Appendix A to Part 99 - Categories of Financial Interests Exempted From the Prohibitions of Section 208(a) of Title 18, United States Code
49:1.0.1.1.41.5.43.1.36 : Appendix A
Appendix A to Part 99 - Categories of Financial Interests Exempted
From the Prohibitions of Section 208(a) of Title 18, United States
Code
I. (a) Pursuant to the authority of section 208(b) of title 18,
United States Code, the following are exempted from the
prohibitions of section 208(a) of title 18, United States Code,
because they are too remote or too inconsequential to affect the
integrity of an employee's services in any matter in which he may
act in his governmental capacity.
(1) Any holding in a widely held mutual fund, or regulated
investment company, which does not specialize in an industry in
which the possibility of conflict arise.
(2) Continued participation in a bona fide pension, retirement,
group life, health, or accident insurance plan or other employee
welfare or benefit plan that is maintained by a business or
nonprofit organization by which the employee was formerly employed,
to the extent that the employee's rights in the plans are vested
and require no additional services by him or further payments to
the plans by the organization with respect to the services of the
employee. In addition, to the extent that the welfare or benefit
plan is a profit sharing or stock bonus plan, this exemption does
not apply and the procedures prescribed in § 99.735-15c (c) through
(e) will apply to the interest of that employee in the plan.
(3) Participation in an air carrier frequent flyers or
substantially similar program that is available to the general
public on the same terms and conditions and involves no direct
financial interest in the carrier, such as stockholdings or similar
types of investment interests.
[Amdt.99-10, 42 FR 3119, Jan. 14, 1977, as amended by Amdt. 99-14,
53 FR 16414, May 9, 1988]
Appendixes B-D to Part 99 [Reserved]
49:1.0.1.1.41.5.43.1.37 :
Appendixes B-D to Part 99 [Reserved]
Appendix E to Part 99 - Statutes Regulating Post-Employment Responsibilities of Government and Special Government Employees
49:1.0.1.1.41.5.43.1.38 : Appendix E
Appendix E to Part 99 - Statutes Regulating Post-Employment
Responsibilities of Government and Special Government Employees
Note:
This appendix applies only to employees who terminated
government service before January 1, 1991.
§ 207 Disqualification of former officers and employees in
matters connected with former duties or offical responsibilities;
disqualification of partners.
(a) Whoever, having been an officer or employee of the executive
branch of the United States Government, of any independent agency
of the United States, or of the District of Columbia, including a
special Government employee, after his employment has ceased,
knowingly acts as agent or attorney for anyone other than the
United States in connection with any judicial or other proceeding,
application, request for a ruling or other determination, contract,
claim, controversy, charge, accusation, arrest, or other particular
matter involving a specific party or parties in which the United
States is a party or has a direct and substantial interest and in
which he participated personally and substantially as an officer or
employee, through decision, approval, disapproval, recommendation,
the rendering of advice, investigation, or otherwise, while so
employed, or
(b) Whoever, having been so employed, within one year after his
employment has ceased, appears personally before any court or
department or agency of the Government as agent, or attorney for,
anyone other than the United States in connection with any
proceeding, application, request for a ruling or other
determination, contract, claim, controversy, charge, accusation,
arrest, or other particular matter involving a specific party or
parties in which the United States is a party or directly and
substantially interested, and which was under his official
responsibility as an officer or employee of the Government at any
time within a period of one year prior to the termination of such
responsibility:
Shall be fined not more than $10,000 or imprisoned for not more
than two years, or both: Provided, That nothing in
subsection (a) or (b) prevents a former officer or employee,
including a former special Government employee, with outstanding
scientific or technological qualifications from acting as attorney
or agent or appearing personally in connection with a particular
matter in a scientific or technological field if the head of the
department or agency concerned with the matter shall make a
certification in writing, published in the Federal Register, that
the national interest would be served by such action or appearance
by the former officer or employee.
(c) Whoever, being a partner of an officer or employee of the
executive branch of the United States Government, of any
independent agency of the United States, or of the District of
Columbia, including a special Government employee, acts as agent or
attorney for anyone other than the United States, in connection
with any judicial or other proceeding, application, request for a
ruling or other determination, contract, claim, controversy,
charge, accusation, arrest, or other particular matter in which the
United States is a party or has a direct and substantial interest
and in which such officer or employee of the Government or special
Government employee participates or has participated personally and
substantially as a Government employee through decision, approval,
disapproval, recommendation, the rendering of advice, investigation
or otherwise, or which is the subject of his official
responsibility:
Shall be fined not more than $5,000, or imprisoned not more than
one year, or both.
A partner of a present or former officer or employee of the
executive branch of the United States Government, of any
independent agency of the United States, or of the District of
Columbia or of a present or former special Government employee
shall as such be subject to the provisions of sections 203, 205,
and 207 of this title only as expressly provided in subsection (c)
of this section. (Added Pub. L. 87-349, section 1(a), Oct. 23,
1962, 76 Stat. 1123.)
§ 203 Acts affecting a personal financial interest.
(a) Except as permitted by subsection (b) hereof, whoever, being
an officer or employee of the executive branch of the United States
Government, of any independent agency of the United States, or of
the District of Columbia, including a special Government employee,
participates personally and substantially as a Government officer
or employee, through decision, approval, disapproval,
recommendation, the rendering of advice, investigation, or
otherwise, in a judicial or other proceeding, application, request
for a ruling or other determination, contract, claim, controversy,
charge, accusation, arrest, or other particular matter in which, to
his knowledge, he, his spouse, minor child, partner, organization
in which he is serving as officer, director, trustee, partner or
employee, or any person or organization with whom he is negotiating
or has any arrangement concerning prospective employment, has a
financial interest:
Shall be fined not more than $10,000, or imprisoned not more
than two years, or both.
(b) Subsection (a) hereof shall not apply (1) if the officer or
employee first advises the Government official responsible for
appointment to his position of the nature and circumstances of the
judicial or other proceeding, application, request for a ruling or
other determination, contract, claim, controversy, charge,
accusation, arrest, or other particular matter and makes full
disclosure of the financial interest and receives in advance a
written determination made by such official that the interest is
not so substantial as to be deemed likely to affect the integrity
of the services which the Government may expect from such officer
or employee, or (2) if, by general rule or regulation published in
the Federal Register, the financial interest has been exempted from
the requirements of clause (1) hereof as being too remote or too
inconsequential to affect the integrity of Government officers' or
employees' services. (Added Pub. L. 87-849, section 1(a), Oct. 23,
1962, 76 Stat. 1124.)
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.
[Amdt. 99-10, 42 FR 3119, Jan. 14, 1977, as amended by 58 FR 7995,
Feb. 11, 1993]
Appendix to Subtitle A - United States Railway Association - Employee Responsibilities and Conduct
49:1.0.1.1.41.5.43.1.39 :
Appendix to Subtitle A - United States Railway Association -
Employee Responsibilities and Conduct Subpart A - General Sec. 1
Purpose and policy. 3 Definitions. 5 Applicability. Subpart B -
Ethical and Other Conduct and Responsibilities of Employees 7
General. 9 Gifts, entertainment, and favors. 11 Outside employment
and other activities. 13 Financial interests. 15 Conflicts of
interest. 17 Disqualification arising from personal financial
interests. 19 Use of Association property or official title. 21
Misuse of information. 23 Indebtedness. 25 Miscellaneous
provisions. Subpart C - Statements of Employment and Financial
Interest 31 Employees required to submit statement. 33 Time and
place for submission of employee statements. 35 Supplementary
statements. 37 Committee on Commerce, Information not known by
employee. 39 Information not required. 41 Confidentiality of
employee's statement. 43 Interpretation and advisory service.
Subpart D - Disqualification of Former Employees in Matters
Connected with Former Duties or Official Responsibilities;
Disqualification of Partners 51 Matters in which employee
participated personally and substantially. 53 Matters under
employee's official responsibility. 55 Employee with outstanding
scientific or technological qualifications. 57 Partner of employee.
Appendix 1 - Categories of Financial Interests Exempted From the
Prohibitions of Sections 13(a), 15, and 17(a) Appendix 2 - List of
Employees Required to Submit Statements of Employment and Financial
Interests Under Section 31 [Reserved] Authority:Sec. 202(a)(5)(2)
of the Regional Rail Reorganization Act of 1973 (Pub. L. 93-236).