All Agencies, Latest Month All Agencies, Previous FY Geographic Distribution
of Convictions for
All Agencies, FY 2013
5 Prosecutions
in January 2014
93 Prosecutions
in Fiscal Year 2013
3 Convictions
in January 2014
65 Convictions
in Fiscal Year 2013

CITE

    18 USC Sec. 201                                             01/05/2009

EXPCITE

    TITLE 18 - CRIMES AND CRIMINAL PROCEDURE
    PART I - CRIMES
    CHAPTER 11 - BRIBERY, GRAFT, AND CONFLICTS OF INTEREST

HEAD

    Sec. 201. Bribery of public officials and witnesses

STATUTE

      (a) For the purpose of this section -
        (1) the term "public official" means Member of Congress,
      Delegate, or Resident Commissioner, either before or after such
      official has qualified, or an officer or employee or person
      acting for or on behalf of the United States, or any department,
      agency or branch of Government thereof, including the District of
      Columbia, in any official function, under or by authority of any
      such department, agency, or branch of Government, or a juror;
        (2) the term "person who has been selected to be a public
      official" means any person who has been nominated or appointed to
      be a public official, or has been officially informed that such
      person will be so nominated or appointed; and
        (3) the term "official act" means any decision or action on any
      question, matter, cause, suit, proceeding or controversy, which
      may at any time be pending, or which may by law be brought before
      any public official, in such official's official capacity, or in
      such official's place of trust or profit.
      (b) Whoever -
        (1) directly or indirectly, corruptly gives, offers or promises
      anything of value to any public official or person who has been
      selected to be a public official, or offers or promises any
      public official or any person who has been selected to be a
      public official to give anything of value to any other person or
      entity, with intent -
          (A) to influence any official act; or
          (B) to influence such public official or person who has been
        selected to be a public official to commit or aid in
        committing, or collude in, or allow, any fraud, or make
        opportunity for the commission of any fraud, on the United
        States; or
          (C) to induce such public official or such person who has
        been selected to be a public official to do or omit to do any
        act in violation of the lawful duty of such official or person;
        (2) being a public official or person selected to be a public
      official, directly or indirectly, corruptly demands, seeks,
      receives, accepts, or agrees to receive or accept anything of
      value personally or for any other person or entity, in return
      for:
          (A) being influenced in the performance of any official act;
          (B) being influenced to commit or aid in committing, or to
        collude in, or allow, any fraud, or make opportunity for the
        commission of any fraud, on the United States; or
          (C) being induced to do or omit to do any act in violation of
        the official duty of such official or person;
        (3) directly or indirectly, corruptly gives, offers, or
      promises anything of value to any person, or offers or promises
      such person to give anything of value to any other person or
      entity, with intent to influence the testimony under oath or
      affirmation of such first-mentioned person as a witness upon a
      trial, hearing, or other proceeding, before any court, any
      committee of either House or both Houses of Congress, or any
      agency, commission, or officer authorized by the laws of the
      United States to hear evidence or take testimony, or with intent
      to influence such person to absent himself therefrom;
        (4) directly or indirectly, corruptly demands, seeks, receives,
      accepts, or agrees to receive or accept anything of value
      personally or for any other person or entity in return for being
      influenced in testimony under oath or affirmation as a witness
      upon any such trial, hearing, or other proceeding, or in return
      for absenting himself therefrom;
        shall be fined under this title or not more than three times
      the monetary equivalent of the thing of value, whichever is
      greater, or imprisoned for not more than fifteen years, or both,
      and may be disqualified from holding any office of honor, trust,
      or profit under the United States.
      (c) Whoever -
        (1) otherwise than as provided by law for the proper discharge
      of official duty -
          (A) directly or indirectly gives, offers, or promises
        anything of value to any public official, former public
        official, or person selected to be a public official, for or
        because of any official act performed or to be performed by
        such public official, former public official, or person
        selected to be a public official; or
          (B) being a public official, former public official, or
        person selected to be a public official, otherwise than as
        provided by law for the proper discharge of official duty,
        directly or indirectly demands, seeks, receives, accepts, or
        agrees to receive or accept anything of value personally for or
        because of any official act performed or to be performed by
        such official or person;
        (2) directly or indirectly, gives, offers, or promises anything
      of value to any person, for or because of the testimony under
      oath or affirmation given or to be given by such person as a
      witness upon a trial, hearing, or other proceeding, before any
      court, any committee of either House or both Houses of Congress,
      or any agency, commission, or officer authorized by the laws of
      the United States to hear evidence or take testimony, or for or
      because of such person's absence therefrom;
        (3) directly or indirectly, demands, seeks, receives, accepts,
      or agrees to receive or accept anything of value personally for
      or because of the testimony under oath or affirmation given or to
      be given by such person as a witness upon any such trial,
      hearing, or other proceeding, or for or because of such person's
      absence therefrom;
        shall be fined under this title or imprisoned for not more than
      two years, or both.
      (d) Paragraphs (3) and (4) of subsection (b) and paragraphs (2)
    and (3) of subsection (c) shall not be construed to prohibit the
    payment or receipt of witness fees provided by law, or the payment,
    by the party upon whose behalf a witness is called and receipt by a
    witness, of the reasonable cost of travel and subsistence incurred
    and the reasonable value of time lost in attendance at any such
    trial, hearing, or proceeding, or in the case of expert witnesses,
    a reasonable fee for time spent in the preparation of such opinion,
    and in appearing and testifying.
      (e) The offenses and penalties prescribed in this section are
    separate from and in addition to those prescribed in sections 1503,
    1504, and 1505 of this title.

SOURCE

    (Added Pub. L. 87-849, Sec. 1(a), Oct. 23, 1962, 76 Stat. 1119;
    amended Pub. L. 91-405, title II, Sec. 204(d)(1), Sept. 22, 1970,
    84 Stat. 853; Pub. L. 99-646, Sec. 46(a)-(l), Nov. 10, 1986, 100
    Stat. 3601-3604; Pub. L. 103-322, title XXXIII, Secs. 330011(b),
    330016(2)(D), Sept. 13, 1994, 108 Stat. 2144, 2148.)

PRIOR PROVISIONS

      A prior section 201, act June 25, 1948, ch. 645, 62 Stat. 691,
    prescribed penalties for anyone who offered or gave anything of
    value to an officer or other person to influence his decisions,
    prior to the general amendment of this chapter by Pub. L. 87-849,
    and is substantially covered by revised section 201.
                                AMENDMENTS
      1994 - Subsec. (b). Pub. L. 103-322, Sec. 330016(2)(D), which
    directed the amendment of "section 201" by inserting "under this
    title or" after "be fined" and "whichever is greater," before "or
    imprisoned", was executed by making the insertions in text of last
    par. of subsec. (b), and not in last par. of subsec. (c), to
    reflect the probable intent of Congress.
      Pub. L. 103-322, Sec. 330011(b)(A), amended Pub. L. 99-646, Sec.
    46(b)(1). See 1986 Amendment note below.
      Subsec. (b)(1). Pub. L. 103-322, Sec. 330011(b), amended Pub. L.
    99-646, Sec. 46(b). See 1986 Amendment note below.
      1986 - Pub. L. 99-646, Sec. 46(l), provided for alignment of
    margins of each subsection, paragraph, and subparagraph of this
    section.
      Subsec. (a). Pub. L. 99-646, Sec. 46(a), substituted "section - "
    for "section:", designated provision defining "public official" as
    par. (1), inserted "the term" after "(1)", and substituted
    "Delegate" for "Delegate from the District of Columbia", "after
    such official has qualified" for "after he has qualified", and
    "juror;" for "juror; and"; designated provision defining "person
    who has been selected to be a public official" as par. (2),
    inserted "the term" after "(2)", and substituted "such person" for
    "he"; and designated provision defining "official act" as par. (3),
    inserted "the term" after "(3)", and substituted "in such
    official's official capacity, or in such official's" for "in his
    official capacity, or in his".
      Subsec. (b). Pub. L. 99-646, Sec. 46(b)(1), as amended by Pub. L.
    103-322, Sec. 330011(b)(A), substituted "Whoever - " for "Whoever,"
    and inserted "(1)" before "directly".
      Pub. L. 99-646, Sec. 46(e)(5), redesignated the undesignated par.
    which followed former subsec. (e) as concluding par. of subsec. (b)
    and substituted "shall be fined not more than" for "Shall be fined
    not more than $20,000 or" and "thing of value," for "thing of
    value, whichever is greater,".
      Subsec. (b)(1). Pub. L. 99-646, Sec. 46(b), as amended by Pub. L.
    103-322, Sec. 330011(b), redesignated former subsec. (b) as par.
    (1), redesignated former pars. (1) to (3) as subpars. (A) to (C),
    respectively, and realigned their margins, and in subpar. (C)
    substituted "the lawful duty of such official or person;" for "his
    lawful duty, or".
      Subsec. (b)(2). Pub. L. 99-646, Sec. 46(c), redesignated former
    subsec. (c) as par. (2), struck out "Whoever," before "being",
    substituted "corruptly demands, seeks, receives, accepts, or agrees
    to receive or accept anything of value personally" for "corruptly
    asks, demands, exacts, solicits, seeks, accepts, receives, or
    agrees to receive anything of value for himself", redesignated
    former pars. (1) to (3) as subpars. (A) to (C), respectively, and
    realigned their margins, in subpar. (A) substituted "the
    performance" for "his performance" and struck out "or" after
    "act;", and in subpar. (C) substituted "the official duty of such
    official or person;" for "his official duty; or".
      Subsec. (b)(3). Pub. L. 99-646, Sec. 46(d), redesignated former
    subsec. (d) as par. (3) and substituted "directly" for "Whoever,
    directly" and "therefrom;" for "therefrom; or".
      Subsec. (b)(4). Pub. L. 99-646, Sec. 46(e), redesignated former
    subsec. (e) as par. (4), substituted "directly" for "Whoever,
    directly", "demands, seeks, receives, accepts, or agrees to receive
    or accept anything of value personally" for "asks, demands, exacts,
    solicits, seeks, accepts, receives, or agrees to receive anything
    of value for himself", "in testimony" for "in his testimony", and
    "therefrom;" for "therefrom - ".
      Subsec. (c). Pub. L. 99-646, Sec. 46(f), (g)(1), (h)(1), (i)(1),
    redesignated former subsecs. (f) to (i) as subsec. (c)(1)(A), (B),
    (2), and (3), respectively. Former subsec. (c) redesignated (b)(2).
      Pub. L. 99-646, Sec. 46(i)(6), redesignated the undesignated par.
    which followed former subsec. (i) as concluding par. of subsec. (c)
    and substituted "shall be fined under this title" for "Shall be
    fined not more than $10,000".
      Subsec. (c)(1). Pub. L. 99-646, Sec. 46(f), (g), redesignated
    former subsec. (f) as par. (1) and substituted "(1) otherwise" for
    ", otherwise" and "(A) directly" for ", directly", redesignated
    former subsec. (g) as subpar. (B) and substituted "being" for
    "Whoever, being", "indirectly demands, seeks, receives, accepts, or
    agrees to receive or accept anything of value personally" for
    "indirectly asks, demands, exacts, solicits, seeks, accepts,
    receives, or agrees to receive anything of value for himself", and
    "by such official or person;" for "by him; or".
      Subsec. (c)(2). Pub. L. 99-646, Sec. 46(h), redesignated former
    subsec. (h) as par. (2) and substituted "directly" for "Whoever,
    directly" and "such person's absence therefrom;" for "his absence
    therefrom; or".
      Subsec. (c)(3). Pub. L. 99-646, Sec. 46(i), redesignated former
    subsec. (i) as par. (3) and substituted "directly" for "Whoever,
    directly", "demands, seeks, receives, accepts, or agrees to receive
    or accept" for "asks, demands, exacts, solicits, seeks, accepts,
    receives, or agrees to receive", "personally" for "for himself",
    "by such person" for "by him", and "such person's absence
    therefrom;" for "his absence therefrom - ".
      Subsec. (d). Pub. L. 99-646, Sec. 46(j), redesignated former
    subsec. (j) as (d), substituted "Paragraphs (3) and (4) of
    subsection (b) and paragraphs (2) and (3) of subsection (c)" for
    "Subsections (d), (e), (h), and (i)" and struck out "involving a
    technical or professional opinion," after "expert witnesses,".
    Former subsec. (d) redesignated (b)(3).
      Subsecs. (e) to (k). Pub. L. 99-646, Sec. 46(f)-(k), redesignated
    former subsecs. (e) to (k) as (b)(4), (c)(1)(A), (B), (2), (3),
    (d), and (e), respectively.
      1970 - Subsec. (a). Pub. L. 91-405 included Delegate from
    District of Columbia in definition of "public official".
                     EFFECTIVE DATE OF 1994 AMENDMENT
      Section 330011(b) of Pub. L. 103-322 provided that the amendment
    made by that section is effective as of the date on which section
    46(b) of Pub. L. 99-646 took effect.
                     EFFECTIVE DATE OF 1986 AMENDMENT
      Section 46(m) of Pub. L. 99-646 provided that: "The amendments
    made by this section [amending this section] shall take effect 30
    days after the date of enactment of this Act [Nov. 10, 1986]."
                     EFFECTIVE DATE OF 1970 AMENDMENT
      Amendment by Pub. L. 91-405 effective Sept. 22, 1970, see section
    206(b) of Pub. L. 91-405, set out as an Effective Date note under
    section 25a of Title 2, The Congress.
                              EFFECTIVE DATE
      Section 4 of Pub. L. 87-849 provided that: "This Act [enacting
    this section and sections 202 to 209 and 218 of this title,
    redesignating sections 214, 215, 217 to 222 as 210, 211, 212 to 217
    of this title respectively, repealing sections 223, 282, 284, 434,
    and 1914 of this title, and section 99 of former Title 5, Executive
    Departments and Government Officers and Employees, and enacting
    provisions set out as notes under section 281 and 282 of this
    title] shall take effect ninety days after the date of its
    enactment [Oct. 23, 1962]".
                       SHORT TITLE OF 2003 AMENDMENT
      Pub. L. 108-198, Sec. 1, Dec. 19, 2003, 117 Stat. 2899, provided
    that: "This Act [enacting sections 212 and 213 of this title and
    repealing former sections 212 and 213 of this title] may be cited
    as the 'Preserving Independence of Financial Institution
    Examinations Act of 2003'."
                       SHORT TITLE OF 1996 AMENDMENT
      Pub. L. 104-177, Sec. 1, Aug. 6, 1996, 110 Stat. 1563, provided
    that: "This Act [amending section 205 of this title] may be cited
    as the 'Federal Employee Representation Improvement Act of 1996'."
                       SHORT TITLE OF 1986 AMENDMENT
      Pub. L. 99-370, Sec. 1, Aug. 4, 1986, 100 Stat. 779, provided
    that: "This Act [amending section 215 of this title and enacting
    provisions set out as a note under section 215 of this title] may
    be cited as the 'Bank Bribery Amendments Act of 1985'."

EXECUTIVE ORDER

                         EXECUTIVE ORDER NO. 11222
      Ex. Ord. No. 11222, May 8, 1965, 30 F.R. 6469, as amended by Ex.
    Ord. No. 11590, Apr. 23, 1971, 36 F.R. 7831; Ex. Ord. No. 12107,
    Dec. 28, 1978, 44 F.R. 1055; Ex. Ord. No. 12565, Sept. 25, 1986, 51
    F.R. 34437, which established standards of ethical conduct for
    government officers and employees, was revoked by Ex. Ord. No.
    12674, Apr. 12, 1989, 54 F.R. 15159, as amended, set out as a note
    under section 7301 of Title 5, Government Organization and
    Employees.
                         EXECUTIVE ORDER NO. 12565
      Ex. Ord. No. 12565, Sept. 25, 1986, 51 F.R. 34437, which amended
    Ex. Ord. No. 11222, formerly set out above, and provided
    confidentiality for financial reports filed pursuant to Ex. Ord.
    No. 11222, was revoked by Ex. Ord. No. 12674, Apr. 12, 1989, 54
    F.R. 15159, as amended, set out as a note under section 7301 of
    Title 5, Government Organization and Employees.

MEMORANDUM OF ATTORNEY GENERAL REGARDING CONFLICT OF INTEREST

        PROVISIONS OF PUBLIC LAW 87-849, FEB. 1, 1963, 28 F.R. 985
                                                       January 28, 1963.
      Public Law 87-849, "To strengthen the criminal laws relating to
    bribery, graft, and conflicts of interest, and for other purposes,"
    came into force January 21, 1963. A number of departments and
    agencies of the Government have suggested that the Department of
    Justice prepare and distribute a memorandum analyzing the conflict
    of interest provisions contained in the new act. I am therefore
    distributing the attached memorandum.
      One of the main purposes of the new legislation merits specific
    mention. That purpose is to help the Government obtain the
    temporary or intermittent services of persons with special
    knowledge and skills whose principal employment is outside the
    Government. For the most part the conflict of interest statutes
    superseded by Public Law 87-849 imposed the same restraints on a
    person serving the Government temporarily or intermittently as on a
    full-time employee, and those statutes often had an unnecessarily
    severe impact on the former. As a result, they impeded the
    departments and agencies in the recruitment of experts for
    important work. Public Law 87-849 meets this difficulty by imposing
    a lesser array of prohibitions on temporary and intermittent
    employees than on regular employees. I believe that a widespread
    appreciation of this aspect of the new law will lead to a
    significant expansion of the pool of talent on which the
    departments and agencies can draw for their special needs.
                                                     Robert F. Kennedy,
                                                       Attorney General.
      MEMORANDUM RE THE CONFLICT OF INTEREST PROVISIONS OF PUBLIC LAW
             87-849, 76 STAT. 1119, APPROVED OCTOBER 23, 1962
                               INTRODUCTION
      Public Law 87-849, which came into force January 21, 1963,
    affected seven statutes which applied to officers and employees of
    the Government and were generally spoken of as the "conflict of
    interest" laws. These included six sections of the criminal code,
    18 U.S.C. 216, 281, 283, 284, 434 and 1914, and a statute
    containing no penalties, section 190 of the Revised Statutes (5
    U.S.C. 99). Public Law 87-849 (sometimes referred to hereinafter as
    "the Act") repealed section 190 and one of the criminal statutes,
    18 U.S.C. 216, without replacing them.(!1) In addition it repealed
    and supplanted the other five criminal statutes. It is the purpose
    of this memorandum to summarize the new law and to describe the
    principal differences between it and the legislation it has
    replaced.
      The Act accomplished its revisions by enacting new sections 203,
    205, 207, 208 and 209 of title 18 of the United States Code and
    providing that they supplant the above-mentioned sections 281, 283,
    284, 434 and 1914 of title 18 respectively.(!2) It will be
    convenient, therefore, after summarizing the principal provisions
    of the new sections, to examine each section separately, comparing
    it with its precursor before passing to the next. First of all,
    however, it is necessary to describe the background and provisions
    of the new 18 U.S.C. 202(a), which has no counterpart among the
    statutes formerly in effect.
            SPECIAL GOVERNMENT EMPLOYEES [NEW 18 U.S.C. 202(A)]
      In the main the prior conflict of interest laws imposed the same
    restrictions on individuals who serve the Government intermittently
    or for a short period of time as on those who serve full-time. The
    consequences of this generalized treatment were pointed out in the
    following paragraph of the Senate Judiciary Committee report on the
    bill which became Public Law 87-849: (!3)
      In considering the application of present law in relation to the
    Government's utilization of temporary or intermittent consultants
    and advisers, it must be emphasized that most of the existing
    conflict-of-interest statutes were enacted in the 19th century -
    that is, at a time when persons outside the Government rarely
    served it in this way. The laws were therefore directed at
    activities of regular Government employees, and their present
    impact on the occasionally needed experts - those whose main work
    is performed outside the Government - is unduly severe. This harsh
    impact constitutes an appreciable deterrent to the Government's
    obtaining needed part-time services.
      The recruiting problem noted by the Committee generated a major
    part of the impetus for the enactment of Public Law 87-849. The Act
    dealt with the problem by creating a category of Government
    employees termed "special Government employees" and by excepting
    persons in this category from certain of the prohibitions imposed
    on ordinary employees. The new 18 U.S.C. 202(a) defines the term
    "special Government employee" to include, among others, officers
    and employees of the departments and agencies who are appointed or
    employed to serve, with or without compensation, for not more than
    130 days during any period of 365 consecutive days either on a full-
    time or intermittent basis.
     SUMMARY OF THE MAIN CONFLICT OF INTEREST PROVISIONS OF PUBLIC LAW
                                  87-849
      A regular officer or employee of the Government - that is, one
    appointed or employed to serve more than 130 days in any period of
    365 days - is in general subject to the following major
    prohibitions (the citations are to the new sections of Title 18):
      1. He may not, except in the discharge of his official duties,
    represent anyone else before a court or Government agency in a
    matter in which the United States is a party or has an interest.
    This prohibition applies both to paid and unpaid representation of
    another (18 U.S.C. 203 and 205).
      2. He may not participate in his governmental capacity in any
    matter in which he, his spouse, minor child, outside business
    associate or person with whom he is negotiating for employment has
    a financial interest (18 U.S.C. 208).
      3. He may not, after his Government employment has ended,
    represent anyone other than the United States in connection with a
    matter in which the United States is a party or has an interest and
    in which he participated personally and substantially for the
    Government (18 U.S.C. 207(a)).
      4. He may not, for 1 year after his Government employment has
    ended, represent anyone other than the United States in connection
    with a matter in which the United States is a party or has an
    interest and which was within the boundaries of his official
    responsibilities (!4) during the last year of his Government
    service (18 U.S.C. 207(b)). This temporary restraint of course
    gives way to the permanent restraint described in paragraph 3 if
    the matter is one in which he participated personally and
    substantially.
      5. He may not receive any salary, or supplementation of his
    Government salary, from a private source as compensation for his
    services to the Government (18 U.S.C. 209).
      A special Government employee is in general subject only to the
    following major prohibitions:
      1. (a) He may not, except in the discharge of his official
    duties, represent anyone else before a court or Government agency
    in a matter in which the United States is a party or has in
    interest and in which he has at any time participated personally
    and substantially for the Government (18 U.S.C. 203 and 205).
      (b) He may not, except in the discharge of his official duties,
    represent anyone else in a matter pending before the agency he
    serves unless he has served there no more than 60 days during the
    past 365 (18 U.S.C. 203 and 205). He is bound by this restraint
    despite the fact that the matter is not one in which he has ever
    participated personally and substantially.
      The restrictions described in subparagraphs (a) and (b) apply to
    both paid and unpaid representation of another. These restrictions
    in combination are, of course, less extensive than the one
    described in the corresponding paragraph 1 in the list set forth
    above with regard to regular employees.
      2. He may not participate in his governmental capacity in any
    matter in which he, his spouse, minor child, outside business
    associate or person with whom he is negotiating for employment has
    a financial interest (18 U.S.C. 208).
      3. He may not, after his Government employment has ended,
    represent anyone other than the United States in connection with a
    matter in which the United States is a party or has an interest and
    in which he participated personally and substantially for the
    Government (18 U.S.C. 207(a)).
      4. He may not, for 1 year after his Government employment has
    ended, represent anyone other than the United States in connection
    with a matter in which the United States is a party or has an
    interest and which was within the boundaries of his official
    responsibility during the last year of his Government service (18
    U.S.C. 207(b)). This temporary restraint of course gives way to the
    permanent restriction described in paragraph 3 if the matter is one
    in which he participated personally and substantially.
      It will be seen that paragraphs 2, 3, and 4 for special
    Government employees are the same as the corresponding paragraphs
    for regular employees. Paragraph 5 for the latter, describing the
    bar against the receipt of salary for Government work from a
    private source, does not apply to special Government employees.
      As appears below, there are a number of exceptions to the
    prohibitions summarized in the two lists.
     COMPARISON OF OLD AND NEW CONFLICT OF INTEREST SECTIONS OF TITLE
                          18, UNITED STATES CODE
      New 18 U.S.C. 203. Subsection (a) of this section in general
    prohibits a Member of Congress and an officer or employee of the
    United States in any branch or agency of the Government from
    soliciting or receiving compensation for services rendered on
    behalf of another person before a Government department or agency
    in relation to any particular matter in which the United States is
    a party or has a direct and substantial interest. The subsection
    does not preclude compensation for services rendered on behalf of
    another in court.
      Subsection (a) is essentially a rewrite of the repealed portion
    of 18 U.S.C. 281. However, subsections (b) and (c) have no
    counterparts in the previous statutes.
      Subsection (b) makes it unlawful for anyone to offer or pay
    compensation the solicitation or receipt of which is barred by
    subsection (a).
      Subsection (c) narrows the application of subsection (a) in the
    case of a person serving as a special Government employee to two,
    and only two, situations. First, subsection (c) bars him from
    rendering services before the Government on behalf of others, for
    compensation, in relation to a matter involving a specific party or
    parties in which he has participated personally and substantially
    in the course of his Government duties. And second, it bars him
    from such activities in relation to a matter involving a specific
    party or parties, even though he has not participated in the matter
    personally and substantially, if it is pending in his department or
    agency and he has served therein more than 60 days in the
    immediately preceding period of a year.
      New 18 U.S.C. 205. This section contains two major prohibitions.
    The first prevents an officer or employee of the United States in
    any branch or agency of the Government from acting as agent or
    attorney for prosecuting any claim against the United States,
    including a claim in court, whether for compensation or not. It
    also prevents him from receiving a gratuity, or a share or interest
    in any such claim, for assistance in the prosecution thereof. This
    portion of section 205 is similar to the repealed portion of 18
    U.S.C. 283, which dealt only with claims against the United States,
    but it omits a bar contained in the latter - i.e., a bar against
    rendering uncompensated aid or assistance in the prosecution or
    support of a claim against the United States.
      The second main prohibition of section 205 is concerned with more
    than claims. It precludes an officer or employee of the Government
    from acting as agent or attorney for anyone else before a
    department, agency or court in connection with any particular
    matter in which the United States is a party or has a direct and
    substantial interest.
      Section 205 provides for the same limited application to a
    special Government employee as section 203. In short, it precludes
    him from acting as agent or attorney only (1) in a matter involving
    a specific party or parties in which he has participated personally
    and substantially in his governmental capacity, and (2) in a matter
    involving a specific party or parties which is before his
    department or agency, if he has served therein more than 60 days in
    the year past.
      Since new sections 203 and 205 extend to activities in the same
    range of matters, they overlap to a greater extent than did their
    predecessor sections 281 and 283. The following are the few
    important differences between sections 203 and 205:
      1. Section 203 applies to Members of Congress as well as officers
    and employees of the Government; section 205 applies only to the
    latter.
      2. Section 203 bars services rendered for compensation solicited
    or received, but not those rendered without such compensation;
    section 205 bars both kinds of services.
      3. Section 203 bars services rendered before the departments and
    agencies but not services rendered in court; section 205 bars both.
      It will be seen that while section 203 is controlling as to
    Members of Congress, for all practical purposes section 205
    completely overshadows section 203 in respect of officers and
    employees of the Government.
      Section 205 permits a Government officer or employee to represent
    another person, without compensation, in a disciplinary, loyalty or
    other personnel matter. Another provision declares that the section
    does not prevent an officer or employee from giving testimony under
    oath or making statements required to be made under penalty for
    perjury or contempt.(!5)
      Section 205 also authorizes a limited waiver of its restrictions
    and those of section 203 for the benefit of an officer or employee,
    including a special Government employee, who represents his own
    parents, spouse or child, or a person or estate he serves as a
    fiduciary. The waiver is available to the officer or employee,
    whether acting for any such person with or without compensation,
    but only if approved by the official making appointments to his
    position. And in no event does the waiver extend to his
    representation of any such person in matters in which he has
    participated personally and substantially or which, even in the
    absence of such participation, are the subject of his official
    responsibility.
      Finally, section 205 gives the head of a department or agency the
    power, notwithstanding any applicable restrictions in its
    provisions or those of section 203, to allow a special Government
    employee to represent his regular employer or other outside
    organization in the performance of work under a Government grant or
    contract. However, this action is open to the department or agency
    head only upon his certification, published in the Federal
    Register, that the national interest requires it.
      New 18 U.S.C. 207. Subsections (a) and (b) of this section
    contain post-employment prohibitions applicable to persons who have
    ended service as officers or employees of the executive branch, the
    independent agencies or the District of Columbia.(!6) The
    prohibitions for persons who have served as special Government
    employees are the same as for persons who have performed regular
    duties.
      The restraint of subsection (a) is against a former officer or
    employee's acting as agent or attorney for anyone other than the
    United States in connection with certain matters, whether pending
    in the courts or elsewhere. The matters are those involving a
    specific party or parties in which the United States is one of the
    parties or has a direct and substantial interest and in which the
    former officer or employee participated personally and
    substantially while holding a Government position.
      Subsection (b) sets forth a 1-year postemployment prohibition in
    respect of those matters which were within the area of official
    responsibility of a former officer or employee at any time during
    the last year of his service but which do not come within
    subsection (a) because he did not participate in them personally
    and substantially. More particularly, the prohibition of subsection
    (b) prevents his personal appearance in such matters before a court
    or a department or agency of the Government as agent or attorney
    for anyone other than the United States.(!7) Where, in the year
    prior to the end of his service, a former officer or employee has
    changed areas of responsibility by transferring from one agency to
    another, the period of his postemployment ineligibility as to
    matters in a particular area ends 1 year after his responsibility
    for that area ends. For example, if an individual transfers from a
    supervisory position in the Internal Revenue Service to a
    supervisory position in the Post Office Department and leaves that
    department for private employment 9 months later, he will be free
    of the restriction of subsection (b) in 3 months insofar as
    Internal Revenue matters are concerned. He will of course be bound
    by it for a year in respect of Post Office Department matters.
      The proviso following subsections (a) and (b) authorizes an
    agency head, notwithstanding anything to the contrary in their
    provisions, to permit a former officer or employee with outstanding
    scientific qualifications to act as attorney or agent or appear
    personally before the agency for another in a matter in a
    scientific field. This authority may be exercised by the agency
    head upon a "national interest" certification published in the
    Federal Register.
      Subsections (a) and (b) describe the activities they forbid as
    being in connection with "particular matter[s] involving a specific
    party or parties" in which the former officer or employee had
    participated. The quoted language does not include general
    rulemaking, the formulation of general policy or standards, or
    other similar matters. Thus, past participation in or official
    responsibility for a matter of this kind on behalf of the
    Government does not disqualify a former employee from representing
    another person in a proceeding which is governed by the rule or
    other result of such matter.
      Subsection (a) bars permanently a greater variety of actions than
    subsection (b) bars temporarily. The conduct made unlawful by the
    former is any action as agent or attorney, while that made unlawful
    by the latter is a personal appearance as agent or attorney.
    However, neither subsection precludes postemployment activities
    which may fairly be characterized as no more than aiding or
    assisting another.(!8) An individual who has left an agency to
    accept private employment may, for example, immediately perform
    technical work in his company's plant in relation to a contract for
    which he had official responsibility - or, for that matter, in
    relation to one he helped the agency negotiate. On the other hand,
    he is forbidden for a year, in the first case, to appear personally
    before the agency as the agent or attorney of his company in
    connection with a dispute over the terms of the contract. And he
    may at no time appear personally before the agency or otherwise act
    as agent or attorney for his company in such dispute if he helped
    negotiate the contract.
      Comparing subsection (a) with the antecedent 18 U.S.C. 284
    discloses that it follows the latter in limiting disqualification
    to cases where a former officer or employee actually participated
    in a matter for the Government. However, subsection (a) covers all
    matters in which the United States is a party or has a direct and
    substantial interest and not merely the "claims against the United
    States" covered by 18 U.S.C. 284. Subsection (a) also goes further
    than the latter in imposing a lifetime instead of a 2-year bar.
    Subsection (b) has no parallel in 18 U.S.C. 284 or any other
    provision of the former conflict of interest statutes.
      It will be seen that subsections (a) and (b) in combination are
    less restrictive in some respects, and more restrictive in others,
    than the combination of the prior 18 U.S.C. 284 and 5 U.S.C. 99.
    Thus, former officers or employees who were outside the Government
    when the Act came into force on January 21, 1963, will in certain
    situations be enabled to carry on activities before the Government
    which were previously barred. For example, the repeal of 5 U.S.C.
    99 permits an attorney who left an executive department for private
    practice a year before to take certain cases against the Government
    immediately which would be subject to the bar of 5 U.S.C. 99 for
    another year. On the other hand, former officers or employees
    became precluded on and after January 21, 1963 from engaging or
    continuing to engage in certain activities which were permissible
    until that date. This result follows from the replacement of the 2-
    year bar of 18 U.S.C. 284 with a lifetime bar of subsection (a) in
    comparable situations, from the increase in the variety of matters
    covered by subsection (a) as compared with 18 U.S.C. 284 and from
    the introduction of the 1-year bar of subsection (b).
      Subsection (c) of section 207 pertains to an individual outside
    the Government who is in a business or professional partnership
    with someone serving in the executive branch, an independent agency
    or the District of Columbia. The subsection prevents such
    individual from acting as attorney or agent for anyone other than
    the United States in any matter, including those in court, in which
    his partner in the Government is participating or has participated
    or which are the subject of his partner's official responsibility.
    Although included in a section dealing largely with post-employment
    activities, this provision is not directed to the postemployment
    situation.
      The paragraph at the end of section 207 also pertains to
    individuals in a partnership but sets forth no prohibition. This
    paragraph, which is of importance mainly to lawyers in private
    practice, rules out the possibility that an individual will be
    deemed subject to section 203, 205, 207(a) or 207(b) solely because
    he has a partner who serves or has served in the Government either
    as a regular or a special Government employee.
      New 18 U.S.C. 208. This section forbids certain actions by an
    officer or employee of the Government in his role as a servant or
    representative of the Government. Its thrust is therefore to be
    distinguished from that of sections 203 and 205 which forbid
    certain actions in his capacity as a representative of persons
    outside the Government.
      Subsection (a) in substance requires an officer or employee of
    the executive branch, an independent agency or the District of
    Columbia, including a special Government employee, to refrain from
    participating as such in any matter in which, to his knowledge, he,
    his spouse, minor child or partner has a financial interest. He
    must also remove himself from a matter in which a business or
    nonprofit organization with which he is connected or is seeking
    employment has a financial interest.
      Subsection (b) permits the agency of an officer or employee to
    grant him an ad hoc exemption from subsection (a) if the outside
    financial interest in a matter is deemed not substantial enough to
    have an effect on the integrity of his services. Financial
    interests of this kind may also be made nondisqualifying by a
    general regulation published in the Federal Register.
      Section 208 is similar in purpose to the former 18 U.S.C. 434 but
    prohibits a greater variety of conduct than the "transaction of
    business with * * * [a] business entity" to which the prohibition
    of section 434 was limited. In addition, the provision in section
    208 including the interests of a spouse and others is new, as is
    the provision authorizing exemptions for insignificant interest.
      New 18 U.S.C. 209. Subsection (a) prevents an officer or employee
    of the executive branch, an independent agency or the District of
    Columbia from receiving, and anyone from paying him, any salary or
    supplementation of salary from a private source as compensation for
    his services to the Government. This provision uses much of the
    language of the former 18 U.S.C. 1914 and does not vary from that
    statute in substance. The remainder of section 209 is new.
      Subsection (b) specifically authorizes an officer or employee
    covered by subsection (a) to continue his participation in a bona
    fide pension plan or other employee welfare or benefit plan
    maintained by a former employer.
      Subsection (c) provides that section 209 does not apply to a
    special Government employee or to anyone serving the Government
    without compensation whether or not he is a special Government
    employee.
      Subsection (d) provides that the section does not prohibit the
    payment or acceptance of contributions, awards or other expenses
    under the terms of the Government Employees Training Act. (72 Stat.
    327, 5 U.S.C. 2301-2319).
            STATUTORY EXEMPTIONS FROM CONFLICT OF INTEREST LAWS
      Congress has in the past enacted statutes exempting persons in
    certain positions - usually advisory in nature - from the
    provisions of some or all of the former conflict of interest laws.
    Section 2 of the Act grants corresponding exemptions from the new
    laws with respect to legislative and judicial positions carrying
    such past exemptions. However, section 2 excludes positions in the
    executive branch, an independent agency and the District of
    Columbia from this grant. As a consequence, all statutory
    exemptions for persons serving in these sectors of the Government
    ended on January 21, 1963.
                   RETIRED OFFICERS OF THE ARMED FORCES
      Public Law 87-849 enacted a new 18 U.S.C. 206 which provides in
    general that the new sections 203 and 205, replacing 18 U.S.C. 281
    and 283, do not apply to retired officers of the armed forces and
    other uniformed services. However, 18 U.S.C. 281 and 283 contain
    special restrictions applicable to retired officers of the armed
    forces which are left in force by the partial repealer of those
    statutes set forth in section 2 of the Act.
      The former 18 U.S.C. 284, which contained a 2-year
    disqualification against postemployment activities in connection
    with claims against the United States, applied by its terms to
    persons who had served as commissioned officers and whose active
    service had ceased either by reason of retirement or complete
    separation. Its replacement, the broader 18 U.S.C. 207, also
    applies to persons in those circumstances. Section 207, therefore
    applies to retired officers of the armed forces and overlaps the
    continuing provisions of 18 U.S.C. 281 and 283 applicable to such
    officers although to a different extent than did 18 U.S.C. 284.
     VOIDING TRANSACTIONS IN VIOLATION OF THE CONFLICT OF INTEREST OR
                               BRIBERY LAWS
      Public Law 87-849 enacted a new section, 18 U.S.C. 218, which did
    not supplant a pre-existing section of the criminal code. However,
    it was modeled on the last sentence of the former 18 U.S.C. 216
    authorizing the President to declare a Government contract void
    which was entered into in violation of that section. It will be
    recalled that section 216 was one of the two statutes repealed
    without replacement.
      The new 18 U.S.C. 218 grants the President and, under
    Presidential regulations, an agency head the power to void and
    rescind any transaction or matter in relation to which there has
    been a "final conviction" for a violation of the conflict of
    interest or bribery laws. The section also authorizes the
    Government's recovery, in addition to any penalty prescribed by law
    or in a contract, of the amount expended or thing transferred on
    behalf of the Government.
      Section 218 specifically provides that the powers it grants are
    "in addition to any other remedies provided by law." Accordingly,
    it would not seem to override the decision in United States v.
    Mississippi Valley Generating Co., 364 U.S. 520 (1961), a case in
    which there was no "final conviction."
                               BIBLIOGRAPHY
      Set forth below are the citations to the legislative history of
    Public Law 87-849 and a list of recent material which is pertinent
    to a study of the act. The listed 1960 report of the Association of
    the Bar of the City of New York is particularly valuable. For a
    comprehensive bibliography of earlier material relating to the
    conflict of interest laws, see 13 Record of the Association of the
    Bar of the City of New York 323 (May 1958).
     LEGISLATIVE HISTORY OF PUBLIC LAW 87-849 (H.R. 8140, 87TH CONG.)
      1. Hearings of June 1 and 2, 1961, before the Antitrust
    Subcommittee (Subcommittee No. 5) of the House Judiciary Committee,
    87th Cong., 1st sess., ser. 3, on Federal Conflict of Interest
    Legislation.
      2. H. Rept. 748, 87th Cong., 1st sess.
      3. 107 Cong., Rec. 14774.
      4. Hearing of June 21, 1962, before the Senate Judiciary
    Committee, 87th Cong., 2d sess., on Conflicts of Interest.
      5. S. Rept. 2213, 87th Cong., 2d sess.
      6. 108 Cong. Rec. 20805 and 21130 (daily ed., October 3 and 4,
    1962).
                              OTHER MATERIAL
      1. President's special message to Congress, April 27, 1961, and
    attached draft bill, 107 Cong. Rec. 6835.
      2. President's Memorandum of February 9, 1962, to the heads of
    executive departments and agencies entitled Preventing Conflicts of
    Interest on the Part of Advisers and Consultants to the Government,
    27 F.R. 1341.
      3. 42 Op. A.G. No. 6, January 31, 1962.
      4. Memorandum of December 10, 1956, for the Attorney General from
    the Office of Legal Counsel re conflict of interest statutes,
    Hearings before the Antitrust Subcommittee (Subcommittee No. 5) of
    House Judiciary Committee, 86th Cong., 2d sess., ser. 17, pt. 2, p.
    619.
      5. Staff report of Antitrust Subcommittee (Subcommittee No. 5) of
    House Judiciary Committee, 85th Cong., 2d sess., Federal Conflict
    of Interest Legislation (Comm. Print 1958).
      6. Report of the Association of the Bar of the City of New York,
    Conflict of Interest and Federal Service (Harvard Univ. Press
    1960).
                                 FOOTNOTES
      (!1) Section 190 of the Revised Statutes (5 U.S.C. 99), which was
    repealed by section 3 of Public Law 87-849, applied to a former
    officer or employee of the Government who had served in a
    department of the executive branch. It prohibited him, for a period
    of two years after his employment had ceased, from representing
    anyone in the prosecution of a claim against the United States
    which was pending in that or any other executive department during
    his period of employment. The subject of post-employment activities
    of former Government officers and employees was also dealt with in
    another statute which was repealed, 18 U.S.C. 284. Public Law 87-
    849 covers the subject in a single section enacted as the new 18
    U.S.C. 207.
      18 U.S.C. 216, which was repealed by section 1(c) of Public Law
    87-849, prohibited the payment to or acceptance by a Member of
    Congress or officer or employee of the Government of any money or
    thing of value for giving or procuring a Government contract. Since
    this offense is within the scope of the newly enacted 18 U.S.C. 201
    and 18 U.S.C. 203, relating to bribery and conflicts of interest,
    respectively, section 216 is no longer necessary.
      (!2) See section 2 of Public Law 87-849. 18 U.S.C. 281 and 18
    U.S.C. 283 were not completely set aside by section 2 but remain in
    effect to the extent that they apply to retired officers of the
    Armed Forces (see "Retired Officers of the Armed Forces," infra).
      (!3) S. Rept. 2213, 87th Cong., 2d sess., p. 6.
      (!4) The term "official responsibility" is defined by the new 18
    U.S.C. 202(b) to mean "the direct administrative or operating
    authority, whether intermediate or final, and either exercisable
    alone or with others, and either personally or through
    subordinates, to approve, disapprove, or otherwise direct
    Government action."
      (!5) These two provisions of section 205 refer to an "officer or
    employee" and not, as do certain of the other provisions of the
    Act, to an "officer or employee, including a special Government
    employee." However, it is plain from the definition in section
    202(a) that a special Government employee is embraced within the
    comprehensive term "officer or employee." There would seem to be
    little doubt, therefore, that the instant provisions of section 205
    apply to special Government employees even in the absence of an
    explicit reference to them.
      (!6) The prohibitions of the two subsections apply to persons
    ending service in these areas whether they leave the Government
    entirely or move to the legislative or judicial branch. As a
    practical matter, however, the prohibitions would rarely be
    significant in the latter situation because officers and employees
    of the legislative and judicial branches are covered by sections
    203 and 205.
      (!7) Neither section 203 nor section 205 prevents a special
    Government employee, during his period of affiliation with the
    Government, from representing another person before the Government
    in a particular matter only because it is within his official
    responsibility. Therefore the inclusion of a former special
    Government employee within the 1-year postemployment ban of
    subsection (b) may subject him to a temporary restraint from which
    he was free prior to the end of his Government service. However,
    since special Government employees usually do not have "official
    responsibility," as that term is defined in section 202(b), their
    inclusion within the 1-year ban will not have a widespread effect.
      (!8) Subsection (a), as it first appeared in H.R. 8140, the bill
    which became Public Law 87-849, made it unlawful for a former
    officer or employee to act as agent or attorney for, or aid or
    assist, anyone in a matter in which he had participated. The House
    Judiciary Committee struck the underlined words, and the bill
    became law without them. It should be noted also that the repealed
    provisions of 18 U.S.C. 283 made the distinction between one's
    acting as agent or attorney for another and his aiding or assisting
    another.
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