Summary of the Post-Employment Restrictions

TITLE 18 UNITED STATES CODE SECTION 207

None of the provisions of Title 18 U.S.C. 207 bar any federal employee, regardless of 

rank or position, from accepting employee with any private or public sector employer. 

Former federal employees are subject to a minimum of three or a maximum of six post 

employment prohibitions contained in this section of the United States Code.

Your rate of pay or your pay schedule at the time you leave federal service determines 

exactly which of the six prohibitions will apply to you. If you are being paid at an annual 

rate which is less than the rate established for Level 5 of the Senior Executive Service 

(ES-5) you will be subject to three prohibitions – 18 U.S.C. 207 (a)(1), (a)(2), and (b). 

These three post employment prohibitions are explained on the following pages.

• RESTRICTIONS THAT APPLY TO ALL FORMER EMPLOYEES

18 U.S.C. 207(a)(1). Lifetime ban on making a communication or appearance 

involving particular matters involving a specific party or parties.

Prohibits all former Government employees from knowingly making, with the 

intent to influence, any communication to or appearance before an employee of 

any department, agency, or court of the United States on behalf of any other 

person (except the United States) in connection with a particular matter involving 

a specific party or parties when (1) the employee was personally and substantially 

involved in the matter as a Government employee and when (2) the United States 

is a party or has a direct and substantial interest in the matter. This restriction also 

applies to former special Government employees.

➢ Important Definitions:

“Communication to or appearance before” means representational 

appearances and communications before a Federal Government 

department, agency or court, made in an attempt to influence the 

federal Government concerning a particular matter in which the 

former employee was personally and substantially involved.

“Particular matter involving specific parties” means a proceeding 

affecting the rights of the parties or an isolatable transaction or 

related set of transactions between identifiable parties, and the 

United States must be a party to OR have a direct and substantial 

interest in the matter.

Note: The term “particular matter involving specific parties” 

includes any investigation, application, request for a ruling or 

determination, rulemaking that applies to specific parties, contract, 

controversy, claim, charge, accusation, arrest, or judicial or other 

proceeding. It does not include general rulemaking, general 

legislation or general policy issues.
“Personal and substantial participation” means direct participation 

as a Government employee through decision, approval, 

disapproval, recommendation, the rendering of advice, 

investigation or otherwise. It includes the participation of a 

subordinate when that subordinate was actually directed by the 

former employee in the matter. The participation must be of 

significance to the matter or form a basis for a reasonable 

appearance of such significance. Involvement on a peripheral issue 

may not be enough. A finding of substantiality should be based not 

only on the effort devoted to a matter, but on the importance of the 

effort.

o Example 1.

A Program Analyst works on a lawsuit involving Q 

Company. After leaving Federal service, the former 

employee accepts a job with a consulting firm that has Q 

Company as a client. She is asked by the consulting firm to 

represent it before the Environmental Protection Agency in 

connection with that same lawsuit. 

She may not do so. For life, she may only represent the 

United States before an Executive Branch or Judicial 

Branch agency on this matter. 

o Example 2.

A Government employee, who participated in 

recommending specifications for a contract awarded to Q 

Company for the design of certain ground water testing 

programs, joins Q Company and does work under the 

contract. He is asked to accompany a company vicepresident to a meeting to state the results of a series of trial 

tests, and does so. No violation occurs when he provides 

the information to his former agency. During the meeting a 

dispute arises as to some terms of the contract, and he is 

called upon to support Q Company’s position. 

He may not do so. If he had reason to believe that the 

contractual dispute would be the subject of the meeting, he 

should not have attended. Communications which do not 

include an “intent to influence” are not prohibited. 

18 U.S.C 207(a)(2). Two-year restriction on particular matters involving a 

specific party or parties where the matters were under your official responsibility.

Prohibits all former Government employees from knowingly making, with the 

intent to influence, any communication to or appearance before an employee of 

any department, agency or court of the United States on behalf of any other 

person (except the United States) in connection with a particular matter involving 
a specific party or parties when the employee knows or reasonably should know 

that the matter was actually pending under his or her official responsibility during 

their last year of Government service.

➢ IMPORTANT DEFINITIONS:

“Communication to or appearance before” - is defined the same way as for 

18 U.S.C. 207(a)(1).

“Particular matter involving specific parties” - is defined the same way as 

for 18 U.S.C. 207(a)(1)

“Official Responsibility” - means 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. Official responsibility 

is usually defined by statute, regulations, written delegation of authority or 

job description. AN EMPLOYEE’S RECUSAL FROM OR OTHER 

NON-PARTICIPATION IN A MATTER DOES NOTREMOVE IT 

FROM HIS OR HER OFFICIAL RESPONSIBILITY.

“Actually pending” - means the matter was in fact referred to or under 

consideration by persons within the employee’s area of responsibility.

“Last Year of Service” - means this two-year prohibition only applies to 

matters that were under one’s official responsibility during the former 

employee’s last year of service.

o Example 1.

During his tenure as Division head, an officer’s 

subordinates undertook major changes in agency general 

enforcement standards.

Eighteen months after terminating Government 

employment, he is asked to represent Z Company, which 

believes it is being unfairly treated under the enforcement 

program. The Z Company matter first arose on a complaint 

filed after the Division head terminated his employment. 

He may represent Z Company because “general 

enforcement standards,” like general rulemaking and policy 

making, are not considered particular matters for purposes 

of the prohibitions under 18 U.S.C. 207. In addition, the 

matter (general enforcement standards) pending under the 

former Division head’s official responsibility was not a 

particular matter involving “a specific party”. 

o Example 2.

Within two years after terminating, a bureau’s former 

Budget Officer is asked to represent Q Company in a 

dispute arising under a contract which was in effect during 
the officer’s last year in office. The dispute concerns an 

accounting formula under the contract, a matter in which a 

subordinate of the former officer was consulted. 

She may not represent Q Company on this matter. Even 

though the subordinate was not the decision maker, the 

involvement of that person in making a recommendation on 

the latter was under the “official responsibility” of the 

former Budget Officer during her last year in office. 

18 U.S.C. 207(b). One-year restriction on aiding and advising with regard to a trade or 

treaty negotiation.

For one year after Government service terminates, no former employee may knowingly 

REPRESENT, AID OR ADVISE, on the basis of covered information, any other person 

(except the United States) concerning any ongoing trade or treaty negotiation in which, 

during his/her last year of Government service, he/she participated personally and 

substantially as an employee.

Note: Unlike the lifetime and two-year bans, this restriction prohibits behind the scenes 

AID OR ADVICE to anyone other than the United States in connection with the 

particular trade or treaty negotiation.

➢ IMPORTANT DEFINITIONS:

“Trade negotiation” - means negotiations which the President determines 

to undertake to enter into a trade agreement pursuant to section 1102 of 

the Omnibus Trade and Competitiveness Act of 1988, and does not 

include any action taken before that determination is made. A trade 

negotiation commences to be “ongoing” when, at least 90 days before 

entering into a trade agreement, the President notifies both the House of 

Representatives and the Senate of his intention to enter into an agreement.

“Treaty” - means an international agreement made by the President that 

requires the advice and consent of the Senate. A treaty negotiation 

commences to be “ongoing” at the point when both (1) the determination 

has been made by a competent authority that the outcome of a negotiation 

will be a treaty, and (2) discussions with a foreign government have begun 

on a text.

“Covered Information” - means agency records which were accessible to 

the employee, which he or she knew or should have known were 

designated as exempt from disclosure under the Freedom of Information 

Act and which concern a negotiation in which the employee participated 

personally and substantially during his or her last year of Government 

service.

o EXAMPLE: A former employee attends a hearing on a 

treaty in which she had participated while in her last year of 

Government service. She speaks with the representative of 
a private party during the hearing. If, during that 

conversation, the former employee lends assistance to the 

representative, a violation occurs.

PENALTIES

(a) Whoever engages in conduct constituting an offense of 18 U.S.C. 207 shall be 

imprisoned for not more than one year or fined an amount not to exceed $50,000, or both.

(b) Whoever WILLFULLY engages in conduct constituting an offense of 18 U.S.C. 

207 shall be imprisoned for not more than five years or fined an amount not to exceed 

$50,000 or both.

(c) The Attorney General may bring a civil action in the appropriate U.S. District 

Court against any person who engages in conduct constituting an offense under Section 

207 of Title 18 and, upon proof of such conduct by a preponderance of the evidence, such 

person shall be subject to a civil penalty of not more than $50,000 for each violation or 

the amount of compensation which the person received or offered for the prohibited 

conduct, whichever amount is greater. The imposition of such a civil penalty does not 

preclude any other criminal or civil statutory, common law or administrative remedy, 

which is available to the U.S. or any other person.

(d) If the Attorney General has reason to believe that a person is engaging in conduct 

constituting an offense under 18 U.S.C. 207, the Attorney General may petition an 

appropriate U.S. district court for an order prohibiting that person from engaging in such 

conduct. The filing of such a petition does not preclude any other criminal or civil 

statutory, common law or administrative remedy, which is available to the U.S. or any 

other person.

THIS DOCUMENT PROVIDES ONLY A SUMMARY OF THE POST 

EMPLOYMENT PROHIBITIONS OF 18 U.S.C. 207. IF YOU HAVE ANY 

QUESTIONS REGARDING ANY OF THESE RESTRICTIONS, YOU SHOULD 

SEEK THE ADVICE OF YOUR SERVICING ETHICS COUNSELORS:

Kip Stover 

Employee Relations Specialist 

Bureau of Land Management

3833 S. Development Ave.

Boise, ID 83705

208-387-5527