Opinion ID: 2314725
Heading Depth: 1
Heading Rank: 8

Heading: The Ethics Act

Text: As presently amended the Ethics Act applies to federal and District of Columbia employees in government service on or after July 1, 1979. [8] It disqualifies former government employees to varying degrees from participation in matters for which they were responsible as civil servants. For the purpose of deciding this appeal we find it necessary to address only the prohibitions contained in subsections (a) and (b)(ii) of the statute. Subsection (a) prohibits any former government employee from representing a party before, or communicating with the intent to influence on behalf of a party with, an agency, court or commission concerning a matter in which the employee personally and substantially participated while in government service. [9] Regulations promulgated pursuant to the Act construe this subsection to prohibit physical appearances before an agency, court or commission in an informal or formal setting, transmission of material in connection with a formal proceeding or application, and communication through correspondence and telephone calls. 5 C.F.R. § 737.5(b)(3) (1982). However, the regulations exempt in-house assistance rendered to a private party by a former government employee from the scope of this subsection. Id. § 737.5(b)(6). Subsection (b)(ii) of the Ethics Act prohibits employees designated by the Director of the Office of Government Ethics from representing or assisting in the representation of a party through personal presence before an agency, court or commission in a matter in which such employee participated personally and substantially while in government service. [10] Regulations which construe this subsection exempt all activity which does not involve a personal appearance before an agency, court or commission from the scope of this prohibition. Subsection (b)(ii) does not apply to assistance in connection with an oral or written communication made with an intent to influence which does not involve an appearance. Nor does it bar assistance in preparation for either a formal or informal personal appearance or an appearance by written submission in a formal proceeding where the former employee is not personally present .... [5 C.F.R. § 737.9(b) (1982).] This subsection thus prohibits only physical appearances before an agency by the former employee. Both subsections prohibit participation only in matters in which the former government employee participated while in government service. The regulations provide that [i]n determining whether two particular matters are the same, the agency should consider the extent to which the matters involve the same basic facts, related issues, the same or related parties, time elapsed, the same confidential information, and the continuing existence of an important federal interest. 5 C.F.R. § 737.5(c)(4) (1982).