Participated “Personally and Substantially” For imposition of the post-employment restrictions, the former employee must have participated “personally and substantially” during federal employment in the matter, in this case the NCS. See 18 U.S.C. § 207(a)(1)(B The ethics decision with respect to a particular individual, however, cannot be reached without careful and individualized attention to the standard in 18 U.S.C. § 207(a)(1)(B) to determine whether the individual participant participated “personally and substantially” in the particular matter after the clock began to run. Application of these last two criteria is very personal and fact specific, in this case to Dr. Friedman. OGE regulations provide that participating “personally” means participating directly, which Dr. Friedman did. See 5 C.F.R. 2637.201(d)(1). Participating“substantially” in a program of this size and scope is another matter. OGE regulations provide that substantially means that the employee’s involvement must be of significance to the
matter, or form a basis for a reasonable appearance of such significance. It requires more than official responsibility, knowledge, perfunctory involvement, or involvement on a administrative or peripheral issue. A finding of substantiality should be based not only on the effort devoted to a matter, but on the importance of the effort. While a series of peripheral involvements may be insubstantial, the single act of approving or participating in a critical step may be substantial.