From the U.S. Code Online via GPO Access
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[Laws in effect as of January 7, 2003]
[Document not affected by Public Laws enacted between
January 7, 2003 and February 12, 2003]
[CITE: 18USC208]
TITLE 18--CRIMES AND CRIMINAL PROCEDURE
PART I--CRIMES
CHAPTER 11--BRIBERY, GRAFT, AND CONFLICTS OF INTEREST
Sec. 208. 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, or of any independent agency of the United States, a Federal
Reserve bank director, officer, or employee, or an officer or employee
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, general partner, organization in which he is serving as officer,
director, trustee, general 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 subject to the penalties set forth in section 216 of this
title.
(b) Subsection (a) shall not apply--
(1) if the officer or employee first advises the Government
official responsible for appointment to his or her 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;
(2) if, by regulation issued by the Director of the Office of
Government Ethics, applicable to all or a portion of all officers
and employees covered by this section, and published in the Federal
Register, the financial interest has been exempted from the
requirements of subsection (a) as being too remote or too
inconsequential to affect the integrity of the services of the
Government officers or employees to which such regulation applies;
(3) in the case of a special Government employee serving on an
advisory committee within the meaning of the Federal Advisory
Committee Act (including an individual being considered for an
appointment to such a position), the official responsible for the
employee's appointment, after review of the financial disclosure
report filed by the individual pursuant to the Ethics in Government
Act of 1978, certifies in writing that the need for the individual's
services outweighs the potential for a conflict of interest created
by the financial interest involved; or
(4) if the financial interest that would be affected by the
particular matter involved is that resulting solely from the
interest of the officer or employee, or his or her spouse or minor
child, in birthrights--
(A) in an Indian tribe, band, nation, or other organized
group or community, including any Alaska Native village
corporation as defined in or established pursuant to the Alaska
Native Claims Settlement Act, which is recognized as eligible
for the special programs and services provided by the United
States to Indians because of their status as Indians,
(B) in an Indian allotment the title to which is held in
trust by the United States or which is inalienable by the
allottee without the consent of the United States, or
(C) in an Indian claims fund held in trust or administered
by the United States,
if the particular matter does not involve the Indian allotment or
claims fund or the Indian tribe, band, nation, organized group or
community, or Alaska Native village corporation as a specific party
or parties.
(c)(1) For the purpose of paragraph (1) of subsection (b), in the
case of class A and B directors of Federal Reserve banks, the Board of
Governors of the Federal Reserve System shall be deemed to be the
Government official responsible for appointment.
(2) The potential availability of an exemption under any particular
paragraph of subsection (b) does not preclude an exemption being granted
pursuant to another paragraph of subsection (b).
(d)(1) Upon request, a copy of any determination granting an
exemption under subsection (b)(1) or (b)(3) shall be made available to
the public by the agency granting the exemption pursuant to the
procedures set forth in section 105 of the Ethics in Government Act of
1978. In making such determination available, the agency may withhold
from disclosure any information contained in the determination that
would be exempt from disclosure under section 552 of title 5. For
purposes of determinations under subsection (b)(3), the information
describing each financial interest shall be no more extensive than that
required of the individual in his or her financial disclosure report
under the Ethics in Government Act of 1978.
(2) The Office of Government Ethics, after consultation with the
Attorney General, shall issue uniform regulations for the issuance of
waivers and exemptions under subsection (b) which shall--
(A) list and describe exemptions; and
(B) provide guidance with respect to the types of interests that
are not so substantial as to be deemed likely to affect the
integrity of the services the Government may expect from the
employee.
(Added Pub. L. 87-849, Sec. 1(a), Oct. 23, 1962, 76 Stat. 1124; amended
Pub. L. 95-188, title II, Sec. 205, Nov. 16, 1977, 91 Stat. 1388; Pub.
L. 101-194, title IV, Sec. 405, Nov. 30, 1989, 103 Stat. 1751; Pub. L.
101-280, Sec. 5(e), May 4, 1990, 104 Stat. 159; Pub. L. 103-322, title
XXXIII, Secs. 330002(b), 330008(6), Sept. 13, 1994, 108 Stat. 2140,
2143.)
References in Text
The Federal Advisory Committee Act, referred to in subsec. (b)(3),
is Pub. L. 92-463, Oct. 6, 1972, 86 Stat. 770, as amended, which is set
out in the Appendix to Title 5, Government Organization and Employees.
The Ethics in Government Act of 1978, referred to in subsecs. (b)(3)
and (d)(1), is Pub. L. 95-521, Oct. 26, 1978, 92 Stat. 1824, as amended.
For complete classification of this Act to the Code, see Short Title
note set out under section 101 of Pub. L. 95-521 in the Appendix to
Title 5 and Tables.
The Alaska Native Claims Settlement Act, referred to in subsec.
(b)(4)(A), is Pub. L. 92-203, Dec. 18, 1971, 85 Stat. 688, as amended,
which is classified generally to chapter 33 (Sec. 1601 et seq.) of Title
43, Public Lands. For complete classification of this Act to the Code,
see Short Title note set out under section 1601 of Title 43 and Tables.
Prior Provisions
A prior section 208, act June 25, 1948, ch. 645, 62 Stat. 693,
related to the acceptance of solicitation of a bribe by a judicial
officer, prior to the general amendment of this chapter by Pub. L. 87-
849 and is substantially covered by revised section 201.
Provisions similar to those comprising this section were contained
in section 434 of this title prior to the repeal of such section and the
general amendment of this chapter by Pub. L. 87-849.
Amendments
1994--Subsec. (b)(4). Pub. L. 103-322, Sec. 330008(6), inserted
``if'' after ``(4)''.
Subsec. (c)(1). Pub. L. 103-322, Sec. 330002(b), substituted
``banks'' for ``Banks''.
1990--Subsec. (a). Pub. L. 101-280, Sec. 5(e)(2), made technical
correction to directory language of Pub. L. 101-194, Sec. 405(1)(C). See
1989 Amendment note below.
Subsec. (b)(2). Pub. L. 101-280, Sec. 5(e)(1)(A), substituted
``subsection (a)'' for ``paragraph (1)''.
Subsec. (b)(3). Pub. L. 101-280, Sec. 5(e)(1)(B), struck out
``section 107 of'' after ``individual pursuant to''.
Subsec. (d)(1). Pub. L. 101-280, Sec. 5(e)(1)(C), amended par. (1)
generally. Prior to amendment, par. (1) read as follows: ``A copy of any
determination by other than the Director of the Office of Government
Ethics granting an exemption pursuant to subsection (b)(1) or (b)(3)
shall be submitted to the Director, who shall make all determinations
available to the public pursuant to section 105 of the Ethics in
Government Act of 1978. For determinations pursuant to subsection
(b)(3), the information from the financial disclosure report of the
officer or employee involved describing the asset or assets that
necessitated the waiver shall also be made available to the public. This
subsection shall not apply, however, if the head of the agency or his or
her designee determines that the determination under subsection (b)(1)
or (b)(3), as the case may be, involves classified information.''
1989--Subsec. (a). Pub. L. 101-194, Sec. 405(1), as amended by Pub.
L. 101-280, Sec. 5(e)(2), inserted ``or'' after ``United States
Government,'' and ``an officer or employee'' before ``of the District of
Columbia'', substituted ``general partner'' for ``partner'' in two
places, and substituted ``Shall be subject to the penalties set forth in
section 216 of this title'' for ``Shall be fined not more than $10,000,
or imprisoned not more than two years, or both''.
Subsec. (b). Pub. L. 101-194, Sec. 405(2), added subsec. (b) and
struck out former subsec. (b), which read as follows: ``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. In the case of class A and B directors of Federal
Reserve banks, the Board of Governors of the Federal Reserve System
shall be the Government official responsible for appointment.''
Subsecs. (c), (d). Pub. L. 101-194, Sec. 405(2), added subsecs. (c)
and (d).
1977--Subsec. (a). Pub. L. 95-188, Sec. 205(a), extended conflicts
of interest prohibition to a Federal Reserve bank director, officer, or
employee.
Subsec. (b). Pub. L. 95-188, Sec. 205(b), inserted at end ``In the
case of class A and B directors of Federal Reserve banks, the Board of
Governors of the Federal Reserve System shall be the Government official
responsible for appointment.''
Effective Date
Section effective 90 days after Oct. 23, 1962, see section 4 of Pub.
L. 87-849, set out as a note under section 201 of this title.
Exemptions
Exemptions from former section 434 of this title deemed to be
exemptions from this section, see section 2 of Pub. L. 87-849, set out
as a note under section 203 of this title.
Regulations
Responsibility of Office of Government Ethics for promulgating
regulations and interpreting this section, see section 201(c) of 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.
Delegation of Authority
Authority of the President under subsec. (b) of this section to
grant exemptions or approvals to individuals delegated to agency heads,
see section 401 of 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.
Authority of the President under subsec. (b) of this section to
grant exemptions or approvals for Presidential appointees to committees,
commissions, boards, or similar groups established by the President, and
for individuals appointed pursuant to sections 105 and 107(a) of Title
3, The President, delegated to Counsel to the President, see section 402
of Ex. Ord. No. 12674, Apr. 12, 1989, 54 F.R. 15159, as amended, set out
as a note under section 7301 of Title 5.
``Particular Matter'' Defined
Pub. L. 100-446, title III, Sec. 319, Sept. 27, 1988, 102 Stat.
1826, which provided that notwithstanding any other provision of law,
for the purposes of this section ``particular matter'', as applied to
employees of the Department of the Interior and the Indian Health
Service, means ``particular matter involving specific parties'', was
repealed by Pub. L. 101-194, title V, Sec. 505(b), Nov. 30, 1989, 103
Stat. 1756, as amended by Pub. L. 101-280, Sec. 6(c), May 4, 1990, 104
Stat. 160.
Similar provisions were contained in Pub. L. 100-202, Sec. 101(g)
[title III, Sec. 318], Dec. 22, 1987, 101 Stat. 1329-213, 1329-255.
Section Referred to in Other Sections
This section is referred to in sections 14, 202, 216 of this title;
title 5 sections 568, 3374; title 7 section 2009aa-1; title 10 section
9447; title 12 section 2245; title 15 section 4805; title 16 section
1852; title 20 section 5508; title 22 sections 3507, 3508, 3613, 3622;
title 26 section 1043; title 28 section 594; title 28 App. section 302;
title 40 App. section 108; title 41 section 423; title 42 section 1396a;
title 47 section 154; title 49 section 106.