207(a)(2). A staff attorney in the Federal Emergency Management Agency's Office of General Counsel is consulted by procurement officers concerning the correct resolution of a contractual matter involving Able Company. For purposes of this paragraph, a former senior employee may not contact: (i) Any current Federal employee of the former senior employee's former agency as defined in paragraph (g)(2) of this section; (ii) An individual detailed under the Intergovernmental Personnel Act (5 U.S.C. After terminating Government service, the analyst is hired by the corporation. The Federal Criminal Conflict of Interest Statutes, the Government-wide Standards of Ethical Conduct regulation, and HUD's Supplemental Standards of Ethical Conduct regulation prohibit Department employees from engaging in the following: a. (2) Any other person. (2) Acting as an elected State or local government official. After terminating Government service, the former employee joins a nonprofit group formed to promote family togetherness. Unless otherwise indicated, the term encompasses a former senior employee and a former very senior employee. The official, published CFR, is updated annually and available below under [Reserved], (h) Ongoing trade or treaty negotiation. (iii) A former employee also may permit the broadcast or publication of a commentary provided that it is broadcast or appears in a newspaper, periodical, or similar widely available publication. The division director also would have retained official responsibility for the matter had he either asked his supervisor or another division director to oversee the matter. If the President issues a waiver, a certification shall be published in the Federal Register and shall identify: (i) The employee covered by the waiver by name and position; and. The Director of the Office of Government Ethics may waive application of the restriction of section 18 U.S.C. An employee of the National Endowment for the Humanities becomes acting Division Director of the Division of Education Programs when the Division Director is away from the office for three days to attend a conference. The former employee may represent a group of grantees submitting comments critical of the proposed regulation. (2) Limitation on exception for service as an expert witness. Fish and Wildlife Service (effective January 28, 1992). 207(a)(1) does not apply to a former employee who is: (1) Acting on behalf of the United States. A conflict of . To participate personally means to participate: (i) Directly, either individually or in combination with other persons; or. The adoption of a standard form and language for all contracts is a matter of general applicability, not a particular matter involving specific parties. 207(c) applies with respect to any agency in which the former senior employee served in any capacity during the one-year period, regardless of his position, rate of basic pay, or pay grade. Most of these "post-employment" restrictions can be found in a criminal conflict of interest statute, 18 U.S.C. The agency guidance was sufficiently specific, and it was clearly intended to address the substance of a prospective application and to guide the prospective applicant in preparing an application that would meet approval requirements. 207(f) does not apply to a former senior or former very senior employee who is: (1) Acting on behalf of the United States. 49 CFR 172.101 None of the restrictions of section 207 prohibits any former employee, regardless of Government rank or position, from accepting employment with any particular private or public employer. After leaving Government, the former FDA employee would not be prohibited from representing a manufacturer in connection with the final rule or the application of the rule in any specific case. 207. A total of no more than 25 current employees shall hold waivers at any one time. This guidance focuses on potential conflicts of interest that can arise from financial interests that often accompany employment with a corporation. 207(b). Office of Federal Contract Compliance Programs (effective December 29, 2016). (ii) Any day on which work is performed shall count toward the 60-day threshold without regard to the number of hours worked that day or whether the day falls on a weekend or holiday. A former employee of the agency, now employed by the contractor, is the person most familiar with the technical aspects of the proposed testing procedure. The agency head may revoke a certification and shall forward a written notice of the revocation to the former employee and to the OGE Director. After the employee left Government, the Army sought a contract modification to add another one million shells. A former senior employee becomes a government relations consultant, and he enters into a $5,000 per month retainer agreement with XYZ Corporation for government relations services. He terminates Government service in order to care for his parent who is recovering from heart surgery. ) or https:// means youve safely connected to the .gov website. Under Section 208 and the New York Fed's code of conduct, a Bank employee is prohibited from participating personally and substantially in an official capacity in any . The agency official asks the former employee about certain technical features of the equipment used in connection with the testing procedure. (b) Exceptions and waivers. (f) To or before an employee of the United States See 2641.201(f). Section 208). 5312 or for which the rate of pay is equal to the rate of pay payable for level I of the Executive Schedule; (2) Employed in a position in the Executive Office of the President which is either listed in 5 U.S.C. (2) There exists no potential for the use of undue influence or unfair advantage based on past Government service. 207(h), each of the following agencies is determined, for purposes of 18 U.S.C. The former Army employee may not represent Munitions in connection with this modification, because it is part of the same particular matter involving specific parties as the original contract. In the ensuing case in Federal court between the employee who had been removed and his agency over whether he had been discriminated against because of his disabling alcoholism, his former supervisor was asked whether on certain occasions the employee had been intoxicated on the job and unable to perform his assigned duties. Consequently, when the facts suggest that a particular matter involving specific parties could have been actually pending under his official responsibility, a former employee should seek information from an agency ethics official or other Government official to clarify his role in the matter. Appendix A to Part 2641Positions Waived From 18 U.S.C. An individual served as an employee of the Agency for International Development, an agency within the executive branch. Government corporation means, for purposes of determining the individuals subject to 18 U.S.C. He may, however, speak directly to the President or Vice President concerning the issue. 101, a Government corporation, an independent establishment (other than the Government Accountability Office), the Postal Service, the Postal Regulatory Commission, and also includes any other entity or administrative unit in the executive branch. A budget officer at the National Oceanic and Atmospheric Administration (NOAA) is asked to review NOAA's budget to determine if there are funds still available for the purchase of a new hurricane tracking device. The agency had been designated as a distinct and separate component of Department X by the Director of the Office of Government Ethics. Learn more about the eCFR, its status, and the editorial process. In promulgating such procedures, an agency may consider, for example, one or more of the following: (A) Requiring that the former employee specifically invoke the exception prior to making a communication (or series of communications); (B) Requiring that the designated agency ethics official for the agency to which the communication is directed (or other agency designee) be informed when the exception is used; (C) Limiting communications to certain formats which are least conducive to the use of personal influence; (D) Segregating, to the extent possible, meetings and presentations involving technical substance from those involving other aspects of the matter; or. PDF Conflicts of Interest Considerations: Corporate Employment - OGE The prohibition applies only to communications or appearances made in connection with a particular matter involving a specific party or parties. Although the statute defines particular matter broadly to include any investigation, application, request for a ruling or determination, rulemaking, contract, controversy, claim, charge, accusation, arrest, or judicial or other proceeding, 18 U.S.C. 5316, at a rate of pay payable for level V of the Executive Schedule. (ii) Regardless of the position occupied, private sector assignees under the Information Technology Exchange Program, within the meaning of paragraph (6) of the definition of senior employee in section 2641.104, are not eligible to benefit from a waiver. Regulations providing guidance concerning 18 U.S.C. Opposing counsel objected to the question on the basis that the question required expert testimony and the witness had not been qualified as an expert. Defense Threat Reduction Agency (effective February 5, 1999). A Federal Transit Administration (FTA) employee recommended against the funding of a certain subway project. A former employee of the Federal Highway Administration (FHWA) participated personally and substantially in the decision to provide funding for a bridge across the White River in Arkansas. 207(c) has been waived by the Director pursuant to this paragraph, the one-year restriction of 18 U.S.C. (In the case of a Reserve officer of the Armed Forces or an officer of the National Guard who is a special Government employee serving in a senior employee position, section 207(c) is measured from the date when the officer terminates a period of active duty or active duty for training. Distinct and separate components shall be designated in accordance with the following procedure: (1) Agency recommendation. The prohibition applies only to communications or appearances made by a former Government employee with the intent to influence the United States. The former employee may not participate in any discussion of this issue. After a series of meetings, the agency advised the company concerning the design of additional studies that it should perform in order to address those issues that the agency still believed were unresolved. (2) Civil penalties. Department of Defense Standards of Conduct Office > DoD Personnel (f) Effective dates. 207(c) when she resigns from the advisory committee since she served 60 or more days as a special Government employee during the one-year period before terminating service as a senior employee. 207(c) and 2641.204, with respect to certain positions or categories of positions. A Government employee reviewed and approved certain wiretap applications. Section 2641.204(g)(2)(iv)(A) through (g)(2)(iv)(C) should be used for guidance in determining how the 18 U.S.C. A former senior employee will be considered to have served in his own employing entity and in any entity to which he was detailed for any length of time or with which he was required to serve as a collateral duty pursuant to statute or Executive order. During those three days, the employee has authority to direct Government action in connection with many matters with which she ordinarily would have no involvement. Criminal and civil enforcement of the provisions of 18 U.S.C. (d) Communication or appearance. A former Regional Administrator of the Occupational Safety and Health Administration (OSHA) becomes a consultant for a company being investigated for possible enforcement action by the regional OSHA office. His communication is directed to an agency employee because he intended that the information be conveyed to an agency employee with the intent that it be attributed to himself, and the circumstances indicate such a close working relationship between contractor personnel and agency employees that it was likely that the information conveyed to contractor personnel would be received by the agency. See 2641.301(b). 3613(d), permitting the individual who was Administrator of the Panama Canal Commission on the date of its termination to act in carrying out official duties as Administrator of the Panama Canal Authority notwithstanding 18 U.S.C. She has participated personally and substantially in the matter. (e) Exception for furnishing scientific or technological information. After she left Government, DOD issued a request for proposals to construct the new system, and she now seeks to represent one of the bidders in connection with this procurement. The IRS attorney in the previous example had no further involvement in the litigation. Substance Abuse and Mental Health Services Administration (effective May 16, 1997). Legislative branch means the Congress; it also means the Office 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, office, or commission established in the legislative branch. Microsoft Edge, Google Chrome, Mozilla Firefox, or Safari. For purposes of this paragraph, the United States means: (i) The executive branch (including a Government corporation); (2) Party or direct and substantial interest. (3) Incidental references or remarks. (2) Issuance. 1 Therefore, until the covered relationship has terminated, when an employee knows that their former employer is or represents a party to a particular 1 5 C.F.R. Form 1023: Purpose of Conflict of Interest Policy | Internal Revenue A former agency attorney participated in drafting a standard form contract and certain standard terms and clauses for use in all future contracts. The one-year period is measured from the date when the individual's assignment under the Information Technology Exchange Program terminates. As the designated component from which the former senior employee terminated is no longer identifiable as substantially the same entity, the 18 U.S.C. (b) Exceptions and waivers. (i) Waiver for re-employment by Government-owned, contractor-operated entity. 207(c) restriction has been waived. An attorney in the Department of Justice drafted provisions of a civil complaint that is filed in Federal court alleging violations of certain environmental laws by ABC Company. (c) Commencement and length of restriction . After terminating Government service, the former employee is hired by the company to lobby key Members of Congress concerning the necessity of the proceeding. (ii) The Director of the Office of Government Ethics may review any agency implementation of this exception in connection with OGE's executive branch ethics program oversight responsibilities. The eCFR is displayed with paragraphs split and indented to follow For purposes of this paragraph, a specified entity is: (i) An agency or instrumentality of a State or local government; (ii) A hospital or medical research organization, if exempted from taxation under 26 U.S.C. 207(f), a former employee engages in an activity on behalf of the United States when he serves: (1) As a representative of the United States pursuant to a specific agreement with the United States to provide representational services to the United States; or. 18 U.S.C. (1) Eligible employees. Individuals who formerly served in a position for which a waiver of restrictions was applicable will not become subject to 18 U.S.C. Defense Advanced Research Projects Agency (DARPA) (effective April 6, 2021). An individual becomes a former employee at the termination of Government service, whereas an individual becomes a former senior employee or a former very senior employee at the termination of service in a senior or very senior employee position. 207 from engaging in any activity on behalf of the United States. A certification issued in accordance with this section may not broaden the scope of the exception and may be issued only when: (A) The former employee has outstanding qualifications in a scientific, technological, or other technical discipline (involving engineering or other natural sciences as distinguished from a nontechnical discipline such as law, economics, or political science); (B) The matter requires the use of such qualifications; and. (3) Temporary duties. 207 is the responsibility of the Department of Justice. 207(c)(2)(C) and 5 CFR 2641.301(j), each of the following positions is waived from the provisions of 18 U.S.C. See also example 9 to paragraph (j) of 2641.202 and example 1 to paragraph (d) of 2641.204. He is prohibited from contacting the Secretary of Defense and DOD's Inspector General. Designated agency ethics official (DAEO) means the official designated under 5 CFR 2638.201 to coordinate and manage an agency's ethics program. A former employee of the Mine Safety and Health Administration (MSHA) participated personally and substantially in the development of a regulation establishing certain new occupational health and safety standards for mine workers. This statute prohibits a Federal employee from directly or indirectly receiving or soliciting anything of value in exchange for being influenced in the performance or non-performance of any official act, including giving testimony, or in exchange for committing fraud. During the preliminary stage in which the former employee participated, no specific architectural firms had been identified for the proposed work. He may not, however, present the company's argument that an advance payment is due the company under the terms of the contract since this would not be a mere incidental reference or remark within the meaning of paragraph (e)(3) of this section. The former senior employee made a communication for the purpose of inducing the NSF employee to make a decision in his official capacity about contacting the White House. The former employee would like to meet with agency representatives to present a tentative list of options developed by the contractor. 149) and by subsequent amendments. PDF Retired Officers Conflict of Interest Act Senators Elizabeth Warren and 18 U.S.C. Predictable: a real, as opposed to speculative possibility, that the matter will affect the financial interest (the magnitude of the gain or loss is immaterial). formatting. It includes a person who is employed to work part-time for a specified entity. developer resources. An employee of the National Science Foundation formulated policies for a grant program for organizations nationwide to produce science education programs targeting elementary school age children. However, there was nothing to preclude other manufacturers from entering the market in the future. Topics covered include: Brokerage Account | Business Development Company (BDC)|Individual Retirement Account (IRA), Roth IRA, Simplified Employee Pension IRA (SEP IRA), or Keogh Plan | Mutual Funds, Exchange-Traded Funds (ETFs), and Unit Investment Trusts (UITs) | Qualified Tuition Program (529 Plan) | Real Estate Holding Company (other than REITs) | Self-Funded Defined Benefit Pension Plan | Trust (revocable living) | Trust (irrevocable) | Trustees | Uniform Gifts to Minors Act (UGMA) or Uniform Transfers to Minors Act (UTMA) Account | Will or Estate. is available with paragraph structure matching the official CFR The conflict of interest provisions of paragraph (b) of this section apply to any person who is an employee, agent, consultant, officer, or elected official or appointed official of the recipient, or of any designated public agencies, or of subrecipients that are receiving funds under this part. For the amount of the criminal fines that may be imposed, see 18 U.S.C. Person includes an individual, corporation, company, association, firm, partnership, society, joint stock company, or any other organization, institution, or entity, including any officer, employee, or agent of such person or entity. All particular matters under consideration in an agency are under the official responsibility of the agency head and each is under that of any intermediate supervisor who supervises a person, including a subordinate, who actually participates in the matter or who has been assigned to participate in the matter within the scope of his official duties. Official responsibility for a matter is not eliminated through self-disqualification or avoidance of personal participation in a matter, as when an employee is disqualified from participating in a matter in accordance with subparts D, E, or F of 5 CFR part 2635 or part 2640. A second two-year restriction commences when she terminates from her second period of Government service but it applies only with respect to any particular matter actually pending under her official responsibility during her three-month term as an SGE. Moreover, if the circumstances clearly indicate that even her continued presence during this discussion would be an appearance made with the intent to influence, she should excuse herself from the meeting. (b) Penalties and injunctions. (6) Assigned from a private sector organization under chapter 37 of 5 U.S.C. Particular Matter: a matter that is focused upon the interests of specific persons, or a discrete and identifiable class of persons, does not include broad policy options or considerations directed toward the interest of a large and diverse group. The expert is compensated at a daily rate which is the equivalent of 86.5 percent of the rate of basic pay for a full-time employee at level II of the Executive Schedule. App. (e) No personal attorney-client privilege. The request was not pending under the subordinate's official responsibility since a non-supervisory employee does not have official responsibility for her own assignments. 18 U.S.C. An agency official visits the premises of a prospective contractor to evaluate the testing procedure being proposed by the contractor for a research contract on which it has bid. Intergovernment Personnel Act - U.S. Office of Personnel Management The former senior employee may represent the Postal Service in meetings with OPM concerning the dispute about the health plan brochures. Employee means, for purposes of determining the individuals subject to 18 U.S.C. 203 and 41 U.S.C. An International Trade Commission (ITC) computer programmer developed software designed to analyze data related to unfair trade practice complaints. (2) As a witness called by the United States (including a Congressional committee or subcommittee) to testify at a Congressional hearing (even if applicable procedural rules do not require him to declare by oath or affirmation that he will testify truthfully). Current or former employees or others who have questions about 18 U.S.C. For guidance regarding potential conflicts that can arise from specific types of employment or business ownership, see the following: ConflictsofInterestConsiderations:BusinessorFarmOwnership; ConflictsofInterestConsiderations:CorporateEmployment; ConflictsofInterestConsiderations:EmploymentwithInstitutionsofHigherEducationandRelatedResearch,Speaking,andWritingActivities; ConflictsofInterestConsiderations:LawFirmorConsultingEmployment; ConflictsofInterestConsiderations:PrivateInvestmentFundsandEmployment withanInvestmentFund. A current or former employee who discloses information to an agency ethics official, to a Government attorney, or to an employee of the Office of Government Ethics does not personally enjoy an attorney-client privilege with respect to such communications. Agency ethics official means the designated agency ethics official (DAEO) or the alternate DAEO, appointed in accordance with 5 CFR 2638.202(b), and any deputy ethics official described in 5 CFR 2638.204. 207, a corporation that is owned or controlled by the Government of the United States. Absent such designation, the representational bar of section 207(c) extends to the whole of the agency in which the former senior employee served. Moreover, because of changes in the Army's internal system for storing and distributing shells to various locations, the modifications would require Munitions to deliver its product to several de-centralized destination points, thus requiring Munitions to develop novel delivery and handling systems and incur new transportation costs. The particular matter must involve specific parties both at the time the individual participated as a Government employee and at the time the former employee makes the communication or appearance, although the parties need not be identical at both times. Pursuant to the provisions of 18 U.S.C. She may not do so. For guidance regarding potential conflicts that can arise from employment interests generally, see ConflictsofInterestConsiderations:CommonEmploymentInterests. See 2641.301(f)(2).). She became a former employee, therefore, when she terminated Government service to do some traveling. In the event that any controversy should arise concerning the return, the former employee may not represent the client in the proceeding, although he may answer direct factual questions about the records he used to compile figures for the return, provided that he does not argue any theories or positions to justify the use of one figure rather than another. Organization and Purpose (This term is redefined elsewhere in this part, as necessary, when the term is used for other purposes.). 207(c) (and section 207(f)) restriction for a position or category of positions by forwarding a written request to the Director addressing the criteria set forth in paragraph (j)(2) of this section. He has participated in a particular matter involving specific parties and may not represent another person in connection with the ensuing administrative or judicial proceedings against the company. The former senior employee may address the committee even though her testimony will unavoidably also be directed to a current employee of the FDA who has also been asked to testify as a member of the same panel of experts.
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