H.R. 1395 (103rd): Ethics in Government Reform Act of 1993

103rd Congress, 1993–1994. Text as of Mar 18, 1993 (Introduced).

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HR 1395 IH

103d CONGRESS

1st Session

H. R. 1395

To amend section 207 of title 18, United States Code, to tighten restrictions on former executive and legislative branch officials and employees.

IN THE HOUSE OF REPRESENTATIVES

March 18, 1993

Mr. BACCHUS of Florida (for himself, Mr. ZIMMER, Mr. KREIDLER, Mr. BARRETT of Wisconsin, Mr. PAXON, Mr. CAMP, Mr. GREENWOOD, Mr. KLUG, Mr. LEWIS of Florida, Mr. THOMAS of Wyoming, Mr. PETRI, Mr. GENE GREEN of Texas, and Mr. GUTIERREZ) introduced the following bill; which was referred to the Committee on the Judiciary


A BILL

To amend section 207 of title 18, United States Code, to tighten restrictions on former executive and legislative branch officials and employees.

    Be it enacted by the Senate and House of Representatives of the United States of America in Congress assembled,

SECTION 1. SHORT TITLE.

    This Act may be cited as the ‘Ethics in Government Reform Act of 1993’.

SEC. 2. SPECIAL RULES FOR HIGHLY PAID EXECUTIVE APPOINTEES AND MEMBERS OF CONGRESS AND HIGHLY PAID CONGRESSIONAL EMPLOYEES.

    (a) IN GENERAL-

      (1) APPEARANCES BEFORE AGENCY- (A) Section 207(d) of title 18, United States Code, is amended by adding at the end thereof the following:

      ‘(3) RESTRICTIONS ON POLITICAL APPOINTEES- (A) In addition to the restrictions set forth in subsection (a), (b), and (c) and paragraph (1) of this subsection, any person who--

        ‘(i) serves in the position of President or Vice President of the United States; or

        ‘(ii) is a full-time, noncareer Presidential, Vice Presidential, or agency head appointee in an executive agency whose rate of basic pay is not less than $70,000 (adjusted for any COLA after the date of enactment of the Ethics in Government Reform Act of 1993) and is not an appointee of the senior foreign service or solely an appointee as a uniformed service commissioned officer, and who, after termination of his or her service or employment as such officer or employee, knowingly makes, with the intent to influence, any communication to or appearance before any officer or employee of a department or agency in which such person served within 5 years before such termination, during the period beginning on the termination of service or employment as such officer or employee and ending 5 years after the termination of service in the department or agency, on behalf of any other person (except the United States), in connection with any matter on which such person seeks official action by any officer or employee of such department or agency, shall be punished as provided in section 216 of this title.

      ‘(B) In addition to the restrictions set forth in subsections (a), (b), and (c) and paragraph (1) of this subsection, any person whose position is listed under section 5312 of title 5, or is employed in a full-time, noncareer position in the Executive Office of the President and whose rate of basic pay is not less than $70,000 (adjusted for any COLA after the date of enactment of the Ethics in Government Reform Act of 1993) and is not an appointee of the senior foreign service or solely an appointee as a uniformed service commissioned officer or is a full-time, noncareer Presidential, Vice Presidential, or agency head appointee in an executive agency whose rate of basic pay is not less than $70,000 (adjusted for any COLA after the date of enactment of the Ethics in Government Reform Act of 1993) and is not an appointee of the senior foreign service or solely an appointee as a uniformed service commissioned officer, and who, within 2 years after the termination of his or her service or employment as such officer or employee, knowingly makes, with the intent to influence, any communication to or appearance before any person described in paragraph (2)(B) on behalf of any other person (except the United States), in connection with any matter on which such person seeks official action by the person described in paragraph (2)(B), shall be punished as provided in section 216 of this title.

      ‘(C) In addition to the restrictions set forth in subsections (a), (b), and (c) and paragraph (1) of this subsection, any person whose position is listed under section 5312 of title 5, or is employed in the Executive Office of the President and whose basic rate of pay is not less than $70,000 (adjusted for any COLA after the date of enactment of the Ethics in Government Reform Act of 1993) and is not an appointee of the senior foreign service or solely an appointee as a uniformed service commissioned officer, and who, after the termination of his or her service or employment as such officer or employee, knowingly makes, with the intent to influence, any communication to or appearance before any officer or employee of a department or agency with respect to which the person had personal and substantial responsibility within 5 years before such termination, during the period beginning on the termination of service or employment as such officer or employee and ending 5 years after the termination of personal and substantial responsibility with respect to the department or agency, on behalf of any other person (except the United States), in connection with any matter on which such person seeks official action by any officer or employee of such department or agency, shall be punished as provided in section 216 of this title.

      ‘(D) For purposes of this paragraph, the term ‘personal and substantial responsibility’ means, with respect to a department or agency, ongoing decision-making involvement in the budget, major programs, or personnel actions of the department or agency, when acting both personally and substantially.

      ‘(E) This paragraph shall not apply to an officer or employee who has served less than 90 days before his or her service or employment as such officer or employee terminates.’.

      (B) The first sentence of section 207(h)(1) of title 18, United States Code, is amended by inserting after ‘subsection (c)’ the following: ‘and subsection (d)(3)’.

      (C) Section 207(d)(1)(A) of title 18, United States Code, is amended to read as follows:

        ‘(A) serves in the position of President or Vice President of the United States,’.

      (2) FOREIGN AGENTS- Section 207(f) of title 18, United States Code, is amended--

        (A) by striking ‘foreign entity’ each place it appears and inserting ‘foreign national’; and

        (B) by striking paragraph (2) and inserting the following:

      ‘(2) SPECIAL RESTRICTIONS- Any person who--

        ‘(A)(i) serves in the position of President or Vice President of the United States,

        ‘(ii) is a full-time, noncareer Presidential, Vice Presidential, or agency head appointee in an executive agency whose rate of basic pay is not less than $70,000 (adjusted for any COLA after the date of enactment of the Ethics in Government Reform Act of 1993) and is not an appointee of the senior foreign service or solely an appointee as a uniformed service commissioned officer,

        ‘(iii) is employed in a full-time, noncareer position in the Executive Office of the President whose rate of basic pay is not less than $70,000 (adjusted for any COLA after the date of enactment of the Ethics in Government Reform Act of 1993) and is not an appointee of the senior foreign service or solely an appointee as a uniformed service commissioned officer, or

        ‘(iv) is a Member of Congress or employed in a position by the Congress at a rate of pay equal to or greater the $70,000 (adjusted for any COLA after the date of enactment of the Ethics in Government Reform Act of 1993), and

        ‘(B) knowingly, after such service or employment terminates--

          ‘(i) represents, directly or indirectly, a foreign national before any officer or employee of any department or agency of the United States with the intent to influence a decision of such officer or employee in carrying out his or her official duties and receives compensation for such representation, or

          ‘(ii) aids or advises, directly or indirectly, a foreign national with the intent to influence a decision of any officer or employee of any department or agency of the United States in carrying out his or her official duties and receives compensation for such aid or advice,

        shall be punished as provided in section 216 of this title.

      ‘(3) GIFTS FROM A FOREIGN GOVERNMENT OR FOREIGN POLITICAL PARTY- Any person who--

        ‘(A)(i) serves in the position of President or Vice President of the United States,

        ‘(ii) is a full-time, noncareer Presidential, Vice Presidential, or agency head appointee in an executive agency whose rate of basic pay is not less than $70,000 (adjusted for any COLA after the date of enactment of the Ethics in Government Reform Act of 1993) and is not an appointee of the senior foreign service or solely an appointee as a uniformed service commissioned officer,

        ‘(iii) is a full-time, noncareer Presidential, Vice Presidential, or agency head appointee in an executive agency whose rate of basic pay is not less than $70,000 (adjusted for any COLA after the date of enactment of the Ethics in Government Reform Act of 1993) and is not an appointee of the senior foreign service or solely an appointee as a uniformed service commissioned officer,

        ‘(iv) is employed in a full-time, noncareer position in the Executive Office of the President whose rate of basic pay is not less than $70,000 (adjusted for any COLA after the date of enactment of the Ethics in Government Act of 1993) and is not an appointee of the senior foreign service or solely an appointee as a uniformed service commissioned officer,

        ‘(v) is a Member of Congress, or

        ‘(vi) is employed in a position by the Congress at a rate of pay equal to or greater than $70,000 (adjusted for any COLA after the date of enactment of the Ethics in Government Reform Act of 1993), and

        ‘(B) after such service or employment terminates, receives a gift from a foreign government or foreign political party,

      shall be punished as provided in section 216 of this title.

      ‘(4) DEFINITIONS- For purposes of this subsection--

        ‘(A) the term ‘foreign national’ means--

          ‘(i) a government of a foreign country as defined in section 1(e) of the Foreign Agents Registration Act of 1938, as amended, or a foreign political party as defined in section 1(f) of that Act;

          ‘(ii) a person outside of the United States, unless such person is an individual and a citizen of the United States, or unless such person is not an individual and is organized under or created by the laws of the United States or of any State or other place subject to the jurisdiction of the United States and has its principal place of business within the United States;

          ‘(iii) a partnership, association, corporation, organization, or other combination of persons organized under the laws of or having its principal place of business in a foreign country; and

          ‘(iv) a person any of whose activities are directly or indirectly supervised, directed, controlled, financed, or subsidized in whole or in major part by an entity described in clause (i), (ii), or (iii); and

        ‘(B) the term ‘gift’--

          (i) includes any gratuity, favor, discount, entertainment, hospitality, loan, forbearance, or other item having monetary value greater than $20; and

          ‘(ii) does not include--

            ‘(I) modest items of food and refreshments offered other than as part of a meal;

            ‘(II) greeting cards and items of little intrinsic value which are intended solely for presentation;

            ‘(III) loans from banks and other financial institutions on terms generally available to the public;

            ‘(IV) opportunities and benefits, including favorable rates and commercial discounts, available to the public; or

            ‘(V) travel, subsistence, and related expenses in connection with the person’s rendering of advice or aid to a government of a foreign country or foreign political party, if the Secretary of State certifies in advance that such activity is in the best interests of the United States.’.

      (3) TRADE NEGOTIATORS- Section 207(b)(1) of title 18, United States Code, is amended--

        (A) by inserting ‘(A)’ after ‘IN GENERAL- ’; and

        (B) by adding at the end thereof the following:

      ‘(B) For any person who--

        ‘(i) is a full-time, noncareer Presidential, Vice Presidential, or agency head appointee in an executive agency whose rate of basic pay is not less than $70,000 (adjusted for any COLA after the date of enactment of the Ethics in Government Reform Act of 1993) and is not an appointee of the senior foreign service or solely an appointee as a uniformed service commissioned officer,

        ‘(ii) is employed in a full-time, noncareer position in the Executive Office of the President, whose rate of basic pay is not less than $70,000 (adjusted for any COLA after the date of enactment of the Ethics in Government Reform Act of 1993) and is not an appointee of the senior foreign service or solely an appointee as a uniformed service commissioned officer, or

        ‘(iii) is a Member of Congress or employed in a position by the Congress at a rate of pay equal to or greater than $70,000 (adjusted for any COLA after the date of enactment of the Ethics in Government Reform Act of 1993),

      the restricted period after the termination of service or employment that is referred to in subparagraph (A) shall be permanent.’.

      (4) LEGISLATIVE BRANCH- Section 207(e) of title 18, United States Code, is amended--

        (A) by striking paragraph (1) and inserting the following:

      ‘(1) MEMBERS OF CONGRESS, ELECTED OFFICERS, AND HIGHLY-PAID STAFFERS- (A) Any person who is a Member of Congress, an elected officer of either House of Congress, or employed in a position by the Congress at a rate of pay equal to or greater than $70,000 (adjusted for any COLA after the date of enactment of the Ethics in Government Reform Act of 1993) and who, within 2 years after that person leaves his or her employment, knowingly makes, with the intent to influence, any communication to or appearance before any Member, officer, employee of either House of Congress, or any employee of any other legislative office of the Congress on behalf of any other person (except the United States) in connection with any matter on which such former Member, elected officer, or employee seeks action by a Member, officer, or employee of either House of Congress, in his or her official capacity, shall be punished as provided in section 216 of this title.

      ‘(B) Any person who is a Member of Congress and who, after that person leaves office, knowingly makes, with the intent to influence, any communication to or appearance before any member or employee of a committee of Congress on which the Member served within 5 years before that person left office, during the period beginning on the date that person leaves office and ending 5 years after the termination of that person’s service on that committee, on behalf of any other person (except the United States) in connection with any matter on which such former Member seeks action by the member or employee of the committee in his or her official capacity, shall be punished as provided in section 216 of this title.’;

        (B) by redesignating paragraphs (6) and (7) as paragraphs (7) and (8), respectively; and

        (C) by inserting after paragraph (5) the following new paragraph:

      ‘(6) HIGHLY PAID STAFFERS- For any person to whom the restrictions in paragraph (2), (3), (4), or (5) apply, and who is employed in a position at a rate of pay equal to or greater than $70,000 (adjusted for any COLA after the date of enactment of the Ethics in Government Reform Act of 1993) the restricted period after termination of employment in paragraph (2), (3), (4), or (5) that applies to such person shall be 5 years.’.

      (5) GOVERNMENTWIDE COOLING OFF PERIOD-

        (A) EXECUTIVE BRANCH- Subsection (c) of section 207 of title 18, United States Code, is amended--

          (i) by amending the caption for such subsection to read as follows:

    ‘(c) ONE-YEAR RESTRICTION ON ALL OFFICERS AND EMPLOYEES OF THE EXECUTIVE BRANCH AND CERTAIN OTHER AGENCIES- ’;

          (ii) in paragraph (1) by striking ‘who is referred to in paragraph (2)’ and inserting ‘who is subject to the restrictions contained in subsection (a)(1)’; and

          (iii) by striking paragraph (2) and inserting the following:

      ‘(2) EXCEPTIONS- (A) Paragraph (1) shall not apply to a special Government employee who serves less than 90 days in the 1-year period before his or her service or employment as such employee terminates.

      ‘(B) At the request of a department or agency, the Director of the Office of Government Ethics may waive the restrictions contained in paragraph (1) with respect to any position, or category of positions, referred to in subsection (a)(1), in such department or agency if the Director determines that--

        ‘(i) the imposition of the restrictions with respect to such position or positions would create an undue hardship on the department or agency in obtaining qualified personnel to fill such position or positions, and

        ‘(ii) granting the waiver would not create the potential for use of undue influence or unfair advantage.’.

        (B) CONGRESS- Section 207(e) of title 18, United States Code, is amended by striking paragraph (6) and inserting the following:

      ‘(6) LIMITATION ON RESTRICTIONS- (A) The restrictions contained in paragraphs (2), (3), (4), and (5) apply only to acts by a former employee who was employed for at least 90 days, in the aggregate, during the 1-year period before that former employee’s service as such employee terminated.’.

    (b) PENALTIES-

      (1) FUTURE ACTIVITIES- Section 216 of title 18, United States Code, is amended by adding at the end thereof the following:

    ‘(d) In addition to the penalties provided in subsections (a), (b), and (c), the punishment for each violation of section 207 may include a prohibition on the person knowingly, with the intent to influence, communicating to or appearing before any employee of the executive or legislative branch, for a period of not to exceed 5 years.’.

      (2) USE OF PROFITS- Section 216(b) of title 18, United States Code, is amended by inserting after the first sentence the following: ‘Any amount of compensation recovered pursuant to the preceding sentence for a violation of section 207 shall be deposited in the general fund of the Treasury to reduce the deficit.’.

    (c) EXCEPTIONS- Section 207(j) of title 18, United States Code, is amended by adding at the end thereof the following:

      ‘(7) NON-INFLUENTIAL CONTACTS- Nothing in this section shall prevent an individual from making requests for appointments, requests for the status of Federal action, or other similar ministerial contacts, if there is no attempt to influence an officer or employee of the legislative or executive branch.

      ‘(8) COMMENTS- Nothing in this section shall prevent an individual from making communications in response to a notice in the Federal Register, Commerce Business Daily, or other similar publication soliciting communications from the public and directed to the agency official specifically designated in the notice to receive such communications.

      ‘(9) ADJUDICATION- Nothing in this section shall prevent an individual from making communications or appearances in compliance with written agency procedures regarding an adjudication conducted by the agency under section 554 of title 5, or substantially similar provisions.

      ‘(10) COMMENTS FOR THE RECORD- Nothing in this section shall prevent an individual from submitting written comments filed in a public docket and other communications that are made on the record.’.

SEC. 3. EFFECTIVE DATE.

    The restrictions contained in section 207 of title 18, United States Code, as added by section 2 of this Act--

      (1) shall apply only to persons whose service as officers or employees of the Government, or as Members of Congress terminates on or after the date of the enactment of this Act; and

      (2) in the case of officers, employees, and Members of Congress described in section 207(b)(1)(B) of title 18, United States Code (as added by section 2 of this Act), shall apply only with respect to participation in trade negotiations or treaty negotiations, and with respect to access to information, occurring on or after such date of enactment.