[Code of Federal Regulations]
[Title 5, Volume 3]
[Revised as of January 1, 2008]
From the U.S. Government Printing Office via GPO Access
[CITE: 5CFR2637.212]

[Page 633-635]
 
                    TITLE 5--ADMINISTRATIVE PERSONNEL
 
                CHAPTER XVI--OFFICE OF GOVERNMENT ETHICS
 
PART 2637_REGULATIONS CONCERNING POST EMPLOYMENT CONFLICT OF INTEREST--Table 
 
                    Subpart B_Substantive Provisions
 
Sec. 2637.212  Administrative enforcement proceedings.

    (a) Basic procedures. The following basic guidelines for 
administrative enforcement of restrictions on post employment activities 
are designed to expedite consultation with the Director as required 
pursuant to section 207(j) of title 18 U.S.C.
    (1) Delegation. The head of an agency may delegate his or her 
authority under this subpart.
    (2) Initiation of administrative disciplinary hearing. (i) On 
receipt of information regarding a possible violation of 18 U.S.C. 207, 
and after determining that such information appears substantiated, the 
agency head shall expeditiously provide such information, along

[[Page 634]]

with any comments or agency regulations, to the Director and to the 
Criminal Division, Department of Justice. The agency should coordinate 
any investigation on administrative action with the Department of 
Justice to avoid prejudicing criminal proceedings, unless the Department 
of Justice communicates to the Agency that it does not intend to 
initiate criminal prosecution.
    (ii) Whenever an agency has determined after appropriate review that 
there is reasonable cause to believe that a former Government employee 
has violated any of these regulations or 18 U.S.C. 207(a), (b), or (c), 
it may initiate an administrative disciplinary proceeding by providing 
the former Government employee with notice as defined in paragraph 
(a)(3) of this section. Agencies may establish procedures to protect the 
privacy of former employees as to allegations made prior to a 
determination of sufficient cause to initiate an administrative 
disciplinary hearing.
    (3) Adequate notice. (i) An agency must provide a former Government 
employee with adequate notice of an intention to institute a proceeding 
and an opportunity for a hearing.
    (ii) Notice to the former Government employee must include:
    (A) A statement of allegations (and the basis thereof) sufficiently 
detailed to enable the former Government employee to prepare an adequate 
defense;
    (B) Notification of the right to a hearing; and
    (C) An explanation of the method by which a hearing may be 
requested.
    (4) Presiding official. (i) The presiding official at proceedings 
under this subpart shall be the agency head or an individual to whom the 
agency head has delegated authority to make an initial decision 
(hereinafter referred to as ``examiner'').
    (ii) Appropriate qualifications shall be established for examiners.
    (iii) An examiner shall be impartial. No individual who has 
participated in any manner in the decision to initiate the proceedings 
may serve as an examiner in those proceedings.
    (5) Time, date and place. (i) The hearing shall be conducted at a 
reasonable time, date, and place.
    (ii) In setting a hearing date, the presiding official shall give 
due regard to the former Government employee's need for:
    (A) Adequate time to prepare a defense properly, and
    (B) An expeditious resolution of allegations that may be damaging to 
his or her reputation.
    (6) Hearing rights. A hearing shall include, at a minimum, the 
following rights:
    (i) To represent oneself or to be represented by counsel,
    (ii) To introduce and examine witnesses and to submit physical 
evidence,
    (iii) To confront and cross-examine adverse witnesses,
    (iv) To present oral argument, and
    (v) To receive a transcript or recording of the proceedings, on 
request.
    (7) Burden of proof. In any hearing under this subpart, the agency 
has the burden of proof and must establish substantial evidence of a 
violation.
    (8) Hearing decision. (i) The presiding official shall make a 
determination exclusively on matters of record in the proceeding, and 
shall set forth in the decision all findings of fact and conclusions of 
law relevant to the matters at issue.
    (ii) Within a reasonable period of the date of an initial decision, 
as set by the agency, either party may appeal the decision to the agency 
head. The agency head shall base his or her decision on such appeal 
solely on the record of the proceedings or those portions thereof cited 
by the parties to limit the issues.
    (iii) If the agency head modifies or reverses the initial decision, 
he or she shall specify such findings of fact and conclusions of law as 
are different from those of the hearing examiner.
    (9) Administrative sanctions. The agency head may take appropriate 
action in the case of any individual who was found in violation of 18 
U.S.C. 207 (a), (b), or (c) of these regulations after a final 
administrative decision or who failed to request a hearing after 
receiving adequate notice, by:
    (i) Prohibiting the individual from making, on behalf of any other 
person except the United States, any formal or informal appearance 
before, or, with the intent to influence, any oral or

[[Page 635]]

written communication to, such department or agency on any matter of 
business for a period not to exceed five years, which may be 
accomplished by directing agency employees to refuse to participate in 
any such appearance or to accept any such communication; or
    (ii) Taking other appropriate disciplinary action.
    (10) Judicial review. Any person found to have participated in a 
violation of 18 U.S.C. 207 (a), (b), or (c) of these regulations may 
seek judicial review of the administrative determination.
    (11) Consultation and review. Each agency shall submit a copy of its 
procedures for administrative enforcement to the Director.