SUMMARY OF THE POST-EMPLOYMENT RESTRICTIONS OF THE ETHICS IN GOVERNMENT ACT OF 1978 AND IMPORTANT INTERPRETATIONS IN THE REGULATIONS - CONTAINS JUNE 1979 AMENDMENTS

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP86B00154R000100030002-2
• Release Decision: RIFPUB
• Original Classification: K
• Document Page Count: 4
• Document Creation Date: January 4, 2017
• Document Release Date: April 10, 2008
• Sequence Number: 2
• Content Type: REPORT

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il'i ICe 01 Office of Per - nel Management
Washington, I7.C. 20415
Summary of the Post-Employment Restrictions
of the Ethics in Government Act of 1978 and
Important Interpretations in the Regulations
-Contains June 1979 Amendments-
Introduction
The Ethics in Government Act (the ~ Act) added new
restrictions to existing provisions of 18 U.S.C. section 207. Generally
speaking, this statute prohibits a former Government employee from
acting as another person's representative to the Government in
matters in - which the employee had been inv i~~e in the
Government. It also prohibits a former " ..nior Employee" from
attempting to influence his former agenc on a matter,,~-of agency
business in the first year after his leaving t e overnment. New
amendments passed in June 1979 eliminate certain unintended effects
and contain certain exemptions for State and local governments, and
nonprofit medical and higher edification institutions.
What is prohibited depends upon the degree of the former
employee's involvement in a matter while in Government, and
whether he was one of 'a specified group of high-ranking employees
("Senior Employees").
Nothing in the Act requires a former employee to decline
employment with any organization, regardless of his or her dealings
with that organization while a Government employee.
Here is how the provisions work. There are only four basic
restrictions:
A. Restrictions Applicable to all Former Employees
1. Permanent Bar. A former Government employee may
not serve as another person's representative to the Government on a
case, contractual matter or other similar application or proceeding in
which he or she participated "personally and substantially" while a
Government employee.
o This prohibition attacks "switching sides." There
are two important limitations. First, the former
employee is not restricted unless the matter in
which he previously participated (1) was a
"particular matter involving specific parties" and
(2) is the same' matter in which he now attempts
to represent another before the Government.
(to
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Thus, where an employee's prior work was limited
to general matters, say, the design of a program,
policy, general rulemaking, or technical concepts,
he is not restricted by this prohibition as to any
particular matters, which may involve this prior
work, that is, specific contracts, cases or grants.
o Second, this bar requires that the employee have
been personally involved in the matter in a
substantial way.
o The, kind of representation that is restricted
includes not only acting as another's attorney or
agent, but any other kind of representation or
communication with intent to influence the
United States. This includes promotional and
contract representatives.
-2. Two-Year Bar. This is basically the.same bar as above,
except that it applies for only two years and covers all particular
matters which were actually pending under the former employees
"official responsibility" in his last year of service. An employee's
official responsibility is usually defined by statute, regulations,
written delegation of authority or job description.
o There may be times when a former employee is in
doubt as tv whether a matter was under his
official responsibility, or whether it is the same
"particular matter" as that with which he was
involved or whether the United States still has an
interest in the matter.- His former agency has an
obligation to advise him promptly on those
questions, as provided in the regulations.
The foregoing restrictions are effective July 1, 1979.
B. Restrictions Applicable Only to "Senior Employees"
3. Two-Year Bar on Assisting in Representation by
Personal Presence. For two years after leaving Government
employment, a former Senior Employee may not assist in the
representation of another person by personal presence at an
appearance before the Government on any particular matter in which
he or she personally and substantially participated while in
Government.
o It is important to note that this restriction does
not bar a Senior Employee from assisting on a
matter in which he participated while in
Government, but only from . assisting "in
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representing" by "personal presence" at an
"appearance." Thus such employee could work on
a contract with which he was involved while in
the Government and could manage a company,
institution or university where his decisions
determine the manner in which his organization
will perform under a Government contract or
grant. He may not render assistance on-site while
a negotiation or proceeding is ongoing.
4. One-Year Ban on Attempts to Influence Former
Agency. For one year after leaving employment, a former Senior-
Em ployee may not represent another person or himself in attempting
to influence his own former agency on a matter pending before, or of
substantial interest to, such agency.
o There are exemptions. This provision does not
cover communications made on behalf of a State
or local government, a degree-granting institute
of higher education or a nonprofit hospital or
medical research institution by an elected
officials of such a government, or a person
principally employed by such government,
institute or medical organization.
o This "anti-revolving-door" provision, is different
from the previous restrictions in a number of
ways. First, it does not require that the former
employee have had any prior involvement in the
particular matter. Second, the matters covered
are broader: they need not involve specific
parties. So the former employee could not, for
example, attempt to influence rulemaking or
policy formation. Third, it is limited to contact
with his former agency; he may communicate
with any other part of the Government. Fourth,
the restriction covers the employee's
representation of himself.
o There are a number of general matters which the
restriction does not cover. Among these are:
purely social or informational communications -
transmission of filings which do not require
Governmental action - personal matters -
representing oneself in any judicial or
administrative proceeding - any expression of
personal view where former employee has no
pecuniary interest - response to the former
agency's request for information -- participation
as the principal researcher or "investigator" under
Government grants.
o The one year bar may be limited to only part of
an agency by the Director of the Office of
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C rnrnent Ethics, in certain caseef he finds
that there are distinct'
iistinct parts which exercise
separate functions. The. Director's determinations,
made in consultation with the departments or
agencies, will be published.
? What is a Senior Employee?
There are three.groups of Senior Employees. Two are named
automatically by statute: civilians at the Executive Level and active
duty uniformed service officers at 0-9 and above. The other group is
made up of persons holding positions which must first be "designated"
as Senior Employees by the Director of the Office of Government
Ethics. The positions must involve significant decision-making or
supervisory responsibility and be at a basic rate of pay of GS-17 or
above or within the Senior Executive Service, or in the case of the.
uniformed services, be held by active duty commissioned officers at
0-7 or 0-8.
Other Important Features
o The restrictions do not apply to communications made solely
for the purpose of furnishing scientific or. technological information
pursuant to agency procedures. Office of Government Ethics regula-
tions treat this area realistically, permitting communications to
determine the nature of technical problems facing the Government,
to provide approaches to such problems and to inform the
Government of the practical significance of scientific and
technological alternatives.
o There is a "fair notice" provision -which ensures that
employees who continue in Government employment in reliance on
the regulations' will not suddenly be made subject to any future
changes. Any changes in the regulations which add greater
restrictions will not become applicable to an employee unless he
remains with the Government more than five months after the new
rule is published in final form.
o Effective dates: The broadening of the provisions applicable
to all employees is effective July 1, 1979. The new provisions
applicable to Senior Employees will become effective as to Executive
Level civilian employees and uniformed service officers of the grade
of 0-9 and above on July 1, 1979. Those positions at GS-17 or above
or in the Senior Executive Service, or held by 0-7 and 0-8 uniformed
service officers and which are designated by the Director will be
subject to the Senior Employee restrictions as of February 28, 1980 ..
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