Complete Home & Office Legal Guide/Complete Home and Office Legal Guide (Chestnut) (1993).ISO/stat/fed/cfr2637b.asc

Text File | 1993-08-01 | 53KB | 904 lines

    Example 2: A Senior Employee of the Department of the
Treasury participates in a number of projects with universities
and financial research institutions funded by Government grants.
After leaving the Government, she becomes dean of a graduate
school of business which performs work under a number of such
grants. She may, in the discharge of her duties, supervise

research and advise as to how funds under such a contract should
be allocated, whether or not these matters are, as is likely,
communicated to her former Department by the graduate school's
representatives. (See 2637.204.)
    Example 3: A Senior Defense Department official
participated personally and substantially in a contract award to
F Company for fighter planes. After leaving the Department, the
former official goes to work for F Company. Subsequently, F
Company desires to renegotiate prices and a pension provision on
the fighter plane contract, matters in which dispute is
anticipated. The former official could not attend a meeting with
Government employees at which such matters will be discussed and
give assistance to those representing F Company in the
negotiations. He could generally render advice as long as he
remained absent from the negotiations.
    Example 4: A Senior Justice Department lawyer
participated in an antitrust case against Q Company, which is
represented by Y law firm.  Immediately after leaving, the
Department, she goes to work with Y law firm, and assists at a
trial representing Q Company in a different antitrust case, not
involving the allegations in the Government case. Such assistance
would not be barred because it does not occur in connection with
the same particular matter.
    Example 5: A Senior Employee of the Department of Health
and Human Services leaves to take a university position. The
former official's new duties include various HHS contracts which
the university holds. Some of the contracts were awarded by a
division within HHS which was under her official responsibility.
She is not barred from assistance in negotiations with respect to
such contracts, because the restriction applies only to those
matters in which she had participated personally and
substantially, not to those matters for which she had official
responsibility. Note, however, that any participation by her as a
representative would be barred by 18 U.S.C.  207(b)(i) as
described in 2637.202 of this part. (But see 2637.204.)
    Example 6: A Senior scientist with the Food and Drug
Administration was personally and substantially involved in a
licensing proceeding concerning a specific drug. After leaving
the FDA, he is employed by the manufacturer of the drug. There he
engages in research, indicating that the drug is safe and
effective, which his employer later presents to FDA in connection
with the proceeding. He assists during this presentation. Such
assistance would normally be restricted but may be allowed to the
extent that the former official is furnishing scientific
information to the Government.  (See 18 U.S.C. 207(f) and
2637.206 of this part.)
    Example 7: A former Senior Employee of the Federal
Communications Commission leaves the agency to join a graduate
school faculty. In one of his courses, which from time to time
includes Government employees, he discusses, unfavorably to the
Commission, a specific licensing case in which he was personally
and substantially involved. The restriction does not apply
because the conduct does not occur in connection with any
representational activities.
2637.204 One-year restriction on a former senior employee's
transactions with former agency on a particular matter,
regardless of prior involvement.
    (a)    Basic prohibition of 18 U.S.C. 207(c). For a period of
one year after terminating employment by the United States, no
former Senior Employee (other than a special Government employee
who serves for fewer than sixty days in a calendar year) shall
knowingly act as an agent or attorney for, or otherwise
represent, anyone in any formal or informal appearance before, or
with the intent to influence, make any written or oral
communication on behalf of anyone to (1) his or her former
department or agency, or any of its officers or employees, (2) in
connection with any particular Government matter, whether or not
involving a specific party, which is pending before such
department or agency, or in which it has a direct and substantial
interest.
    (b)    Transactions exempted from the basic prohibition of 18
U.S.C.  207(c). The prohibition set forth above shall not apply
to an appearance, a communication, or representation by a former
Senior Employee, who is:
    (1)    An elected official of a State or local government,
acting on behalf of such government, or
    (2)    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 1954, and the appearance, communication, or
representation is on behalf of such government, institution,
hospital or organization.
    Example 1: A former Senior Employee of the Federal
Highway Administration is appointed to the position of Secretary
of Transportation for the State of Kansas. He would not be
prohibited from transacting business with his former agency
concerning new matters on behalf of the State. He would, however,
be restricted as to 207(a) and 207(b) matters.
    Example 2: A former Senior Employee of the Department of
Housing and Urban Development establishes a consulting firm and
is engaged by the City of Los Angeles to aid it in procuring a
particular grant. He may not represent Los Angeles before his
former Department because his ``principal occupation or
employment'' is not with such city.
    Example 3: A former Senior Employee of the Department of
Education founds a vocational school for the training of legal
paraprofessionals and associated staff. He desires to communicate
with officials at his former Department for the purpose of
establishing a program of assistance to such institutions. He may
not do so, since the vocational school is not an ``accredited,
degree granting institution of higher education.''
    (c)    No prior involvement required. The prohibition
contained in this section applies without regard to whether the
former Senior Employee had participated in, or had responsibility
for, the particular matter and includes matters which first arise
after the employee leaves Government service. The section aims at
the possible use of personal influence based upon past
Governmental affiliations to facilitate the transaction of
business.
    (d)    Specific parties unnecessary. The particular matter in
which the former Senior Employee proposes to act before his or
her former agency need not be one ``involving specific parties,''
and thus is not limited to disputed proceedings or contracts in
which a party has already been identified. However, the
restriction does not encompass every kind of matter, but only a
particular one similar to those cited in the statutory language,
i.e., any judicial or other proceeding, application, request for
a ruling or determination, contract, claim, controversy,
investigation, charge, accusation, or arrest. Rulemaking is
specifically included. Thus such matters as the proposed adoption
of a regulation or interpretive ruling, or an agency's
determination to undertake a particular project or to open such a
project to competitive bidding are covered. Not included are
broad technical areas and policy issues and conceptual work done
before a program has become particularized into one or more
specific projects. The particular matter must be pending before
the agency or be one in which the agency has a ``direct and