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< Back to current issue of Immigration Daily < Back to current issue of Immigrant's Weekly

[Federal Register: February 18, 2003 (Volume 68, Number 32)]
[Proposed Rules]               
[Page 7843-7892]
From the Federal Register Online via GPO Access []

[[Page 7843]]


Part II

Office of Government Ethics


5 CFR Parts 2637 and 2641

Post-Employment Conflict of Interest Restrictions; Proposed Rule

[[Page 7844]]



5 CFR Parts 2637 and 2641

RIN 3209-AA14

Post-Employment Conflict of Interest Restrictions

AGENCY: Office of Government Ethics (OGE).

ACTION: Proposed rule.


SUMMARY: Since 1980, 5 CFR part 2637 (formerly 5 CFR part 737) has 
provided guidance concerning the post-employment conflict of interest 
restrictions of 18 U.S.C. 207. As a result of amendments to section 207 
that became effective January 1, 1991, employees terminating service in 
the executive branch or in an independent agency (or terminating 
service from certain high-level Government positions) since that date 
are subject to substantially revised post-employment restrictions. The 
purpose of part 2641 is to provide regulatory guidance explaining the 
scope and content of the statutory restrictions as they apply to 
employees terminating service on or after January 1, 1991. This 
proposed rule would expand the guidance previously published in part 
2641 as interim or interim final rules and make minor modifications to 
those earlier rulemakings. It would also remove part 2637 from 5 CFR.

DATES: Comments are invited and must be received on or before May 19, 

ADDRESSES: Send comments to the Office of Government Ethics, Suite 500, 
1201 New York Avenue, NW., Washington, DC 20005-3917, Attention: 
Richard M. Thomas. Comments may also be sent electronically to OGE's 
Internet E-mail address at The subject line of E-
mail messages should include the following reference: ``Comments on 
proposed post-employment conflict of interest rule.''

FOR FURTHER INFORMATION CONTACT: Richard M. Thomas, Associate General 
Counsel, Office of Government Ethics; Telephone: 202-208-8000: TDD: 
202-208-8025; FAX: 202-208-8037.


A. Substantive Discussion of Post-Employment Regulatory Guidance

[ ... ]

    (h) Particular matter involving a specific party or parties-- (1) 
Basic concept. The prohibition applies only to communications or 
appearances made in connection with a ``particular matter involving a 
specific party or parties.'' Although ``particular matter'' is defined 
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. 207(i)(3), such particular matters also must involve a specific 
party or parties in order to fall within the prohibition. These matters 
involve a specific activity or undertaking affecting the legal rights 
of the parties or an isolatable transaction or related set of 
transactions between identified parties, such as a specific contract, 
grant, license, product approval application, enforcement action, 
administrative adjudication, or court case.
[ ... ]

    Example 4 to paragraph (h)(2): An employee in the legislative 
affairs office of the Immigration and Naturalization Service (INS) 
drafted official comments submitted to Congress with respect to a 
pending immigration reform bill. After leaving the Government, he 
contacts the White House on behalf of a private organization seeking 
to influence the administration to insist on certain amendments to 
the bill. This is not prohibited. Generally, legislation is not a 
particular matter involving specific parties. However, if the same 
employee had participated as an INS employee in formulating the 
agency's position on proposed private relief legislation granting 
citizenship to a specific individual, this matter would involve 
specific parties, and the employee would be prohibited from later 
making representational contacts in connection with this matter.

[ ... ] 

    (3) Specific parties at all relevant times. 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.

[ ... ]

Parent: Department of Justice

    Components: Antitrust Division, Bureau of Prisons (including 
Federal Prison Industries, Inc.), Civil Division, Civil Rights 
Division, Community Relations Service, Criminal Division, Drug 
Enforcement Administration, Environment and Natural Resources Division, 
Executive Office for United States Attorneys \2\ (effective January 28, 
1992), Executive Office for United States Trustees \3\ (effective 
January 28, 1992), Federal Bureau of Investigation, Foreign Claims 
Settlement Commission, Immigration and Naturalization Service, 
Independent Counsel appointed by the Attorney General, Office of 
Justice Programs, Office of the Pardon Attorney (effective January 28, 
1992), Offices of the United States Attorney (each of 94 offices), 
Offices of the United States Trustee (each of 21 offices), Tax 
Division, United States Marshals Service (effective May 16, 1997), 
United States Parole Commission.

    \2\ The Executive Office for United States Attorneys shall not 
be considered separate from any Office of the United States Attorney 
for a judicial district, but only from other designated components 
of the Department of Justice.
    \3\ The Executive Office for United States Trustees shall not be 
considered separate from any Office of the United States Trustee for 
a region, but only from other designated components of the 
Department of Justice.
[ ... ]

[ End ]