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B. One-Year Bar on Attempts to Influence Former Agency. (5 C.F.R. 737.11) For one year after leaving Government employment, a former Senior Employee may not represent anyone in an attempt to influence his or her former agency on a matter before, or of substantial interest to such agency.

1.

This "revolving door" provision is different from the previous restrictions in the following ways:

2.

a. It does not require that the former employee have had any prior involvement in the matter.

b.

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.

c. It is limited to contact with his or her former agency; he or she may appear before, or act to influence, any other part of the Government in regard to a matter not otherwise covered.

d.

The matter must be pending before, or of substantial interest to, his or her former agency.

e.

The restriction covers the former employee's selfrepresentation.

There are a number of matters to which the restriction does not apply-among these are:

a.

Purely social or informational communications.

b. Transmission of filings which do not require
Governmental action.

c. Personal matters.

d. Representing oneself in any judicial or administrative proceeding.

e. Any expression of personal views where the former employee has no pecuniary interest.

f. Response to the former agency's request for information.

g. Participation as the principal researcher under

Government grants.

V.

A. There are four groups of Senior Employees, two are named automatically by statute: (i) civilians paid at the Executive Level and (iii) active duty uniformed service officers serving in grade 0-9 and above. Two other groups, (iii) civilians at or equivalent to GS-17 or above and (iv) uniformed service officers in grades 0-7 and 0-8, having significant decision-making or supervisory responsibility, must first be designated by the Director of the Office of Government Ethics before they are chargeable as Senior Employees.

1. Those automatically covered by the statute were made subject to the Act's special restrictions on Senior Employees as of July 1, 1979.

2.

Those designated by the Director, OGE, were covered as of February 28, 1980.

LIMITATION ON RESTRICTIONS OF 18 U.S.C. §207(c) (5 C.F.R.
737.13)

A.

Methods. Two methods exist for limiting the application of 207 (c) to less than the entirety of a department of agency.

1. Designation of separate statutory agencies or bureaus under the provisions of 18 U.S.C. §207(e).

2.

Designation of non-statutory separate components under the provisions of 18 U.S.C. $207(d)(1)(C).

B. Designation Procedure. Designation of separate statutory agencies and bureaus as well as non-statutory components are to be made by the Director, Office of Government Ethics in consultation with the head of the agency concerned.

C.

1.

Agencies may recommend such designations to the
Director, Office of Government Ethics.

2. Designations are discretionary.

3.

Current designations are set forth in 45 Fed. Rey. 75500-75533 (1980).

T

Section 207(e) Designations. If a statutory component is designated as separate," generally, Senior Employees of such component and Senior Employees of the parent agency are not subject to the 207 (c) bar as to each others agency.

VI.

former head of a "separate" subordinate agency and to former "Senior Employees" of the parent agency whose official responsibility included supervision of the subordinate agency.

D. Section 207(a)(1)(C) Designations. If a non-statutory component is designated as "separate, then Senior Employees of such component are not subject to the 207(c) bar as to other agencies, bureaus or offices of the parent agency which have separate and distinct subject matter jurisdiction from the agency or bureau in which such Senior Employees served.

1.

Caveat. The 207(c) bar remains applicable (i) to former Senior Employees designated by statute (207(d)(1)(A) and 207 (d) (1) (B), and (ii) to former Senior Employees of such component with respect to those bureaus and offices within the parent agency responsible for the supervision or control of such separate component.

2. Note additional qualifications in the designations set forth in $737.32.

3. Unlike separate agencies designated pursuant to
$207(e), the limited application of $207(c) may be
available for the head of a separate non-statutory
component, as determined by the Director, Office of
Government Ethics.

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A. Communications made solely for the purpose of furnishing scientific and technological information pursuant to agency procedures are exempt from the prohibition of $207 of title 18 U.S.c.

1.

Agencies have the primary responsibility for developing acceptable procedures for such exemptions.

B. A former employee may personally be exempted from the restrictions on post employment activity if the agency head, in consultation with the Director, Office of Government Ethics, executes a certification, published in the Federal Register, that such former employee:

1. Possesses outstanding qualifications in a scientific, technological, or other technical discipline;

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instrumentality of a State or local government, (ii) an accredited degree-granting institution of higher education, or (iii) a non-profit hospital or medical research organization, acting on behalf of such organization(s).

VII. OTHER IMPORTANT FEATURES

A. Fair Notice. 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. Changes which create greater restrictions do not become applicable to an employee unless he or she remains with the Government longer than 5 months after the new rule is first published in final form.

B. Effective Dates. The broadening of the provisions
applicable to all employees became effective July 1, 1979.
The new provisions applicable to Senior Employees took
effect as to Executive level civilian employees and uniformed
service officers of the grade of 0-9 and above on July 1,
1979. Those civilians at GS-17 or above, or in the Senior
Executive Service and uniformed service officers in grades
0-7 and 0-8 designated by the Director, OGE, are subject to
the Senior Employee restrictions effective February 28, 1980.

Authority: Title, V, Ethics in Government Act of 1978 (Pub. L. 95-521) 5 C.F.R. Part 737.

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Subpart B-Substantive Provisions

737.5 Restrictions on any former Government employee's acting as representative as to a particular matter in which the employee personally and substantially participated. 737.7 Two-year restriction on any former Government employee's acting as representative as to a particular matter for which the employee had official responsibility.

737.9 Two-year restriction on a former senior employee's assisting in representing as to a matter in which the employee participated personally and substantially.

737.11 One-year restriction on a former senior employee's transactions with former agency on a particular matter, regardless of prior involvement. 737.13 Limitation of restrictions of 18

U.S.C. 207(c) to less than the whole of a department or agency.

737.15 Exemption for scientific and technological information.

737.17 Exemption for persons with special qualification in a technical discipline. 737.19 Testimony and statements under oath or subject to penalty of perjury. 737.21 Partners of present or former Government employees.

737.23 Officials of a State; officials of corporations created by an Act of Congress and public international organizations. 737.25 Standards and procedures for designating senior employee positions pursuant to 18 U.S.C. 207(d).

737.27 Administrative enforcement pro

ceedings.

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(6) Assistance.

(7) Project responses not included. (c) "Particular matter involving a specific party or parties".

(1) Specific matters vs. policy matters. (2) Technical matters.

(3) Relationship of personal participation to specificity.

(4) The same particular matter must be involved.

(5) United States must be a party or have an interest.

(d) "Participate personally and substantially".

(1) Basic requirements.

(2) Participation on ancillary matters. (3) Role of official responsibility in determining substantial participation.

(e) Agency responsibility in complex cases.

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