), amended subsec. (c)(2)(C), (D), as amended by Puspan. 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). Puspan. L. 101–280, § 2(a)(6)(A), amended subsec. (d)(1)(B), as amended by Puspan. L. 101–194, by substituting “in the executive branch of the United States (including any independent agency)” for “paid”.

Subsec. (d)(2). Puspan. L. 101–280, § 2(a)(6)(B), amended subsec. (d)(2), as amended by Puspan. L. 101–194, by substituting “Persons who may not be contacted” for “Entities to which restrictions apply” in span, and striking out “other” after “any” in subpar. (B).

Subsec. (e)(6). Puspan. L. 101–509, § 529 [title I, § 101(span)(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.”

Puspan. L. 101–280, § 2(a)(7)(A), amended subsec. (e)(6), as amended by Puspan. L. 101–194, by substituting “rate of basic” for “basic rate of” wherever appearing.

Subsec. (e)(7)(L), (M). Puspan. L. 101–280, § 2(a)(7)(B), amended subsec. (e)(7)(L), (M), as amended by Puspan. L. 101–194, by inserting “on or” before “after the effective date”.

Subsec. (f)(1). Puspan. L. 101–280, § 2(a)(8)(A), amended subsec. (f)(1), as amended by Puspan. L. 101–194, by substituting “such subsection” for “subsection (c), (d), or (e), as the case may be”.

Subsec. (f)(1)(A). Puspan. L. 101–280, § 2(a)(8)(B), amended subsec. (f)(1)(A), as amended by Puspan. L. 101–194, by striking out “the interests of” after “represents” and “of the Government” after “department or agency”.

Subsec. (f)(1)(B). Puspan. L. 101–280, § 2(a)(8)(C), amended subsec. (f)(1)(B), as amended by Puspan. L. 101–194, by striking out “of the Government” after “department or agency”.

Subsec. (i)(1). Puspan. L. 101–280, § 2(a)(9), amended subsec. (i)(1), as amended by Puspan. 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). Puspan. L. 101–280, § 2(a)(10)(A), amended subsec. (j)(1), as amended by Puspan. 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). Puspan. L. 101–280, § 2(a)(10)(B), amended subsec. (j)(3), as amended by Puspan. 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). Puspan. L. 101–280, § 2(a)(10)(C), amended subsec. (j)(4), as amended by Puspan. L. 101–194, by substituting “Special” for “Personal matters and special” in span, 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). Puspan. L. 101–280, § 2(a)(10)(D), amended subsec. (j)(5), as amended by Puspan. 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). Puspan. L. 101–280, § 2(a)(10)(E)(ii), amended subsec. (j)(6), as amended by Puspan. 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).

Puspan. L. 101–280, § 2(a)(10)(E)(i), amended subsec. (j)(6), as amended by Puspan. 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—Puspan. 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 span and structure of text. For text of section as it existed prior to the general amendment by Puspan. L. 101–194, see Effective Date of 1989 Amendment; Effect on Employment note set out below.

Subsec. (k). Puspan. L. 101–189 added subsec. (k).

1979—Subsec. (span). Puspan. L. 96–28, § 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). Puspan. L. 96–28, § 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—Puspan. 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.

Statutory Notes and Related Subsidiaries

Change of Name

“Government Publishing Office” substituted for “Government Printing Office” in subsec. (e)(9)(G) on authority of section 1301(span) of Puspan. L. 113–235, set out as a note preceding section 301 of Title 44, Public Printing and Documents.

Effective Date of 2007 Amendment

Puspan. L. 110–81, title I, § 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 Puspan. L. 108–136 effective on first day of first pay period beginning on or after Jan. 1, 2004, see section 1125(c)(1) of Puspan. 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 Puspan. L. 107–347 effective 120 days after Dec. 17, 2002, see section 402(a) of Puspan. 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 Puspan. L. 105–244 effective Oct. 1, 1998, except as otherwise provided in Puspan. L. 105–244, see section 3 of Puspan. L. 105–244, set out as a note under section 1001 of Title 20, Education.

Effective Date of 1995 Amendment

Puspan. L. 104–65, § 21(c), Dec. 19, 1995, 109 Stat. 705, 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

Puspan. L. 102–395, title VI, § 609(span), Oct. 6, 1992, 106 Stat. 1873, 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

Puspan. L. 102–190, div. C, title XXXI, § 3138(span), Dec. 5, 1991, 105 Stat. 1580, 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.”

Puspan. L. 102–25, title VII, § 705(a), Apr. 6, 1991, 105 Stat. 120, provided that subsec. (k), added by Puspan. L. 101–189 and omitted in the general amendment of this section by Puspan. L. 101–194, is reinstated as originally enacted, effective as of Jan. 1, 1991.

Effective Date of 1990 Amendments

Puspan. L. 101–509, title V, § 529 [title I, § 101(span)(8)(B)], Nov. 5, 1990, 104 Stat. 1427, 1441, provided that: “The amendments made by subparagraph (A) [amending this section] take effect on January 1, 1991.”

Amendment by Puspan. L. 101–280 effective May 4, 1990, see section 11 of Puspan. L. 101–280, set out as a note under section 101 of Puspan. L. 95–521 in the Appendix to Title 5, Government Organization and Employees.

Effective Date of 1989 Amendment; Effect on Employment

Puspan. L. 101–194, title I, § 102, Nov. 30, 1989, 103 Stat. 1724, as amended by Puspan. L. 101–280, § 2(span), May 4, 1990, 104 Stat. 152, provided that:

“(a)In General.—

(1) Subject to paragraph (2) and to subsection (span), the amendments made by section 101 [amending this section] take effect on January 1, 1991.

“(2) Subject to subsection (span), 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).

“(span)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 Puspan. L. 101–194, section 207 read as follows:

“§ 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

“(span) 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), (span), 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), (span), 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

Puspan. L. 95–521, title V, § 502, Oct. 26, 1978, 92 Stat. 1867, 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 Puspan. L. 101–194, title VI, § 601(a), Nov. 30, 1989, 103 Stat. 1761, and is now set out in the Appendix to Title 5.

Puspan. L. 95–521, title V, § 503, Oct. 26, 1978, 92 Stat. 1867, which provided that the amendments made by section 501 (amending this section) shall become effective on July 1, 1979, was amended generally by Puspan. L. 101–194, title VI, § 601(a), Nov. 30, 1989, 103 Stat. 1761, and is now set out in the Appendix to Title 5, Government Organization and Employees.

Effective Date

Section effective 90 days after Oct. 23, 1962, see section 4 of Puspan. 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

Puspan. L. 110–81, title I, § 104(c), Sept. 14, 2007, 121 Stat. 740, provided that: “Except as expressly identified in this section [amending this section and section 5323 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.

Senate Democratic Leadership Offices Funding and Authorities

Reference to the Office of the Secretary of the majority or minority conference of the Senate, as applicable, that represents the Democratic party deemed to be a reference to the Office of the Assistant Leader of the applicable conference, under certain conditions during the 117th Congress, see section 104 of div. I of Puspan. L. 116–260, set out as a note under section 6154 of Title 2, The Congress.

Exemptions

Exemptions from former section 284 of this title deemed to be exemptions from this section, see section 2 of Puspan. L. 87–849, set out as a note under section 203 of this title.

Executive Documents

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, § 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.