Legal Advisories
The Legal Advisories page contains the DAEOgrams on substantive ethics issues published by OGE from 1992 to 2010, the Advisory Opinions published by OGE from 1979 to 2010, and the Legal Advisories, which OGE began publishing in 2011.
2017
01/05/2017
LA-17-01: Effect of Pay Adjustments on Ethics Provisions for Calendar Year 2017
This Legal Advisory clarifies the 2017 thresholds for: (1) determining which senior employees are subject to the post-employment restrictions; (2) identifying which officers and employees must file public financial disclosure reports; and (3) implementing the outside employment and outside earned income restrictions for certain covered noncareer employees.
2016
12/21/2016
LA-16-12: Publication of the Final Rule Revising Subpart B of the Standards of Conduct, Gifts from Outside Sources
This Legal Advisory discusses the recent amendments to the provisions of the Standards of Ethical Conduct that govern gifts from outside sources, found at 5 C.F.R. 2635, Subpart B, and highlights the major substantive changes set forth in the final rule.
12/20/2016
LA-16-11: Presidential Inaugural Events
This Legal Advisory reminds agencies of the ethical requirements relevant to a Federal employee during the inauguration celebration, particularly those requirements regarding gifts.
12/15/2016
LA-16-10: Interpretive Guidance on the STOCK Act
This Legal Advisory provides interpretive guidance on the Stop Trading on Congressional Knowledge Act (STOCK Act) as it applies to the President, the Vice President, and certain executive branch employees.
11/10/2016
LA-16-09: New Job Aid: Overview of Education Requirements under the Revised 5 C.F.R. Part 2638, Subpart C
This Legal Advisory announces a new job aid to help ethics officials familiarize themselves with the new government ethics education requirements under the revised 5 C.F.R. part 2638.
09/23/2016
LA-16-08: Introduction to the Primary Post-Government Employment Restrictions Applicable to Former Executive Branch Employees
This Legal Advisory provides a plain language discussion for agency ethics officials, departing employees, and former employees on the post-Government employment restrictions, particularly those found in certain provisions of the primary post-Government employment statute applicable to former employees of the executive branch, 18 U.S.C. § 207.
08/31/2016
LA-16-07: Technical Modification of 5 C.F.R. part 2640
This Legal Advisory describes a technical regulatory modification to the definition of "employee" found in 5 CFR part 2640.
08/01/2016
LA-16-06: Publication of the Final Rule Revising Subpart F of the Standards of Conduct, Seeking Other Employment
This Legal Advisory discusses the recent amendments to the provisions of the Standards of Ethical Conduct that govern seeking other employment found at 5 C.F.R. 2635, Subpart F. In addition, this Legal Advisory highlights two principal changes set forth in the final rule, which OGE published in the Federal Register on July 26, 2016.
07/27/2016
LA-16-05: 2015 Conflict of Interest Prosecution Survey
OGE has completed its annual survey of prosecutions involving the conflict of interest criminal statutes and other related statutes for the period January 1, 2015 through December 31, 2015.
07/21/2016
LA-16-04: Inflationary Adjustments to Ethics in Government Act Civil Monetary Penalties
This Legal Advisory announces increases in five civil monetary penalties related to the executive branch ethics program. OGE recently issued an interim final regulation establishing these inflationary adjustments, pursuant to a recent legislative enactment.
07/18/2016
LA-16-03: Supreme Court Decision in McDonnell v. United States
This Legal Advisory responds to the Supreme Court’s recent holding in McDonnell v. United States. The Legal Advisory emphasizes that the Supreme Court’s ruling does not affect the scope of the gift prohibitions found at 5 U.S.C. § 7353 and 5 C.F.R. § 2635.202(a), or any OGE interpretation of 18 U.S.C. §§ 202-209.
05/16/2016
LA-16-02: Annual Update of 18 U.S.C. § 207(c) Component Designations
In this Legal Advisory, OGE asks each agency to forward to OGE its annual letter stating whether its components that are currently designated should remain designated for purposes of 18 U.S.C. § 207(c). Any request to modify the existing list of components should be submitted in accordance with regulatory procedures.
01/07/2016
LA-16-01: Effect of Pay Adjustments on Ethics Provisions for Calendar Year 2016
This Legal Advisory clarifies the 2016 thresholds for: (1) determining which senior employees are subject to the post-employment restrictions; (2) implementing the outside employment and outside earned income restrictions for certain covered noncareer employees; and (3) identifying which officers and employees must file public financial disclosure reports.
2015
07/27/2015
LA-15-10: 2014 Conflict of Interest Prosecution Survey
2014 Conflict of Interest Prosecution Survey.
06/30/2015
LA-15-09: Diversified and Sector Real Estate Funds (Exemption under 5 C.F.R. § 2640.201)
The U.S. Office of Government Ethics (OGE) has issued a Legal Advisory on the application of the diversified mutual fund exemption to certain real estate funds under 5 C.F.R. § 2640.201(a).
06/04/2015
LA-15-08: Annual Update of 18 U.S.C. § 207(c) Component Designations
In this Legal Advisory, OGE asks each agency to forward to OGE its annual letter stating whether its components that are currently designated should remain designated for purposes of 18 U.S.C. § 207(c). Any request to modify the existing list of components should be submitted in accordance with regulatory procedures.
05/27/2015
LA-15-07: Legislative Activity of the 113th Congress Affecting the Executive Branch Ethics Program
The Office of Government Ethics (OGE) monitors ethics-related provisions of interest to the executive branch ethics program. This Legal Advisory highlights legislative activity from the 113th Congress affecting the executive branch ethics program.
05/05/2015
LA-15-05: Determining the “Market Value” of Events When No Fee is Charged to Attend
This Legal Advisory clarifies how to determine the “market value” of a gift of free attendance to an event when no fee is charged to any attendee.
05/05/2015
LA-15-06: Employee Benefit Plans Through Which Employees Hold Diversified Pooled Investment Funds and Employee Benefit Plans Established or Maintained Outside of the United States
This Legal Advisory explains when the employee benefit plan exemption at 5 C.F.R. § 2640.201(c)(1)(iii) is applicable to (1) employee benefit plans through which employees hold diversified pooled investment funds, and (2) employee benefit plans that are established or maintained outside of the United States.
04/30/2015
LA-15-04: Treatment of Gift Cards under the $20 De Minimis Gift Exception
This Legal Advisory explains the types of prepaid gift cards that are considered to be cash equivalents, and are therefore categorically prohibited under the de minimis gift exception, and the types that are not treated as cash equivalents.
04/09/2015
LA-15-03: The Standards of Conduct as Applied to Personal Social Media Use
This Legal Advisory discusses how the Standards of Ethical Conduct for Executive Branch Employees apply to employees' personal social media activities. The Legal Advisory focuses on common issues such as when an employee can reference his or her title on a personal social media account, and what rules apply to personal fundraising on social media.
04/06/2015
LA-15-02: Free Attendance at Speaking Engagements and Widely Attended Gatherings; Waiver of Separate Fee for a Meal or Reception
This Legal Advisory discusses the definition of "free attendance" as used in the Widely Attended Gathering gift exception. The Legal Advisory confirms that free attendance does not include the waiver of an additional fee charged to attend a meal or reception that is collateral to the original event.
01/06/2015
LA-15-01: Effect of Pay Adjustments on Ethics Provisions for Calendar Year 2015
This LA clarifies the 2015 thresholds for: (1) identifying which officers and employees must file public financial disclosure reports; (2) determining which senior employees are subject to the post-employment restrictions and (3) implementing the outside employment and outside earned income restrictions for certain covered noncareer employees.
2014
11/19/2014
LA-14-08: Reference to Official Title and Position by Employees Affiliated with Private Organizations in Their Personal Capacity
This Legal Advisory provides guidance to agencies on factors to consider in determining whether references to an employee's title or position made by a private organization with which the employee is affiliated would create an impermissible appearance of government sanction or endorsement.
11/07/2014
LA-14-07: 2013 Conflict of Interest Prosecution Survey
2013 Conflict of Interest Prosecution Survey
11/04/2014
LA-14-06: Flexibility in Ensuring and Documenting Compliance with Ethics Agreements
This legal advisory explains and expands the options available to ethics officials for ensuring and documenting compliance with PAS officials' ethics agreements. It also clarifies the discretion ethics officials have in determining when screening arrangements are necessary to implement recusal commitments, and what form such arrangements can take.
09/30/2014
LA-14-05: Financial Disclosure Requirements for Pooled Investment Funds
This Legal Advisory explains what Presidential Nominees, subject to Senate confirmation, must report on the OGE 278 when they own certain Pooled Investment Funds that do not qualify as excepted investment funds.
06/11/2014
LA-14-04: Annual Update of 18 U.S.C. § 207(c) Component Designations
In this Legal Advisory, OGE asks each agency to forward to OGE its annual letter stating whether its components that are currently designated should remain designated for purposes of 18 U.S.C. § 207(c). Any request to modify the existing list of components should be submitted in accordance with regulatory procedures.
05/23/2014
LA-14-03: Increased Gifts and Travel Reimbursements Reporting Thresholds
The Office of Government Ethics (OGE) has issued final rule amendments that revise the executive branch financial disclosure regulation at 5 C.F.R. §§ 2634.304 and 2634.907(g) and the widely attended gathering (WAG) gift exception ceiling for nonsponsor gifts of free attendance at 5 C.F.R. § 2635.204(g)(2).
03/07/2014
LA-14-02: Participation in Initial Public Offerings by Certain Employees
This Legal Advisory addresses specific statutory limits on when certain employees may purchase securities that are the subject of an Initial Public Offering.
01/03/2014
LA-14-01: Pay Adjustments to Ethics Provisions for Calendar Year 2014
This Legal Advisory discusses changes to the statutory pay-level thresholds for certain purposes under the Ethics in Government Act and 18 U.S.C. § 207(c). The Legal Advisory also provides the relevant threshold amounts.
2013
12/09/2013
LA-13-12: 2012 Conflict of Interest Prosecution Survey
2012 Conflict of Interest Prosecution Survey
09/30/2013
LA-13-11: Ethics Laws and Regulations Continue to Apply to Federal Government Employees during Furlough Periods
This Legal Advisory reminds employees that the ethics laws and regulations will continue to apply during a possible government shutdown.
08/19/2013
LA-13-10: Effect of the Supreme Court's Decision in United States v. Windsor on the Executive Branch Ethics Program
This Legal Advisory provides guidance on the effect of United States v. Windsor on the federal ethics provisions that use the terms “spouse,” “marriage,” and “relative.”
06/28/2013
LA-13-09: Periodic Transaction Reporting—Lapse of Penalty Waiver
This Legal Advisory reminds ethics officials that OGE’s blanket waiver of the $200 late fee for periodic transaction reports is no longer effective July 3, 2013.
06/10/2013
LA-13-08: Annual Update of 18 U.S.C. § 207(c) Component Designations
In this Legal Advisory, OGE asks each agency to forward to OGE its annual letter stating whether its components that are currently designated should remain designated for purposes of 18 U.S.C. § 207(c). Any request to modify the existing list of components should be submitted in accordance with regulatory procedures.
05/15/2013
LA-13-07: Summary of the Provisions of the 2013 Appropriations Act that Affect the Executive Branch Ethics Program
This Legal Advisory summarizes the provisions of the Consolidated and Further Continuing Appropriations Act, 2013, that affect the Executive Branch Ethics Program.
04/25/2013
LA-13-06: Notification of Negotiations for Post-Government Compensation under Section 17 of the STOCK Act
This Legal Advisory clarifies that employees must comply with the notification requirements under section 17 of the Stop Trading on Congressional Knowledge Act of 2012 (STOCK Act) when they negotiate for, or have an agreement of, post-government, non-federal compensation for services to be rendered entirely after termination of federal employment.
04/09/2013
LA-13-05: 18 U.S.C. § 208(b)(2) Exemption for Official Participation in Nonprofit Organizations
This Legal Advisory discusses the history and scope of the exemption for official participation in nonprofit organizations found at 5 C.F.R. § 2640.203(m). The Legal Advisory also highlights important considerations for agency officials who intend to assign employees to serve in an official capacity at a nonprofit organization.
04/09/2013
LA-13-04: Reporting Requirements for Discretionary Trusts
This memorandum clarifies guidance concerning the application of the financial disclosure reporting requirements to discretionary trusts, as the term “discretionary trust” is defined in OGE’s only issuance on such trusts, DAEOgram DO-08-024 (2008)
04/04/2013
LA-13-03: Legislative Activity of the 112th Congress Affecting the Executive Branch Ethics Program
This Legal Advisory updates relevant legislative activity from the recently ended 112th Congress.
03/18/2013
LA-13-02: Reminder that ethics laws and regulations continue to apply to Federal Government employees during furlough periods
This legal advisory is a reminder that ethics laws and regulations continue to apply to Federal Government employees during furlough periods.
01/18/2013
LA-13-01: Periodic Reporting of Spouse and Dependent Children Transactions
This Legal Advisory explains that covered Executive Branch employees must file periodic reports of transactions involving separately owned assets of their spouses or dependent children. This Advisory amends the guidance provided in OGE LA-12-04.
2012
12/20/2012
LA-12-10: Presidential Inaugural Events
In this legal advisory, OGE summarizes the ethical requirements relevant to a Federal employee during the 2013 Presidential Inauguration celebration, particularly those requirements regarding gifts.
12/14/2012
LA-12-09: Scope of the Exception for Representation of a Parent or Child before the Government under 18 U.S.C. § 205(e)
This Legal Advisory clarifies that the exception at 18 U.S.C. § 205(e) for representation of persons with whom an employee has a personal relationship before the Government in connection with most matters may permit representation of an employee's stepparent or stepchild when the relationship is one that invokes certain family responsibilities.
12/07/2012
LA-12-08: A Reminder about Holiday Gifts and Fundraising
OGE updates a poem that reminds executive branch employees, in an entertaining way, about the ethics rules on solicitation and acceptance of gifts.
12/06/2012
LA-12-07: Continuing Waiver Validity for Transferred Employees
This Legal Advisory clarifies that an individual waiver issued pursuant to 18 U.S.C. § 208(b)(1) to an employee who has transferred from one agency to another will remain effective until the receiving agency makes a determination to either cancel the waiver or issue a new waiver.
09/14/2012
LA-12-06: 2011 Conflict of Interest Prosecution Survey
2011 Conflict of Interest Prosecution Survey
09/07/2012
LA-12-05: Speaking and Similar Engagements Involving the Presentation of Information on Behalf of the Agency
This Legal Advisory clarifies when an employee’s participation in an event will constitute “otherwise presenting information on behalf of the agency” for purposes of the “speaking and similar engagements” gift exception at 5 C.F.R. § 2635.204(g)(1).
06/20/2012
LA-12-04: Public Financial Disclosure—Periodic Transaction Reports
This Legal Advisory explains the STOCK Act provision that requires certain employees to file periodic public reports of their transactions. The Legal Advisory also includes a copy of the new form that employees should use to file their periodic transaction reports (OGE Form 278-T). [The guidance in this advisory regarding periodic reporting of spouse and dependent children transactions was updated in 2013 by
Legal Advisory LA-13-01.]
06/08/2012
LA-12-03: Annual Update of 18 U.S.C. § 207(c) Component Designations
OGE asks each agency to forward to OGE its annual letter stating whether its components that are currently designated should remain designated for purposes of 18 U.S.C. § 207(c). Any request to modify the existing list of components should be submitted in accordance with regulatory procedures.
04/06/2012
LA-12-02: Mortgage Reporting Requirement under the STOCK Act
Section 13 of the STOCK Act requires certain Presidential Appointees with Senate Confirmation to include on their OGE Form 278 mortgages secured by their personal residences.
04/06/2012
LA-12-01: Post-Employment Negotiation and Recusal Requirements under the STOCK Act
This Legal Advisory explains STOCK Act provisions requiring certain employees to:
(1) Notify their DAEOs of any negotiation or agreement for future employment or compensation within three business days after commencement of the negotiation or agreement; and
(2) Recuse whenever there is a conflict of interest or appearance issue with the entity. [The notification/recusal format was updated in 2013 in the attachment to
Legal Advisory LA-13-06.]
2011
12/29/2011
LA-11-10: Pay-Level Thresholds of Ethics Provisions Remain at 2011 Levels for Calendar Year 2012
This Legal Advisory reminds agencies that the three statutory pay-level thresholds for certain purposes under either the Ethics in Government Act (Ethics Act) or 18 U.S.C. § 207(c) will remain the same as last year.
12/22/2011
LA-11-09: Revised OGE Form 278 and OGE Form 450
The U.S. Office of Government Ethics (OGE) has revised the OGE Form 278 and the OGE Form 450 to reflect the current thresholds for reporting gifts and travel reimbursements, as amended by 76 Fed. Reg. 38547 (July 1, 2011).
11/15/2011
LA-11-08: 2010 Conflict of Interest Prosecution Survey
2010 Conflict of Interest Prosecution Survey
10/31/2011
LA-11-07: The OGE Supplemental Agency Regulation Process
This legal advisory addresses whether an agency needs a supplemental ethics regulation, the appropriate ethics issues to include in a supplemental agency regulation, and summarizes OGE's role in assisting agencies with this process.
09/07/2011
LA-11-06: Nonpartisan Political Activity
OGE analyzes whether, under 5 C.F.R. § 2635.802, an agency may issue an across-the-board policy that an employee may not run for or hold nonpartisan elective office because election to that office may have the potential to create the appearance of misuse of the employee's federal position. OGE also provides guidance on related ethics issues.
08/17/2011
LA-11-05: Increased Gifts and Travel Reimbursements Reporting Thresholds
The Office of Government Ethics (OGE) has issued final rule amendments that in pertinent part revise the executive branch financial disclosure regulation at 5 C.F.R. §§ 2634.304 and 2634.907(g).
06/24/2011
LA-11-04: Annual Update of 18 U.S.C. § 207(c) Component Designations
OGE asks each agency to forward to OGE its annual letter stating whether its components that are currently designated should remain designated for purposes of 18 U.S.C. § 207(c). Any request to modify the existing list of components should be submitted in accordance with regulatory procedures.
04/19/2011
LA-11-03: Public Financial Disclosure Report Guidance for Presidential Candidates
This Legal Advisory provides guidance to potential Presidential and Vice Presidential candidates concerning the public financial disclosure reporting requirements that apply to them.
03/08/2011
LA-11-02: Legislative Activity of the 111th Congress Affecting the Executive Branch Ethics Program
This Legal Advisory updates relevant legislative activity from the recently ended 111th Congress, including the re-codification of the Procurement Integrity Act, changes to the ethics laws for the intelligence community, and a trend toward imposing new post-employment restrictions on certain Executive Branch employees.
02/08/2011
LA-11-01: Effect of the Freeze on Pay Adjustments on Ethics Provisions for Calendar Year 2011
This Legal Advisory updates the three statutory pay-level thresholds for certain purposes under either the Ethics in Government Act (Ethics Act) or 18 U.S.C. § 207(c) for calendar year 2011.
2010
12/17/2010
DO-10-020: New Public Financial Disclosure Form (OGE Form 278)
OGE replaces the SF 278 Executive Branch Personnel Public Financial Disclosure Report with a new form for collecting public financial disclosure reports in the Federal executive branch, the OGE Form 278.
11/09/2010
DO-10-017: 2009 Conflict of Interest Prosecution Survey
2009 Conflict of Interest Prosecution Survey
04/22/2010
DO-10-005: Guidance on Waivers under 18 U.S.C. § 208(b), Authorizations under Agency Supplemental Regulations
Waivers under 18 U.S.C. § 208(b) and agency supplemental regulations and authorizations under 5 C.F.R. § 2635.502(d) must be issued prospectively in order to be valid.
03/19/2010
10x1: Uncompensated Teaching, Writing, and Speaking
OGE clarifies its views on the application of 5 C.F.R. § 2635.702 and 5 C.F.R. § 2635.807 pertaining to uncompensated teaching, writing, and speaking.
02/22/2010
DO-10-004: FAQs on Post-Employment under the Ethics Pledge
Paragraphs 4 (post-employment cooling-off period) and 5 (post-employment lobbying ban) of the Ethics Pledge, Executive Order 13490, impose significant new post-employment restrictions on non-career appointees.
02/18/2010
DO-10-003: Attendance by Staff Accompanying Official Speakers
Attendance by particular personnel whose presence is truly essential to the performance of the Executive Branch speaker's official duties at a specific event does not violate either OGE’s long-standing gift rules or the Executive Order 13490 lobbyist gift ban.
01/28/2010
DO-10-002: Federal Travel Benefits and 18 U.S.C. § 208
This memorandum highlights 5 C.F.R. § 2640.203(d), which authorizes an employee to participate in official travel matters, with certain limits, notwithstanding the financial interest that may arise from an agency's provision of travel benefits and cost reimbursement to the employee.
2009
12/10/2009
DO-09-032: A Reminder about Holiday Gifts and Fundraising
OGE updates a poem that reminds executive branch employees, in an entertaining way, about the ethics rules on solicitation and acceptance of gifts.
11/10/2009
DO-09-030: The Kennedy Center for the Performing Arts
Executive Branch employees may accept offers of free attendance at events from the Kennedy Center, consistent with the gift rules in the Standards of Ethical Conduct. This determination is limited to the Kennedy Center and should not be read as extending to all congressionally-established entities.
10/23/2009
DO-09-029: 2008 Conflict of Interest Prosecution Survey
2008 Conflict of Interest Prosecution Survey
05/26/2009
DO-09-020: Speeches and Paragraph 2 of the Ethics Pledge; Intergovernmental Personnel Act Detailees
OGE addresses questions about how to apply Paragraph 2 of the Ethics Pledge in Executive Order 13490 to an appointee who gives an official speech at an event sponsored by a former employer or client. OGE also addresses the question of whether the Pledge applies to detailees under the IPA.
04/28/2009
DO-09-014: Holdover Appointees and the Ethics Pledge
Appointees from the prior Administration must sign the Ethics Pledge once the 100-day grace period expires.
03/26/2009
DO-09-011: Revolving Door Ban of the Ethics Pledge (Ban on All Appointees Entering Government)
OGE provides an explanation of the phrases that comprise paragraph 2 of the Ethics Pledge and discusses how paragraph 2 interacts with existing impartiality regulations.
02/26/2009
DO-09-010: Who Must Sign the Ethics Pledge?
OGE identifies the categories of officials who must sign the Ethics Pledge required by Executive Order 13490 and those who are not required to sign.
02/23/2009
DO-09-008: Authorizations Pursuant to Section 3 of Executive Order 13490, Ethics Commitments by Executive Branch Personnel
OGE provides guidance to Designated Agency Ethics Officials on the exercise of waiver authority under Section 3 of Executive Order 13490.
02/11/2009
DO-09-007: Lobbyist Gift Ban Guidance
OGE provides guidance on the implementation and interpretation of the lobbyist gift ban in paragraph 1 of the Ethics Pledge in Executive Order 13490.
02/10/2009
DO-09-005: Signing the Ethics Pledge
OGE describes when various appointees must sign the Ethics Pledge in Executive Order 13490.
01/22/2009
DO-09-003: Executive Order 13490, Ethics Pledge
OGE provides an overview of President Obama's Executive Order 13490, "Ethics Commitments by Executive Branch Personnel."
01/15/2009
DO-09-001: Presidential Inaugural Events
OGE reminds agencies of the ethical requirements pertaining to offers of free attendance from various sources to Federal employees to attend Inauguration-related events, including the Inaugural Parade, Inaugural Balls, receptions, dinners and fundraisers.
2008
12/16/2008
DO-08-040: Conducting a Second Review of Financial Disclosure Reports for Current Employees Filling Newly-Vacant Positions
When a current employee assumes new responsibilities, even on a temporary basis, ethics officials need to reexamine the employee's financial disclosure report to determine whether potential conflicts of interest may exist with the employee's new duties.
12/08/2008
DO-08-039: A Reminder about Holiday Gifts and Fundraising
OGE provides a brief reminder about the ethics rules regarding holiday gifts and fundraising.
11/06/2008
DO-08-037: Recent Legislative Activity Affecting the Executive Branch Program
Recent legislation affecting the executive branch ethics program includes a loan repayment assistance plan, legislation on conflicts of interest for certain contractor employees, and a revision to the base pay of certain senior officials.
11/06/2008
DO-08-036: 2007 Conflict of Interest Prosecution Survey
2007 Conflict of Interest Prosecution Survey
08/27/2008
DO-08-026: Tips for Public Financial Disclosure Termination
OGE provides tips to ethics officials to facilitate the timely review and certification of the public financial disclosure termination reports (SF 278s) that PAS officials must file.
08/26/2008
DO-08-025: New GAO Report; Documenting Ethics Advice
OGE strongly encourages agency ethics officials to document ethics advice provided to current and former employees. Additionally, ethics officials should establish close working relationships with their respective Inspector General offices.
08/06/2008
DO-08-024: Discretionary Trusts
OGE provides guidance concerning the treatment of income beneficiaries of discretionary trusts, for purposes of the disqualification requirements of 18 U.S.C. § 208 as well as the financial disclosure requirements of section 102(f)(1) of the Ethics in Government Act, 5 U.S.C. app. [The guidance in this advisory was updated in 2013 by
Legal Advisory LA-13-04.]
07/22/2008
DO-08-022: Financial Disclosure Requirements for Pooled Investment Funds
OGE explains what actions a nominee for a full-time Senate-confirmed position (PAS nominee) must take with regard to pooled investment funds in order for the Director of OGE to certify the individual’s financial disclosure report. [The guidance in this advisory was updated in 2014 by
Legal Advisory LA-14-05.]
06/30/2008
DO-08-021: New Policy Regarding Termination Public Financial Disclosure Reports of PAS Officials
Anticipating an increase in the number of termination 278 reports as the Bush Administration ends, OGE requires agencies to notify it of a PAS official’s termination date.
06/25/2008
DO-08-020: Final Post-Employment Rule
OGE issues the final post-government employment rule, to be codified in 5 C.F.R. Part 2641.
04/30/2008
DO-08-019: Review of Financial Disclosure Processes and Procedures
OGE announces it will conduct a review to evaluate agencies’ processes and procedures for collecting, reviewing, and certifying financial disclosure reports, including those filed by nominees for Presidentially-appointed, Senate-confirmed (PAS) positions.
03/28/2008
08x7: Guidance Concerning the Application of 18 U.S.C. § 207(a) and 18 U.S.C. § 207(c)
OGE provides guidance on the application of the post-government employment restrictions at 18 U.S.C. § 207(a) and 18 U.S.C. § 207(c).
03/27/2008
08x6: When Two Particular Matters Involving Specific Parties Should be Viewed as Separate Matters
Guidance on when two matters are separate, for purposes of 18 U.S.C. § 207(a); reconsiders conclusion previously reached in "OGE Informal Advisory Letter 99 x 14(2)".
03/26/2008
08x4: Statutory Exception for Representation of Candidates and Specified Political Entities by Former Senior and Very Senior Employees
18 U.S.C. § 207(j)(7) provides an exception to the one-year no-contact ban for former senior employees and the two-year no-contact ban for very senior employees. These categories of employees do not violate the statute if a communication or appearance is on behalf of a candidate or one of the specified political entities.
03/26/2008
08x5: Application of Multiple Presentations Exception to Courses Offered by Non-Appropriated Fund Instrumentalities (NAFIs)
An employee may accept compensation for teaching a course offered by a NAFI because the term "sponsored and funded by the Federal Government" in this exception encompasses courses of instruction offered and funded by NAFIs.
03/26/2008
DO-08-012: Application of Multiple Presentations Exception to Courses Offered by Non-Appropriated Fund Instrumentalities (NAFIs)
An employee may accept compensation for teaching a course offered by a NAFI because the term "sponsored and funded by the Federal Government" in this exception encompasses courses of instruction offered and funded by NAFIs.
03/26/2008
DO-08-011: Statutory Exception for Representation of Candidates and Specified Political Entities by Former Senior and Very Senior Employees
18 U.S.C. § 207(j)(7) provides an exception to the one-year no-contact ban for former senior employees and the two-year no-contact ban for very senior employees. These categories of employees do not violate the statute if a communication or appearance is on behalf of a candidate or one of the specified political entities.
03/25/2008
DO-08-010: Increased Gifts and Travel Reimbursements Reporting Thresholds (Financial Disclosure and Nonsponsor Widely Attended Gatherings Gift Exception)
OGE issues final rule amendments that revise the financial disclosure regulations to reflect the statutory increase of the thresholds for reporting of gifts, reimbursements and travel expenses. OGE also increases the widely attended gathering gift exception ceiling for nonsponsor gifts of free attendance.
03/12/2008
DO-08-007: Government Accountability Office Report on Contractor Employee Conflicts of Interest
OGE notifies the ethics community of the March 2008 Government Accountability Office report on contractor employee conflicts of interest.
03/06/2008
08x3: Book Deals Involving Government Employees
OGE provides a comprehensive discussion of the laws pertaining to book deals involving Government employees. The rules for regular and special Government employees are covered in one document, and the rules for noncareer employees and Presidential appointees are addressed in a second document.
03/06/2008
DO-08-006: Book Deals Involving Government Employees
OGE provides a comprehensive discussion of the laws pertaining to book deals involving Government employees. The rules for regular and special Government employees are covered in one document, and the rules for noncareer employees and Presidential appointees are addressed in a second document.
02/26/2008
08x2: Political Appointees and Book Deals
OGE summarizes the restrictions on a political appointee who was interested in writing a book not related to his official duties.
01/30/2008
DO-08-003: Disposition of Ethics Program Records Subject to the National Archives and Records Administration's General Records Schedule 25
The provisions of NARA’s rule and the GRS 20 revisions that generally allow the destruction of original paper documents will not apply to public and confidential financial disclosure reports and related ethics agreements. These original documents must be maintained in accordance with the full time periods specified in GRS 25.
01/30/2008
08x1: Response to Motion Picture Association of America Request for Clarification of Exceptions to the Gift Rules under the Standards of Conduct
The Motion Picture Association of America receives a response related to the Widely Attended Gathering exception to the gift rules and a clarification of "prohibited source" at 5 C.F.R. § 2635.204(h) of the Standards of Conduct for Employees of the Executive Branch.
01/25/2008
DO-08-002: Seeking Additional Information from Nominee Filers
Reviewers should seek additional information to clarify the inadequate entries on a financial disclosure report submitted by a Presidential appointee whose position requires Senate confirmation.
2007
12/13/2007
07x15: Elements of Basic Pay for Purposes of Senior Employee Determinations
Locality pay is excluded from an employee's rate of basic pay for purposes of determining whether an employee is a senior employee under the criminal post-employment statute 18 U.S.C. § 207(c).
12/05/2007
DO-07-047: Widely Attended Gatherings
This comprehensive memorandum provides guidance on what types of events are covered by the widely attended gathering exception to the gift prohibitions in the Standards of Conduct.
12/05/2007
07x14: Widely Attended Gatherings
This comprehensive memorandum provides guidance on what types of events are covered by the widely attended gathering exception to the gift prohibitions in the Standards of Conduct.
09/25/2007
DO-07-035: Suggested Format for Requesting a Certificate of Divestiture
OGE has prepared a format for ethics officials to use in requesting Certificates of Divestiture for their employees. Use of the format is optional.
08/27/2007
DO-07-030: 2006 Conflict of Interest Prosecution Survey
2006 Conflict of Interest Prosecution Survey
08/20/2007
07x13: Determining the Public Financial Disclosure Requirements for Non-Standard Pay Systems
Agencies with alternative pay systems should continue to designate executive-level employees as public filers if the lowest pay for their grade or range is equal to or greater than 120 percent of the minimum rate of basic pay payable for a GS-15. Seeking an equal classification is an option for other employees.
08/20/2007
DO-07-029: Determining the Public Financial Disclosure Requirements for Non-Standard Pay Systems
Agencies with alternative pay systems should continue to designate executive-level employees as public filers if the lowest pay for their grade or range is equal to or greater than 120 percent of the minimum rate of basic pay payable for a GS-15. Seeking an equal classification is an option for other employees.
08/14/2007
DO-07-026: Summary of the Provisions of the "Honest Leadership and Open Government Act" (S.1) that Affect the Executive Branch Ethics Program
The bill extends the cooling off period for very senior executive branch employees from one year to two and adds a criminal penalty for knowing and willful falsification or failure to report required information on a financial disclosure form.
08/06/2007
DO-07-024: Opinion of Office of Legal Counsel on the Emoluments Clause and Service Advisory Boards
Where members of an advisory board are given access to classified information solely to help them perform their advisory function, this access alone does not constitute a delegation of Governmental, sovereign authority that would result in their advisory board service falling under the restrictions of the Emoluments Clause.
08/03/2007
07x12: Training Services and the Intent to Influence under 18 U.S.C. § 207(c)
OGE discusses whether communication and appearances made during the performance of a training contract by a former senior official subject to 18 U.S.C. § 207(c) may involve the intent to influence on behalf of the contractor.
08/01/2007
DO-07-023: Misuse of Federal Position to Help Another Person Get a Job
This memorandum outlines several factors that an executive branch employee should consider in deciding when it is appropriate to assist an associate, either another Government employee or a private party, in efforts to obtain private sector employment.
08/01/2007
07x11: Misuse of Federal Position to Help Another Person Get a Job
This memorandum outlines several factors that an executive branch employee should consider in deciding when it is appropriate to assist an associate, either another Government employee or a private party, in efforts to obtain private sector employment.
07/31/2007
07x10: Component Designations
OGE responds to whether certain positions in an executive branch agency may rely on component designations for purposes of the post-government employment "cooling off" period at 18 U.S.C. § 207.
07/19/2007
DO-07-022: Presidential Recess Appointees — Modification of OGE Process
OGE will perform the final review and certification of recess appointees’ annual and termination public financial disclosure reports and will also track compliance with recess appointees’ ethics agreements.
07/12/2007
DO-07-019: Expert Witness Outline
OGE prepares an outline of cases and issues pertaining to expert witnesses and the relevant ethical restrictions.
06/28/2007
07x8: Executive Branch Employee Acceptance of Reimbursement of Travel Expenses and Training from an Outside Source
OGE provides general guidance on acceptance of reimbursement of travel expenses and training by executive branch employees provided by a non-profit speakers bureau.
06/28/2007
07x9: Do Ethics Laws and Regulations Apply to Personal Service Contractors?
OGE provides a general overview of the issues related to determining whether a personal service contractor is an executive branch employee subject to the Standards of Conduct.
05/17/2007
DO-07-015: Immigration Support Letters and 18 U.S.C. § 205
Generally, a Federal employee who writes an immigration support letter and submits the letter to an arm of the Federal Government would not normally be ""act[ing]as agent or attorney"" for another within the meaning of 18 U.S.C. § 205.
05/17/2007
07x7: Immigration Support Letters and 18 U.S.C. § 205
Generally, a Federal employee who writes an immigration support letter and submits the letter to an arm of the Federal Government would not normally be ""act[ing]as agent or attorney"" for another within the meaning of 18 U.S.C. § 205.
05/16/2007
DO-07-014: Guidance on Electronic Filing of Public and Confidential Financial Disclosure Reports
Although each agency may undertake the development of its own electronic filing process to use with either the public (SF 278) or confidential (OGE Form 450) reporting system, each agency must follow some basic guidelines.
05/04/2007
DO-07-013: Agency Supplemental Regulations
OGE requests that agencies review their supplemental regulations to determine if any new or additional restrictions on prohibited holdings need to be added.
03/09/2007
07x6: Acceptance of Cash Award from Program Administered by Non-Federal Entity
OGE provides guidance on whether receipt of cash awards by Government employees under an awards program administered by a non-federal entity is permissible under the gift rules.
02/28/2007
DO-07-007: Clarification of Scope of Exception and Exclusion to Public Financial Disclosure Reporting Requirements
Travel reimbursements that are required to be reported to the Federal Election Commission (FEC) because they are for a Federal campaign or election are not required to be reported on public and confidential financial disclosure reports.
02/28/2007
07x5: Clarification of Scope of Exception and Exclusion to Public Financial Disclosure Reporting Requirements
Travel reimbursements that are required to be reported to the Federal Election Commission (FEC) because they are for a Federal campaign or election are not required to be reported on public and confidential financial disclosure reports.
02/23/2007
07x4: Waivers under 18 U.S.C. §§ 208(b)(1) and (b)(3)
This memorandum provides guidance on issues that Designated Agency Ethics Officials should consider when deciding whether to grant a waiver under 18 U.S.C. §§ 208(b)(1) or (b)(3).
02/23/2007
DO-07-006: Waivers under 18 U.S.C. §§ 208(b)(1) and (b)(3)
This memorandum provides guidance on issues that Designated Agency Ethics Officials should consider when deciding whether to grant a waiver under 18 U.S.C. §§ 208(b)(1) or (b)(3).
02/22/2007
DO-07-005: Opinion of Office of Legal Counsel on SGE Day-Counting
The Office of Legal Counsel, Department of Justice, issued an opinion reaffirming the longstanding executive branch interpretation that service by a special Government employee for part of any day counts as service for a full day, for purposes of relevant limits on the number of days of service under the conflict of interest laws.
02/22/2007
07x3: Opinion of Office of Legal Counsel on SGE Day-Counting
The Office of Legal Counsel, Department of Justice, issued an opinion reaffirming the longstanding executive branch interpretation that service by a special Government employee for part of any day counts as service for a full day, for purposes of relevant limits on the number of days of service under the conflict of interest laws.
02/09/2007
DO-07-003: Valuation of Gifts of Admission to an Event in a Skybox or Private Suite
The value of a gift of attendance in a skybox or private suite is determined by adding the market value of the most expensive publicly available ticket to the event to the market value of the food, parking and other tangible benefits provided in connection with the gift of attendance.
02/09/2007
07x2: Valuation of Gifts of Admission to an Event in a Skybox or Private Suite
The value of a gift of attendance in a skybox or private suite is determined by adding the market value of the most expensive publicly available ticket to the event to the market value of the food, parking and other tangible benefits provided in connection with the gift of attendance.
01/19/2007
DO-07-002: Counting Days of Service for Special Government Employees
OGE clarifies the conditions under which an agency need not count a day of service solely on the basis of certain activities by special Government employees.
01/19/2007
07x1: Counting Days of Service for Special Government Employees
OGE clarifies the conditions under which an agency need not count a day of service solely on the basis of certain activities by special Government employees.
2006
12/22/2006
06x13: Outside Activities Related to Official Duties
OGE provides general guidance on ethics provisions related to outside activities for a federal employee who owns a personal business in an area related to his official duties.
12/15/2006
06x12: Filing an Amicus Curiae Brief on Behalf of Affiliate of Labor Organization
Government employees are generally prohibited from acting as agent or attorney for anyone before a Federal court in connection with any covered matter in which the U.S. is a party or has a direct and substantial interest. 18 U.S.C. § 205(i) provides an exception for representing a "labor organization" under certain conditions.
12/12/2006
06x11: Benefits Secured by Government Contract and Gift Prohibition
If an employing agency determines that a private corporation's Employee Purchase Program is a benefit secured by a Government contract, the benefit is provided to the employee by the Government. Accepting the benefit does not the gift prohibition. The employing agency must determine whether the benefit is secured by a Government contract.
12/12/2006
DO-06-036: Revised Confidential Financial Disclosure Regulation and OGE Form 450
OGE summarizes the changes to the confidential financial disclosure regulation. The new regulation will go into effect on January 1, 2007.
12/05/2006
DO-06-035: A Reminder about Holiday Gifts and Fundraising
OGE provides a brief reminder about the ethics rules regarding holiday gifts and fundraising.
11/07/2006
DO-06-034: Amended Memorandum on Provisions Regarding Soliciting Gifts of Travel
This memorandum amends DO-06-008 to correct citation errors and to discuss only the issue of soliciting gifts of travel.
10/19/2006
DO-06-031: Intergovernmental Personnel Act (IPA) Summary
OGE outlines the ethics issues that can arise in connection with IPA assignments.
10/19/2006
06x10: Intergovernmental Personnel Act (IPA) Summary
OGE outlines the ethics issues that can arise in connection with IPA assignments.
10/11/2006
DO-06-030: Procedures for Requesting a Certificate of Divestiture
OGE outlines the information that an agency must include in a request for a certificate of divestiture.
10/04/2006
06x9: "Particular Matter Involving Specific Parties," "Particular Matter," and "Matter"
OGE discusses the meaning of and the distinctions among the terms "particular matter involving specific parties," "particular matter," and "matter" as used in the criminal conflict of interest statutes and regulations.
10/04/2006
DO-06-029: "Particular Matter Involving Specific Parties," "Particular Matter," and "Matter"
OGE discusses the meaning of and the distinctions among the terms "particular matter involving specific parties," "particular matter," and "matter" as used in the criminal conflict of interest statutes and regulations.
08/23/2006
06x8: Particular Matters for Purposes of 18 U.S.C. § 208
Preliminary, informal discussions about possible changes to industry-specific standards are particular matters for purposes of 18 U.S.C. § 208.
08/10/2006
DO-06-024: Publication of Final Rule to Clarify the Status of IPA Detailees
The final rule clarifies that detailees to an agency from a State or local government or other organization, under the Intergovernmental Personnel Act (IPA), 5 U.S.C. § 3374, are covered by the Standards.
08/09/2006
DO-06-023: Ethics and Working with Contractors — Questions and Answers
Guidance on variety of ethics issues that commonly arise in procurement context, such as seeking employment, post-employment, financial conflicts of interest, outside employment, gifts and misuse of office.
08/09/2006
06x7: Ethics and Working with Contractors — Questions and Answers
Guidance on variety of ethics issues that commonly arise in procurement context, such as seeking employment, post-employment, financial conflicts of interest, outside employment, gifts and misuse of office.
07/26/2006
DO-06-022: 2005 Conflict of Interest Prosecution Survey
2005 Conflict of Interest Prosecution Survey
06/14/2006
06x6: Supervisor's Use of Subordinate to Complete Financial Disclosure Report
OGE believes a Government employee should be allowed to use reasonable periods of official time to complete a financial disclosure report because completion of the report is a requirement of the Government position. For the same reason, assigning a subordinate to complete the report is not an improper use of Government position or resources.
05/11/2006
DO-06-015: Publication of Proposed Rule to Clarify the Status of IPA Detailees
The proposed rule would clarify that detailees to an agency from a State or local government or other organization, under the Intergovernmental Personnel Act (IPA), 5 U.S.C. § 3374, are covered by the Standards.
05/09/2006
DO-06-014: Court of Appeals Upholds OGE Rule on Teaching, Speaking, and Writing
The Federal 10th Circuit upholds the validity of 5 C.F.R. § 2635.807(a) against a first amendment challenge by an administrative law judge (ALJ) of the Social Security Administration (SSA).
04/07/2006
DO-06-011: Scope of Public Financial Disclosure Reporting Exception for Compensation from an Individual with Whom the Filer is in a Privileged Relationship
The exception to the requirement that nominees and new entrants report the names of their major clients on Schedule D, Part II of the SF 278 applies in a narrow set of circumstances.
03/31/2006
DO-06-008: Reminder on the Rules Regarding Gifts of Travel
OGE addresses questions that have been raised about the propriety of executive branch employees soliciting free air travel. [Note: The guidance in this memorandum was amended by
>DAEOgram DO-06-034.]
03/30/2006
06x4: Responsibility of Agency Ethics Officials to Report Ethics Violations
OGE explains that Agency Ethics Officials have a duty to report possible violations of the ethics rules to the appropriate authorities, including OGE, and do not have a duty to protect employee; lack of knowledge of the ethics rules is not a defense; and an employee is responsible for remembering his ethical obligations or seeking ethics advice.
03/30/2006
06x5: Denial of Request for Ad Hoc Exemption from One-Year Cooling-Off Period in 18 U.S.C. § 207(c)
OGE discusses the extent of its authority to waive the application of the one-year cooling-off period to a particular position or category of positions. OGE denied the request for a waiver to permit former senior employees to make representational contacts with current employees of their former agencies who happen to be on detail to another agency.
03/21/2006
06x3: Employee Acceptance of Testamentary Gift from Prohibited Source
An employee may only accept the testamentary gifts from a prohibited source if the gift falls within one of the gift acceptance exceptions. Included are factors to consider if relying on the personal relationship exception.
03/17/2006
DO-06-007: Proposed New OGE Form 450 Confidential Financial Disclosure Report
OGE has published a first-round paperwork notice requesting comments on a new proposed OGE Form 450, Executive Branch Confidential Financial Disclosure Report form.
03/13/2006
06x2: Advice to Former Employee on 18 U.S.C. § 207 and Procurement Integrity Act
OGE provides advice to a former employee on 18 U.S.C. § 207, including guidance on a "particular matter involving specific parties," and the post-employment restrictions under the Procurement Integrity Act in 41 U.S.C. § 423.
02/17/2006
DO-06-004: Review and Clearance of Nominee Forms
OGE will continue the system of “pre-clearing” nominee financial disclosure forms. The goal of this system is to ensure that all technical and substantive issues are resolved prior to nomination, so that no impediments to confirmation arise at the last minute.
01/19/2006
DO-06-002: Office of Legal Counsel Opinion on 18 U.S.C. § 208
OGE summarizes Office of Legal Counsel Opinion about whether a nonprofit organization has a financial interest in a particular matter on which it spends funds to advocate its policy position, solely by virtue of such expenditures. [Note: This DAEOgram modified OGE Informal Advisory Letter 97 x 2.]
01/19/2006
06x1: Office of Legal Counsel Opinion on 18 U.S.C. § 208
OGE summarizes Office of Legal Counsel Opinion about whether a nonprofit organization has a financial interest in a particular matter on which it spends funds to advocate its policy position, solely by virtue of such expenditures. [Note: This informal advisory letter modified OGE Informal Advisory Letter 97 x 2.]
2005
12/21/2005
05x8: Employees' Participation in Paid Surveys
18 U.S.C. § 209 does not bar most employees from being paid for participating during non-duty hours in a survey related to insurance offered to federal employees. However, employees must comply with their agency supplemental regulation regarding outside activities because being paid for the survey participation is considered part-time employment.
11/17/2005
DO-05-019: Documenting Ethics Advice
OGE sets out basic factors that agency ethics officials should consider in making a determination about whether verbal ethics advice should be documented, and what such documentation should include.
11/01/2005
05x7: Issues Pertaining to Covered Noncareer Employee
Provides guidance on various restrictions on covered noncareer employee pursuant to Title V of Ethics in Government Act and 5 C.F.R. part 2636; also guidance with respect to determining status as special government employee
09/19/2005
05x6: Discussion of Certain Post-Government Employment Restrictions
OGE provides guidance for determining when a particular matter involving specific parties comes into existence for purposes of the post-government employment restrictions at 18 U.S.C. § 207(a) in situations involving multi-year, multi-phase, multi-contract Government procurement programs. Usually, specific parties are first identified when initial proposals or indications of interest are received by the Government.
09/07/2005
DO-05-014: 2004 Conflict of Interest Prosecution Survey
2004 Conflict of Interest Prosecution Survey
08/26/2005
05x5: Exclusion of Contest Prizes from Gift Definition
Employee was prohibited from keeping a prize won at a national association conference because all attendees paid to attend the conference and thus the random drawing was not "open to the public" as used in the gift exclusion at 5 C.F.R. § 2635.203(b)(5).
08/18/2005
05x4: Federal Advisory Committee Appointments
OGE provides guidance to ethics officials about distinguishing between special Government employees and representatives serving on Federal advisory committees.
08/18/2005
DO-05-012: Federal Advisory Committee Appointments
OGE provides guidance to ethics officials about distinguishing between special Government employees and representatives serving on Federal advisory committees.
06/08/2005
05x3: Post-Government Employment Restrictions Applied to a Former Senior Employee Now Employed by a Government Contractor
OGE discusses applicability of 18 U.S.C. § 207 to a former senior employee. OGE discusses 18 U.S.C. § 207(c), "intent to influence," and the special knowledge exception in 18 U.S.C. § 207(j)(4).
04/18/2005
05x2(2): Definitions of Covered Noncareer Employee
OGE discusses definitions of "covered noncareer employee" under 5 C.F.R. § 2636.303(a)(4) and 5 C.F.R. § 2636.303(a)(3), as well as Schedule C appointment criteria.
03/17/2005
DO-05-007: Increased Gifts and Travel Reimbursements Reporting Thresholds for Financial Disclosure Reports
OGE issues final rule amendments (March 2005) that revise the financial disclosure regulations to reflect the statutory increase of the thresholds for reporting of gifts, reimbursements and travel expenses.
02/10/2005
05x1: 18 U.S.C. § 208 and Development of Policy Options
The proposed work of a Government panel addressing policy options for tax reform does not constitute a particular matter for purposes of 18 U.S.C. § 208.
02/10/2005
05x2(1): Applicability of 18 U.S.C. § 205 to Employee's Filing of Registration Statement for Outside Organization
An employee who serves as an unpaid board director/trustee for an outside organization did not provide representational services under 18 U.S.C. § 205 by signing a registration statement on behalf of the organization.
2004
11/16/2004
04x16: Disclosure of Assets of a Spouse and Dependents
OGE discussed the justification and requirements for financial disclosure of assets of a spouse or dependent and reviewed the three-pronged test for non-disclosure of an interest in property held by a spouse or dependent child.
10/05/2004
04x15: Office of Legal Counsel Opinion on 18 U.S.C. § 207(f)
The Office of Legal Counsel issues an opinion concluding that section 207(f) covers representational contacts with Members of Congress.
10/05/2004
DO-04-031: Office of Legal Counsel Opinion on 18 U.S.C. § 207(f)
The Office of Legal Counsel issues an opinion concluding that section 207(f) covers representational contacts with Members of Congress.
09/21/2004
04x14: Justification for Certificates of Divestiture
OGE’s director must determine that divestiture of an asset is “reasonably necessary” to comply with federal conflict of interest rules or is at the request of a Congressional committee as a condition of confirmation. The Director may not grant a Certificate of Divestiture merely because divestiture of some property may create cost, tax, or diversification issue.
09/20/2004
04x13: Detailed Summary of Seeking Employment
OGE provides a detailed summary of the provisions governing seeking employment in Subpart F of 5 CFR Part 2635 (implementing 18 U.S.C. § 208 and the broader restriction imposed by section 101(j) of Executive Order 12674).
09/20/2004
DO-04-029: Seeking Employment
This memorandum summarizes the ethical requirements apply to employees before they leave Government and while they are still seeking future employment.
09/09/2004
04x12: Elements of 18 U.S.C. § 205(a)(2)
OGE offered guidance about 18 U.S.C. § 205(a)(2) to assist a DC Assistant General Counsel with the interpretation of 18 U.S.C. § 205(b)(2). 18 U.S.C. § 205(a)(2) requires that an employee’s activity be representational, before a specified entity, and in relation to a covered matter in which the U.S. is a party or has a direct and substantial interest.
07/29/2004
04x11: Summary of 18 U.S.C. § 207
OGE issues a summary of 18 U.S.C. § 207 that reflects the amendments to the statute made by the E-Government Act of 2002 and the National Defense Authorization Act for Fiscal Year 2004.
07/29/2004
DO-04-023: Summary of 18 U.S.C. § 207
This is OGE's 2004 summary of 18 U.S.C. § 207 that reflects the amendments to the statute made by the E-Government Act of 2002 and the National Defense Authorization Act for Fiscal Year 2004.
07/20/2004
04x10: Definition of "Covered Noncareer Employee"
OGE determined that the Executive Director of an agency was not a "covered noncareer employee" as defined in 5 C.F.R. § 2636.303(a). The Executive Director position was not a policy-making position nor did it involve a close and confidential working relationship with key appointed officials within the meaning of 5 C.F.R. § 213.3301.
07/19/2004
04x9: SGEs and Representatives on Federal Advisory Committees
OGE discusses the role of agency ethics officials in relation to the designation of advisory committee members as special Government employees (SGEs) or representatives. Many procedures would establish a close working relationship between the two groups to ensure that appropriate member status designations are being made and that SGEs are receiving guidance about ethics laws.
07/19/2004
DO-04-022: SGEs and Representatives on Federal Advisory Committees
OGE discusses the role of agency ethics officials in relation to the designation of advisory committee members as SGEs or representatives. Many procedures would establish a close working relationship between the two groups to ensure that appropriate member status designations are being made and that SGEs are receiving guidance about ethics laws.
07/07/2004
04x8: Train Ridership Program for Law Enforcement Personnel
Personnel participating in the Maryland Department of Transportation “Sworn Officer Program,” which offered free commuter service to certain law enforcement personnel in exchange for security-related services, must comply with any prior approval requirements for outside activities. The free transportation is not considered a gift subject to 5 C.F.R. part 2635.
07/07/2004
DO-04-020: Train Ridership Program for Law Enforcement Personnel
Personnel participating in the Maryland Department of Transportation “Sworn Officer Program,” which offered free commuter service to certain law enforcement personnel in exchange for security-related services, must comply with any prior approval requirements for outside activities. The free transportation is not considered a gift subject to 5 C.F.R. part 2635.
07/06/2004
04x7: Gift Exception Inapplicable to “Pro Sales” Discount Offer
Government employees who use outdoor clothing and gear in the course of their Federal employment may not accept retail discounts from merchants of such clothing and gear. The gift would not have been offered but for the duties associated with the employee’s particular position, thus the offer fell within the general gift prohibits of 5 C.F.R. § 2635.202.
07/06/2004
DO-04-019: 2003 Conflict of Interest Prosecution Survey
2003 Conflict of Interest Prosecution Survey
06/24/2004
04x6: Ethics Laws and Regulations Apply to Government Employees During Furlough Periods
Because they continue to meet the definition of “employee” in 5 C.F.R. § 2635.102(h), furloughed employees must comply with OGE and agency-specific rules pertaining to outside employment and activities (18 U.S.C. § 203 & 205), and refrain from representing others before the Federal government or supplementing their salary (18 U.S.C. § 207).
06/01/2004
04x5: 18 U.S.C. § 208 Recusal Obligations and Screening Arrangements
Recusals are required when an employee is 1) prohibited from participating personally and substantially in a matter by 18 U.S.C. § 208; 2) chooses or is directed not to participate in a matter involving specific parties under 5 C.F.R. § 2635.502; or 3) receives an extraordinary payment from a former employer under 5 C.F.R. § 2635.503. [The guidance in this advisory was updated in 2014 by
Legal Advisory LA-14-06.]
06/01/2004
DO-04-012: Effective Screening Arrangements for Recusal Obligations
This memorandum reiterates some of the relevant principles set forth in DO-99-018, and identifies some screening arrangement guidelines that agencies should consider. A model screening arrangement is attached. [The guidance in this advisory was updated in 2014 by
Legal Advisory LA-14-06.]
05/27/2004
04x4: Awards and Outside Consulting Activities
OGE addressed whether and under what circumstances the head of an agency component may accept an award from a source doing business anywhere in the agency. OGE also discussed lecture awards and when an outside consulting arrangement is consistent with ethical requirements in 5 C.F.R. § 2635.702.
05/27/2004
DO-04-011: Awards and Outside Consulting Activities
OGE addressed whether and under what circumstances the head of an agency component may accept an award from a source doing business anywhere in the agency. OGE also discussed lecture awards and when an outside consulting arrangement is consistent with ethical requirements in 5 C.F.R. § 2635.702.
04/19/2004
04x3: Public Financial Disclosure and Outside Activities
OGE indicated it would not approve a proposed supplemental regulation that conditioned the permissibility of an outside activity upon the public disclosure of the activity or of any income earned from the activity.
02/25/2004
04x2: Disclosure of TIAA-CREF Retirement Plans and Mutual Funds
Financial Disclosure report filers must list all the underlying mutual funds they hold in their retirement plans. Therefore, filers must fully disclose the fund names of all TIAA-CREF funds in which they have invested. All TIAA-CREF funds currently meet the 5 CFR 2634 definition of Excepted Investment Fund.
01/07/2004
04x1: Gifts of Meals from a Prospective Government Contractor
The Standards of Conduct contain no regulatory exception that would permit a senior procurement official and his spouse to accept a meal from a company for the purpose of discussing the company’s future business opportunities with the official’s department. He may accept a meal that has a value of $20 or less ($50 per year per source).
2003
12/09/2003
03x10: 18 U.S.C. § 207 and Same Particular Matter
18 U.S.C. § 207(a)(1) does not bar a communication or appearance concerning a contract if it has substantially changed. For example, a contract may no longer be the same contract if there are different terms, there is different confidential information involved, and a significant period of time has passed.
11/26/2003
03x9: 18 U.S.C. § 207(c) and Communications to Employees of Former Agency
18 U.S.C. § 207(c) bars a communication to or appearance before an employee of the former senior employee’s agency (or an employee detailed to that agency), regardless of the forum. An employee is not necessarily insulated from an attempt to influence merely because the employee is characterized as an observer.
11/20/2003
03x7: 60-Day Thresholds for SGEs
A special Government employee (SGE) is always prohibited from representing others in connection with particular matters involving specific parties in which the SGE has participated personally and substantially. The 60-day standard is a threshold for the stricter prohibition in relation to matters pending at the SGE’s agency.
11/20/2003
03x8: 18 U.S.C. § 207 and Activities on Behalf of Any Other Person
18 U.S.C. § 207 does not cover an individual who interacts with the Government solely on his own behalf, but it may affect an individual who has formed a corporation or partnership if the individual represents the corporation or partnership.
10/31/2003
DO-03-022: 2002 Conflict of Interest Prosecution Survey
2002 Conflict of Interest Prosecution Survey
10/23/2003
DO-03-021: Financial Disclosure Reporting Requirements for Special Government Employees (SGEs)
This memorandum explains the financial disclosure filing criteria for SGEs and uses scenarios to further illustrate how the criteria should be implemented.
09/16/2003
DO-03-016: 2002 Edition of the OGE Form 201 (Request to Inspect or Receive Copies of SF 278 or Other Covered Records)
OGE issues a revised OGE Form 201. This memorandum summarizes the changes to the form.
08/28/2003
03x6: 18 U.S.C. § 207 and Intent to Influence
Performance of a support services contract could involve the intent to influence for purposes of 18 U.S.C. § 207(a)(1). The restriction can be violated by an employee’s mere appearance without speaking.
08/25/2003
DO-03-015: Unmodified SF 278 Executive Branch Personnel Public Financial Disclosure Report
OGE updated the OGE/GOVT-1 system of records (covering SF 278 Public Financial Disclosure Reports and other name-retrieved ethics program records) to include three new routine uses of the SF 278 (August 2003). OGE also notified agencies of adjustments to the gifts/travel reimbursements reporting thresholds.
08/04/2003
03x5: Appointment to Advisory Committee as “Representative” versus SGE
A special Government employee (SGE) serving on an advisory committee is subject to many of the Federal ethics laws and regulations, but a “representative” member of a committee is not. Some provisions apply differently to SGEs than to “regular” employees or do not apply at all.
06/30/2003
03x4: Inherently Governmental and Commercial Ethics Official Activities
This memorandum briefly summarizes some significant features of the revised OMB Circular A-76; explains that DAEO and Alternate DAEO functions are inherently Governmental and must be performed by Government employees; and identifies some common ethics official activities that are inherently Governmental.
06/30/2003
DO-03-011: Inherently Governmental and Commercial Ethics Official Activities
This memorandum briefly summarizes some significant features of the revised OMB Circular A-76; explains that DAEO and Alternate DAEO functions are inherently Governmental and must be performed by Government employees; and identifies some common ethics official activities that are inherently Governmental.
05/07/2003
03x3: Summary of Certain Post-Government Employment Restrictions
OGE summarizes the restrictions in 18 U.S.C. § 207(a)(1), 18 U.S.C. § 207(a)(2), and 18 U.S.C. § 207(c) and the procurement integrity restrictions in 41 U.S.C. § 423. Allegations of misconduct ordinarily are investigated by the Inspector General of an individual’s former agency.
04/11/2003
03x2: Meaning of "Diversified" for Purposes of Exemption and Certificates of Divestiture
The term “diversified” is defined in 5 C.F.R. § 2640.102(a) for purposes of the exemption at 5 C.F.R. § 2640.201(a). An open-end mutual fund is “diversified” for purposes of the certificate of divestiture regulation and qualifies as "permitted property" if it does not have an objective or practice of investing in particular or limited sectors.
02/19/2003
DO-03-003: Proposed Post-Employment Rule
OGE publishes a proposed rule (February 2003) providing interpretive guidance concerning 18 U.S.C. § 207. This memorandum discusses the history of the statute and the structure of the proposed rule.
01/02/2003
03x1: 18 U.S.C. § 207(f) and Foreign Entity
A particular corporation, owned by a foreign government, is not a “government of a foreign country” under 18 U.S.C. § 207(f)(3) because it does not exercise the functions of a sovereign.
2002
12/09/2002
02x11: Application of the Financial Disclosure Requirements to Detailees under the Intergovernmental Personnel Act (IPA)
Detailees under the IPA who occupy positions that fit one of the categories in section 101 of the Ethics in Government Act (or that are of "equal classification" with those positions) are required to file public financial disclosure reports. Agencies may require other detailees to file confidential financial disclosure reports.
12/09/2002
DO-02-029: Application of the Financial Disclosure Requirements to Detailees under the Intergovernmental Personnel Act (IPA)
Detailees under the IPA who occupy positions that fit one of the categories in section 101 of the Ethics in Government Act (or that are of "equal classification" with those positions) are required to file public financial disclosure reports. Agencies may require other detailees to file confidential financial disclosure reports.
10/30/2002
02x9: Use of Title on Personal Stationery or in Personal Activity
Use of the title "Administrative Law Judge," or "U.S. Administrative Law Judge," are references to an ALJ's official position and could be a violation of the Standards of Conduct when used on personal letterhead. In contrast, the use of "Judge," or "The Honorable" are commonly used honorifics that can be used on personal letterhead.
10/22/2002
DO-02-024: 2002 Edition of the OGE Form 450 Confidential Financial Disclosure Report
OGE issues the September 2002 version of the confidential financial disclosure form.
10/17/2002
DO-02-023: 2001 Conflict of Interest Prosecution Survey
2001 Conflict of Interest Prosecution Survey
10/16/2002
02x8: Senior Employee under 18 U.S.C. § 207(c)
A senior employee is still considered a senior employee of his agency for the purposes of 18 U.S.C. § 207(c) while on home leave. In addition, a senior employee on detail to an agency from his home agency is considered a senior employee of both agencies for the purpose of 18 U.S.C. § 207(c).
10/16/2002
02x10: Application of 18 U.S.C. § 207(a)(2)
Under 18 U.S.C. § 207(a)(2) a matter was actually pending as a particular matter involving specific parties under a former employee's official responsibility before he terminated his position. A particular matter involving specific parties may be pending in an agency prior to the filing of an actual application for some kind of Federal action.
10/09/2002
02x7: Gifts Accepted under Agency Gift Acceptance Statute
An agency should analyze whether gift baskets provided by an association to several agency offices may be accepted under the agency's gift acceptance statute.
09/27/2002
DO-02-021: Increased Gifts and Travel Reimbursements Reporting Thresholds for Financial Disclosure Reports
OGE issues final rule amendments (September 2002) that revise the financial disclosure regulations to reflect the statutory increase of the thresholds for reporting of gifts, reimbursements and travel expenses.
09/06/2002
02x6: 18 U.S.C. § 207(j) Waiver of Certain Post-Government Employment Restrictions
OGE summarizes 18 U.S.C. § 207(j), concurs that a proposed waiver under 18 U.S.C. § 207(j)(5) would permit a former employee to furnish scientific or technological information to his former agency, and provides guidance concerning the scope of the proposed waiver.
08/08/2002
DO-02-019: Technical Amendments to Regulations Governing Filing Extensions and Late Filing Fee Waivers
Amendments to the financial disclosure regulations allow agencies to grant public filers the additional extensions of time currently granted by the OGE Director, not to exceed 45 days, and to waive the late filing fee for public filers who submit their reports more than 30 days after the due date.
07/31/2002
02x5: 18 U.S.C. § 207(a) and Yucca Mountain
OGE analyzes the unusual and complicated facts related to the Yucca Mountain project and concludes, for purposes of this case, that certain pre-licensing matters should be viewed as part of the same particular matter involving specific parties as the licensing proceedings for purposes of 18 U.S.C. § 207(a).
07/15/2002
DO-02-018: 18 U.S.C. § 205 Advice and Counseling
This memorandum explains that 18 U.S.C. § 205 should rarely prevent a Federal employee from serving with an outside organization where no representational activities are anticipated.
07/01/2002
02x4: 18 U.S.C. § 209 Guidance
OGE issues a comprehensive summary of 18 U.S.C. § 209, which prohibits the supplementation of a Government employee’s salary by outside sources.
07/01/2002
DO-02-016: 18 U.S.C. § 209 Guidance
OGE issues a comprehensive summary of 18 U.S.C. § 209, which prohibits the supplementation of a Government employee’s salary by outside sources.
06/11/2002
DO-02-015: Revocable Living Trust
This memorandum provides ethics officials with general guidance on the subject of revocable living trusts and explains the context in which an amendment to the financial disclosure regulations applies.
06/03/2002
02x3: Commencement of Officer or Employee Status for Purposes of Conflict of Interest Requirements
OLC issues an opinion dealing with the question of whether an individual becomes an officer or employee, for purposes of the conflict of interest restrictions, upon appointment by the President but before beginning duties.
06/03/2002
DO-02-014: Commencement of Officer or Employee Status for Purposes of Conflict of Interest Requirements
OLC issues an opinion dealing with the question of whether an individual becomes an officer or employee, for purposes of the conflict of interest restrictions, upon appointment by the President but before beginning duties.
05/14/2002
02x2: Public Financial Disclosure Reporting Requirements for Trustees and Executors Who Have Beneficial Interest in a Trust or Estate
OGE reiterates reporting requirements for trustees and executors. OGE also summarizes reporting requirements for the situation in which an employee, spouse or dependent child has a beneficial interest in a trust or estate.
04/26/2002
DO-02-009: Waivers of Conflicts of Interest for Agency Heads
President Bush delegated his authority under 18 U.S.C 208(b) to grant waivers to agency heads, to the Counsel to the President.
04/24/2002
02x1: Financial Disclosure Issues Concerning Trustees, Executors, and Administrators
OGE provides guidance concerning the reporting of the assets and income of trusts and estates with respect to which a reporting individual serves as trustee, executor, or administrator.
04/24/2002
DO-02-008: Financial Disclosure Issues Concerning Trustees, Executors, and Administrators
OGE provides guidance concerning the reporting of the assets and income of trusts and estates with respect to which a reporting individual serves as trustee, executor, or administrator.
03/19/2002
DO-02-006: Publication of Final Rule Amending 5 C.F.R. Part 2640
OGE publishes a final rule amending the regulations in 5 C.F.R. part 2640 that exempt certain financial interests as being too remote or inconsequential to affect the integrity of the services of employees, under 18 U.S.C. § 208(b)(2).
02/12/2002
DO-02-003: 2000 Conflict of Interest Prosecution Survey
2000 Conflict of Interest Prosecution Survey
2001
12/19/2001
01x12: Office of Legal Counsel (OLC) Opinion Concerning Status of Trustees of a Private Trust Under 18 U.S.C. § 208
The immediate practical consequence of this OLC opinion is that, in many situations, employees will not be deemed to have a disqualifying financial interest in matters affecting the holdings of a trust in which the employee’s spouse or minor child serves as a trustee.
12/19/2001
DO-01-029: Office of Legal Counsel (OLC) Opinion Concerning Status of Trustees of a Private Trust under 18 U.S.C. § 208
The immediate practical consequence of this OLC opinion is that, in many situations, employees will not be deemed to have a disqualifying financial interest in matters affecting the holdings of a trust in which the employee’s spouse or minor child serves as a trustee.
11/29/2001
01x11: Status of Members of Board of Directors of Federal Prison Industries
OGE analyzes whether certain members of the board of directors of Federal Prison Industries (FPI) are subject to Federal conflict of interest requirements.
11/13/2001
01x10: Book Related to Official Duties
Because a proposed book by an administrative judge dealt in significant part with an ongoing or announced policy, program or operation of his agency, he was barred by 5 C.F.R. § 2635.807 from receiving compensation for the book.
10/25/2001
01x9: Employee's Management of Nonprofit Organization
OGE discusses some of the ethics issues raised in connection with an employee's proposed involvement in the establishment and management of a nonprofit organization.
08/23/2001
01x8: Impartiality and Romantic Relationships
OGE addresses issue of whether certain conduct by an attorney in an agency "created a situation in which her impartiality could be questioned" and whether she should have disqualified herself from certain particular matters or sought an authorization to participate, pursuant to 5 C.F.R. § 2635.502.
08/10/2001
01x7: Compensation Bar for Writing that Relates to Official Duties
An administrative judge is barred by 5 C.F.R. § 2635.807 from receiving compensation for writing a pair of proposed books on the subject of compensatory damages in private sector cases and in Federal sector cases.
07/19/2001
01x6: References to Employee's Title and Agency
The bar on use of title and position set forth in 5 C.F.R. § 2635.807(b), like the related bar in 5 C.F.R. § 2635.702, do not apply to activities undertaken as part of an employee's official duties.
07/09/2001
01x5: Remedy of Divestiture versus Recusal for Nominees to a Specific Agency
OGE responds to a request from a Senate committee to review the requirements of 5 C.F.R. § 2635.502 in order to “ensure that the rule is written and applied in a manner that effectively evaluates a nominee’s conflict of interest and impartiality on matters relating to 'covered relationships.’”
04/06/2001
DO-01-015: Report on Improvements to the Financial Disclosure Process for Presidential Nominees
OGE submits a report on improvements to the financial disclosure process for Presidential nominees to the Senate Committee on Governmental Affairs and the House Committee on Government Reform.
03/29/2001
01x4: Use of the Title "Judge" in Personal Correspondence
OGE addresses whether it is proper for a United States administrative law judge (ALJ) to use the title "Judge" and/or "Judge and Mrs." in personal correspondence.
03/28/2001
DO-01-013: Nominee Ethics Agreements
This memorandum addresses several issues pertaining to ethics agreements of Presidential appointees whose positions require Senate confirmation. [NOTE: The model document attached to this DAEOgram has been superseded by the model document in OGE's 2014 guide on ethics agreements]
03/15/2001
DO-01-009: Ethical Requirements Applicable to Potential PAS Appointees Employed as "Advisors" or "Counselors"
Potential PAS appointees hired as advisors or counselors prior to announcement, nomination and confirmation to a PAS position are employees of the United States and are generally subject to all Federal ethics laws and regulations. They will qualify as special Government employees.
03/15/2001
DO-01-011: Office of Legal Counsel Opinions (Exception to Honoraria Ban and Communications under 18 U.S.C. § 207(c))
The Office of Legal Counsel issued an opinion about payments to charitable organizations in lieu of honoraria (an exception to honoraria ban) and an opinion about communications under 18 U.S.C. § 207(c). [Note: The honoraria ban was held unconstitutional by the U.S. Supreme Court in
>U.S. v. National Treasury Employees Union, 513 U.S. 454 (1995).]
03/15/2001
01x3: Office of Legal Counsel Opinions (Exception to Honoraria Ban and Communications under 18 U.S.C. § 207(c))
The Office of Legal Counsel issued an opinion about payments to charitable organizations in lieu of honoraria (an exception to honoraria ban) and an opinion about communications under 18 U.S.C. § 207(c). [Note: The honoraria ban was held unconstitutional by the U.S. Supreme Court in
>U.S. v. National Treasury Employees Union, 513 U.S. 454 (1995).]
03/15/2001
01x2: Ethical Requirements Applicable to Potential PAS Appointees Employed as "Advisors" or "Counselors"
Potential PAS appointees hired as advisors or counselors prior to announcement, nomination and confirmation to a PAS position are employees of the United States and are generally subject to all Federal ethics laws and regulations. They will qualify as special Government employees.
03/14/2001
01x1: Employee's Proposed Outside Employment Prosecuting Patent Applications for Private Clients
18 U.S.C. §§ 203 and 205 prohibit an employee from acting as a compensated agent for private clients in prosecuting patent applications before the Patent and Trademark Office of the Department of Commerce.
01/22/2001
DO-01-004: Presidential Memorandum on Ethical Conduct (George W. Bush Administration)
President George W. Bush issues a memorandum to agency heads asking them to ensure that all personnel within their departments and agencies are familiar with, and will faithfully observe, applicable ethics laws and regulations.
01/04/2001
DO-01-002: Presidential Transition Report (2000)
Pursuant to the Presidential Transition Act of 2000, OGE requests recommendations for improvements to the financial disclosure process for Presidential nominees to Senate confirmed positions.
01/03/2001
DO-01-001: Revocation of Executive Order 12834
President Clinton revokes Executive Order 12834, which had imposed special post-employment restrictions on senior appointees of his Administration by requiring senior officials and trade negotiators to sign a pledge as a condition of holding a covered position.
2000
12/28/2000
DO-00-048: Presidential Transition (George W. Bush)
This memorandum provides guidance on issues concerning the activities of members of the President-elect's Transition Team. OGE also describes how nominee financial disclosure forms will be processed during the transition.
11/28/2000
DO-00-045: Increased Gifts and Travel Reimbursements Reporting Thresholds
OGE issues final rule amendments that revise the financial disclosure regulations to reflect the statutory increase of the thresholds for reporting of gifts, reimbursements and travel expenses. OGE also increases the widely attended gathering gift exception ceiling for nonsponsor gifts of free attendance.
11/17/2000
00x13: Certificates of Divestiture and Judges on the U.S. Court of Appeals for the Armed Forces
A judge of the United States Court of Appeals for the Armed Forces (CAAF) would not qualify as an “eligible person” for a Certificate of Divestiture, pursuant to 26 U.S.C. § 1043(b)(1)(A). CAAF judges are not executive branch employees.
11/17/2000
DO-00-044: Recent Office of Legal Counsel (OLC) Opinions Concerning 18 U.S.C. § 207
The Office of Legal Counsel (OLC) issue two opinions, one concerning the scope of the exemption at 18 U.S.C. § 207(j)(7) and the other addressing the scope of 18 U.S.C. § 207(d).
10/05/2000
00x12: Interpreting the Limitations Included in the Exemption at 18 U.S.C. § 208(b)(4)
OGE concluded that the limitation in the final clause of the exclusion to 18 U.S.C. § 208 contained in 18 U.S.C. § 208(b)(4) involving financial interests by birthright, covers only certain particular matters that involve specific parties.
10/04/2000
00x11: Employees Assisting Taxpayers and 18 U.S.C. § 205
OGE determined that, although an employee would violate 18 U.S.C. § 205 if he represented taxpayers before the Internal Revenue Service, 18 U.S.C. § 205 does not prohibit an employee from assisting another in preparing their income tax returns.
09/18/2000
00x10: Recent Court Case Interpreting 18 U.S.C. § 205
In O'Neill v. Department of Housing and Urban Development, 220 F.3d 1354 (2000), the court of appeals determined that an employee does not act as "agent" for another person, under 18 U.S.C. § 205, unless the employee has actual or apparent authority to act on behalf of that person in dealings with the Government.
09/18/2000
DO-00-034: Recent Court Case Interpreting 18 U.S.C. § 205
In O'Neill v. Department of Housing and Urban Development, 220 F.3d 1354 (2000), the court of appeals determined that an employee does not act as "agent" for another person, under 18 U.S.C. § 205, unless the employee has actual or apparent authority to act on behalf of that person in dealings with the Government.
09/08/2000
DO-00-033: Proposed Amendments to 5 C.F.R. Part 2640
OGE issues a proposed rule amending 5 C.F.R. part 2640 by revising some existing exemptions and adding new exemptions.
09/07/2000
00x9: Office of Legal Counsel Memorandum Concerning Application of 18 U.S.C. § 209 to Receipt of Outside Royalty Payments by Employee-Inventors
OLC concluded that 18 U.S.C. § 209 ordinarily does not preclude outside royalty payments to employee-inventors who privately commercialize inventions for which the Government has permitted them to obtain patent rights.
09/07/2000
DO-00-031: Publication of Interim Rule Amending 5 C.F.R. § 2635.807(a)
OGE publishes an interim rule amending 5 C.F.R. § 2635.807(a), the prohibition on employee receipt of compensation for outside teaching, speaking, and writing.
09/07/2000
DO-00-032: Office of Legal Counsel Memorandum Concerning Application of 18 U.S.C. § 209 to Receipt of Outside Royalty Payments by Employee-Inventors
OLC concluded that 18 U.S.C. § 209 ordinarily does not preclude outside royalty payments to employee-inventors who privately commercialize inventions for which the Government has permitted them to obtain patent rights.
08/25/2000
DO-00-030: Diversified and Sector Mutual Funds
OGE provides guidance on the distinction between diversified and sector mutual funds for purposes of certain regulatory exemptions, codified in 5 C.F.R. part 2640. [The guidance in this advisory regarding real estate funds was updated in 2015 by
Legal Advisory LA-15-09.]
08/25/2000
00x8: Diversified and Sector Mutual Funds
OGE provides guidance on the distinction between diversified and sector mutual funds for purposes of certain regulatory exemptions, codified in 5 C.F.R. part 2640. [The guidance in this advisory regarding real estate funds was updated in 2015 by
Legal Advisory LA-15-09.]
08/22/2000
00x7: Extent to Which Ethics Laws and Regulations Apply to Federal Government-Private Sector Exchange Programs
The extent to which ethics laws and regulations apply to public-private exchange participants often depends on whether those persons are considered "employees" of the Federal Government.
08/14/2000
DO-00-029: 1999 Conflict of Interest Prosecution Survey
1999 Conflict of Interest Prosecution Survey
07/18/2000
00x6: Application of the Gift Exclusion for Rewards and Prizes at 5 C.F.R. § 2635.203(b)(5)
OGE decided that an employee could have accepted a prize he won while attending a trade show on official assignment. The trade show was open to the general public and so was the contest. A test of knowledge as a condition of selecting finalists did not operate as a constraint on who could participate.
07/17/2000
DO-00-026: New Edition of the SF 278 Report Form
OGE issues the March 2000 edition of the SF 278.
05/18/2000
00x5: Can OGE Exempt District of Columbia Employees From Criminal Conflict of Interest Laws?
OGE is not aware of any statutory authority allowing it to categorically exempt the District of Columbia or its employees from the Federal conflict of interest laws contained in Chapter 11, Title 18 of the United States Code.
04/11/2000
00x4: Conflict of Interest and Appearance Concerns Raised by Spouse's Employment
An employee is not necessarily precluded from acting in matters before an oversight group because his spouse receives a salary for service as the Executive Director of local nonprofit organizations having interests in matters before the group. Whether participation is permissible or appropriate will require an analysis of the facts in each situation.
04/07/2000
00x3: Exemption at 18 U.S.C. § 208(b)(4) for Financial Interests in a Birthright
OGE decided that the exemption at 18 U.S.C. § 208(b)(4) is limited to circumstances where the employee holds a financial interest by birthright, and even then, the exemption could not operate to exempt imputed financial interests of an organization for which the employee serves as a director.
03/30/2000
DO-00-015: Van Ee v. Environmental Protection Agency
In Van Ee v. Environmental Protection Agency, the D.C. Circuit concluded that 18 U.S.C. § 205(a)(2) does not prohibit the communications which the plaintiff in the case, a career employee, proposed to make.
03/21/2000
00x2: Maintenance of an Effective Agency Ethics Program
OGE letter to an agency clarifying, 1) an agencies' responsibility to furnish OGE with all information necessary for OGE to perform its duties, 2) OGE's authority for interpreting its own regulations, and 3) an agencies' responsibility to report information concerning criminal violations.
02/22/2000
DO-00-007: Use of Brokerage Statements in Lieu of Entries on the SF 278
Brokerage statements, as well as bank statements, personal spreadsheets, and any other financial materials, are acceptable as attachments in lieu of direct entries on an SF 278 only if they meet the statutory and regulatory reporting requirements.
02/17/2000
DO-00-006: OGE Reissues Summary of Criminal Statute at 18 U.S.C. § 207
OGE reissues a summary of 18 U.S.C. § 207. This edition incorporates three changes that were necessary to reflect statutory amendments in 1995 and 1996. [Note: Executive Order 12834, referenced in this DAEOgram, has been revoked.]
02/15/2000
DO-00-003: Summary of Ethical Requirements Applicable to Special Government Employees
OGE issues a summary of the ethics requirements that are applicable to special Government employees. [Note: Executive Order 12834, referenced in this DAEOgram, has been revoked.]
02/15/2000
00x1: Summary of Ethical Requirements Applicable to Special Government Employees
OGE issues a summary of the ethics requirements that are applicable to special Government employees. [Note: Executive Order 12834, referenced in this Informal Advisory Memorandum, has been revoked.]
1999
12/22/1999
99x25: Clarification of Interpretation of 18 U.S.C. § 203
The prohibition on receipt of compensation for any representational services in 18 U.S.C. § 203 is limited to compensation in exchange for the provision of representational services to a third party, rendered either by the employee or an associate.
12/22/1999
DO-99-049: Clarification of Interpretation of 18 U.S.C. § 203
The prohibition on receipt of compensation for any representational services in 18 U.S.C. § 203 is limited to compensation in exchange for the provision of representational services to a third party, rendered either by the employee or an associate.
12/21/1999
DO-99-048: Second Paperwork Round for a Proposed Moderately Revised Version of the SF 278 Report Form
OGE publishes a second paperwork round for a proposed moderately revised version of the SF 278 report form.
12/14/1999
99x24: Receipt of Compensation for Representational Services under 18 U.S.C. § 203
A former Government employee receiving a fixed rate of pay may not receive a mid-year pay adjustment if the formula used to make the adjustment is dependent on fees received for representational services rendered by another person in connection with a particular matter in which the United States is a party or has a direct and substantial interest.
12/06/1999
99x23: Determining When a Particular Matter Begins under 18 U.S.C. § 207
A particular matter involving specific parties may begin when an agency identifies issues specifically associated with a potential matter, identifies matters of controversy and considers and plans courses of action. The fact that an application has not been received by the agency does not mean the matter is not before the agency.
12/01/1999
99x22: Summary of Certain Post-Government Employment Restrictions
Summary of the various post-employment restrictions that apply to a former Government official. [Note: Executive Order 12834, referenced in this Informal Advisory Letter, has been revoked.]
11/12/1999
99x21: Particular Matter Involving Specific Parties, Personal and Substantial Participation, and Official Responsibility under 18 U.S.C. § 207
Determining when various stages of a large program become a particular matter involving specific parties and when former officials participated personally and substantially in the various stages.
11/03/1999
99x20: Contingency Fees and 18 U.S.C. § 203
A prospective employee who has an interest in a contingency fee case in which the United States is a party or has a direct and substantial interest must take steps to avoid the proscription in 18 U.S.C. § 203 before entering Government service.
11/03/1999
DO-99-042: Contingency Fees and 18 U.S.C. § 203
A prospective employee who has an interest in a contingency fee case in which the United States is a party or has a direct and substantial interest must take steps to avoid the proscription in 18 U.S.C. § 203 before entering Government service.
10/29/1999
99x19: Applicability of Post-Government Employment Restriction of 18 U.S.C. § 207(a)(1)
A former Government employee who is working for a company that provides technical support on a contract in which the former Government employee participated personally and substantially could violate the 18 U.S.C. § 207 restrictions.
10/22/1999
DO-99-039: 1999 Edition of the OGE Form 201 Ethics Act Access Form
OGE issues the October 1999 edition of the OGE Form 201.
09/24/1999
99x18: Certificates of Divestiture and Capital Gains Requirement
A company's stock that is purchased through an employee stock investment plan will be taxed as ordinary earned income under Internal Revenue Service rules, which makes the stock ineligible for a certificate of divestiture.
09/21/1999
99x17: Intergovernmental Personnel Act (IPA) Assignments
Intergovernmental Personnel Act (IPA) assignments must be reviewed to make sure they are consistent with applicable conflict of interest restrictions.
09/10/1999
99x16: Same Particular Matter and 18 U.S.C. § 207(a)(1)
A high-level official's attendance at a meeting should be closely reviewed to determine whether his attendance amounts to personal and substantial participation. Also, an overall acquisition strategy can be an integral part of the contracting process resulting in two separate programs being considered the same particular matter for 18 U.S.C.
09/09/1999
DO-99-035: Applicability of 18 U.S.C. § 208 Exemption to Outsourcing and Privatization Activities
OGE reaffirms the applicability of the exemption at 5 C.F.R. § 2640.203(d) for employees who participate in matters conducted under OMB Circular A-76 procedures.
09/07/1999
DO-99-033: Inflation Adjustments of Civil Monetary Penalties under the Ethics in Government Act
OGE's amendments to the civil monetary penalties that may be imposed for certain violations of the Ethics in Government Act. affect the executive branchwide financial disclosure and outside employment regulations at 5 C.F.R. parts 2634 and 2636.
07/28/1999
99x15: Use of Official Title
An employee may not use or permit the use of his official position or title in connection with private service on the board of directors of a nonprofit or other organization, even if that entity has qualified for participation in the Combined Federal Campaign.
07/19/1999
DO-99-031: A Reminder on Use of OGE Optional Form 450-A
OGE reminds agencies that OGE Optional Form 450-A cannot be used in 2000 by filers at agencies that have adopted the maximum three-year use cycle.
07/19/1999
DO-99-032: 1998 Conflict of Interest Prosecution Survey
1998 Conflict of Interest Prosecution Survey
07/19/1999
DO-99-030: First Round Paperwork Notice For A Proposed Moderately Revised Version of the SF 278 Report Form
OGE publishes a first round paperwork notice for a proposed moderately revised version of the SF 278 report form.
07/07/1999
99x14(2): Determining When a Matter is the Same Particular Matter under 18 U.S.C. § 207
Separate agencies with differing substantive responsibilities may reach different conclusions when determining whether a matter is the same particular matter for purposes of 18 U.S.C. § 207. [The guidance in this advisory was reconsidered by OGE in 2008 in
OGE Informal Advisory Opinion 08 x 6.]
06/15/1999
DO-99-029: 1999 Edition of the OGE Form 450 Confidential Financial Disclosure Report
OGE issues the April 1999 edition of the OGE Form 450 Confidential Financial Disclosure Report.
05/19/1999
99x13: Effect of Supreme Court Decision in United States v. Sun-Diamond Growers
The decision in the Sun-Diamond case does not disturb the noncriminal prohibitions on gifts found at 5 U.S.C. § 7353 or the Standards of Ethical Conduct for executive branch employees at 5 C.F.R. part 2635.
05/19/1999
DO-99-024: Effect of Supreme Court Decision in United States v. Sun-Diamond Growers
The decision in the Sun-Diamond case does not disturb the noncriminal prohibitions on gifts found at 5 U.S.C. § 7353 or the Standards of Ethical Conduct for executive branch employees at 5 C.F.R. part 2635.
04/29/1999
99x12: Consulting Services and Expert Testimony by Former Government Employee
The proposed consulting services will not violate 18 U.S.C. § 207(a)(1) or (a)(2). More facts are needed to determine if the former employee may serve as an expert witness in a class action lawsuit that may include individuals on whose claims the former employee worked as a Government employee. [cites former 5 C.F.R. part 2637]
04/29/1999
99x11: Meaning of "Substantially" for Purposes of 18 U.S.C. § 207 and 18 U.S.C. § 208
A dollar-based test to determine whether an employee was "substantially" involved in a particular matter involving specific parties for purposes of the lifetime bar of 18 U.S.C. § 207(a)(1) is not consistent with positions taken by OGE and will lead to incorrect conclusions [cites former 5 C.F.R. part 2637]
04/28/1999
99x10: Ethical Challenges of Privatization and Partnering
The regulatory exemption at 5 C.F.R. § 2640.203(d) permits an employee to fully participate in particular matters affecting his Government position, salary and benefits, so long as those matters do not affect him individually or specially, and so long as they do not affect his interests beyond those arising from Government employment.
04/28/1999
DO-99-020: Ethical Challenges of Privatization and Partnering
The regulatory exemption at 5 C.F.R. § 2640.203(d) permits an employee to fully participate in particular matters affecting his Government position, salary and benefits, so long as those matters do not affect him individually or specially, and so long as they do not affect his interests beyond those arising from Government employment.
04/26/1999
DO-99-019: Frequently-Asked Questions about Certificates of Divestiture
OGE provides a summary, in question and answer format, of the rules and policies that apply to certificates of divestiture in most situations. [Note: The information in this memorandum is outdated. For OGE’s more recent Advisory on Certificates of Divestiture, please see
DO-06-030.]
04/26/1999
99x9: Frequently-Asked Questions about Certificates of Divestiture
OGE provides a summary, in question and answer format, of the rules and policies that apply to certificates of divestiture in most situations. [Note: The information in this Advisory is outdated. For OGE’s more recent Advisory on Certificates of Divestiture, please see
DO-06-030.]
04/25/1999
DO-99-018: Recusal Obligation and Screening Arrangements
OGE discusses the obligation to recuse under 18 U.S.C. § 208 or 5 C.F.R. § 2635.502 and suggests screening arrangements and other procedures that may be used to help ensure that a commitment to recuse is carried out effectively. OGE encloses a model recusal memorandum. [The guidance in this advisory was updated in 2014 by
Legal Advisory LA-14-06.]
04/25/1999
99x8: Recusal Obligation and Screening Arrangements
OGE discusses the obligation to recuse under 18 U.S.C. § 208 or 5 C.F.R. § 2635.502, and, suggests screening arrangements and other procedures that may be used to help ensure that a commitment to recuse is carried out effectively, and encloses a model recusal memorandum. [The guidance in this advisory was updated in 2014 by
Legal Advisory LA-14-06.]
04/24/1999
99x7: Prizes as Gifts — Guidance Concerning the Exclusion at 5 C.F.R. § 2635.203(b)(5)
This memorandum examines some commonly encountered factual circumstances that arise under the gift exclusion at 5 C.F.R. § 2635.203(b)(5), specifically concerning prizes from drawings or contests entered while in an official duty status.
04/24/1999
DO-99-017: Prizes as Gifts — Guidance Concerning the Exclusion at 5 C.F.R. § 2635.203(b)(5)
This memorandum examines some commonly encountered factual circumstances that arise under the gift exclusion at 5 C.F.R. § 2635.203(b)(5), specifically concerning prizes from drawings or contests entered while in an official duty status.
04/14/1999
99x6: 18 U.S.C. § 208 and Defined Benefit Pension Plans
OGE updates and refines its previous guidance on the circumstances in which an employee has a conflict of interest in matters affecting the sponsor of his defined benefit plan. [modifies Formal Advisory Opinion 83 OGE 1]
04/14/1999
DO-99-015: 18 U.S.C. § 208 and Defined Benefit Pension Plans
OGE updates and refines its previous guidance on the circumstances in which an employee has a conflict of interest in matters affecting the sponsor of his defined benefit plan. [modifies "Formal Advisory Opinion 83 OGE 1"]
04/12/1999
99x5: OGE Regulations and an Agency's Duty to Engage in Collective Bargaining
Provisions of the executive branchwide standards of conduct that require the agencies to make "agency determinations" in implementing the regulations are not subject to collective bargaining.
04/12/1999
DO-99-014: OGE Regulations and an Agency's Duty to Engage in Collective Bargaining
Provisions of the executive branchwide standards of conduct that require the agencies to make "agency determinations" in implementing the regulations are not subject to collective bargaining.
04/06/1999
99x4: Consulting Business of Government Employee
Several statutes and regulations affect a Government employee's ability to engage in a particular outside activity, such as a consulting business.
03/18/1999
DO-99-011: Recent OGE Forms Renewal Matters
Certain of the ethics forms that OGE sponsors for executive branchwide use require periodic (usually three year) renewal of approval from the Office of Management and Budget (OMB) under the Paperwork Reduction Act or from the General Services Administration (GSA) under the interagency reports program.
03/16/1999
99x3: Certificates of Divestiture and Capital Gains
At the time of this opinion, the sale of stock obtained through the exercise of incentive stock options did not result in capital gains under the Internal Revenue code. OGE could not issue a certificate of divestiture to the employee who owned the stock options.
03/15/1999
99x2: Widely Attended Gathering Exception and Charitable Fundraising Events
OGE discusses the application of the widely attended gathering (WAG) exception to a charitable fundraising event, the determination of agency interest, and difference between the sponsor of the event versus a nonsponsor bearing the cost of attendance.
03/01/1999
99x14(1): Same Particular Matter under 18 U.S.C. § 207
Determining whether two issues are the same particular matter under 18 U.S.C. 207(a)(1) is a factual question that may require OGE to disclose the identity of the employee to the employing agency.
01/05/1999
99x1: Employee Acceptance of Commercial Discounts and Benefits under the Standards of Ethical Conduct, 5 C.F.R. Part 2635
OGE sets forth a framework for analyzing discounts issues and addresses the regulatory provisions that have particular relevance to discounts issues. [The guidance in this advisory that pertains to certain frequent flyer program benefits earned from Government-financed travel no longer reflects current law.]
01/05/1999
DO-99-001: Employee Acceptance of Commercial Discounts and Benefits under the Standards of Ethical Conduct, 5 C.F.R. Part 2635
OGE sets forth a framework for analyzing discounts issues and addresses the regulatory provisions that have particular relevance to discounts issues. [The guidance in this advisory that pertains to certain frequent flyer program benefits earned from Government-financed travel no longer reflects current law.]
1998
12/08/1998
98x20: Effect of Terminal Leave Status on Officer’s Official Responsibility for Matters Pending in his Office
OGE discusses whether the two-year representation bar of 18 U.S.C. § 207(a)(2) applies to a former military officer who seeks to represent a client in connection with a particular matter that was not pending in his agency's office until after he had gone on terminal leave prior but before he had separated from the agency.
11/25/1998
DO-98-034: District Court Decision on Remand in Sanjour v. EPA
The U.S. District Court for the District of Columbia has issued its decision on remand in Sanjour v. Environmental Protection Agency. The decision impacts enforcement of 5 C.F.R. § 2635.807(a), and its prohibition on employee acceptance of travel expenses in connection with teaching, speaking, or writing relating to official duties.
11/25/1998
98x19: District Court Decision on Remand in Sanjour v. EPA
The U.S. District Court for the District of Columbia has issued its decision on remand in Sanjour v. Environmental Protection Agency. The decision impacts enforcement of 5 C.F.R. § 2635.807(a), and its prohibition on employee acceptance of travel expenses in connection with teaching, speaking, or writing relating to official duties.
11/16/1998
98x18: Support Letters for Sentencing Hearing and 18 U.S.C. § 205
Discusses application of 18 USC 205 and 5 CFR 2635.702(b) to employees who wish to submit letters providing character reference in support of person subject to Federal criminal sentencing; also discusses need for OGE-approved supplemental standards of conduct regulation if agency wants to maintain additional ethics restriction.
10/28/1998
98x17: Marketing Incentives Offered in Connection with Government Purchases
Employees were precluded from retaining purchase incentives, for personal use, from vendor in connection with official agency purchases.
10/15/1998
98x16: Acceptance of Food in Connection with Event
Guidance on when employees may accept meal at event and proper disposition of prohibited gifts.
09/11/1998
98x15: Free Attendance at Reception
Guidance on when free attendance at a reception constitutes a gift and, if so, when various exceptions to the gift prohibitions may apply.
09/08/1998
DO-98-027: Revisions to OGE Form 202
OGE reminds agencies to use the OGE Form 202 (recently revised) to report to OGE referrals of potential violations of the criminal conflict of interest laws to the Attorney General.
09/02/1998
DO-98-025: Application of 18 U.S.C. § 208 to Service on Boards
The Office of Legal Counsel issues an opinion addressing the question of whether 18 U.S.C. § 208 prohibits employees of the executive branch from serving, in an official capacity, as a member of the board of a private voluntary standards organization.
08/31/1998
98x14: Official and Unofficial Speech at Private Conference
OGE summarizes ethics provisions that are relevant when an employee speaks at a private conference in an official or unofficial capacity, and comments on policy considerations that are relevant when an agency is deciding whether to provide an official speaker.
08/28/1998
DO-98-024: Part II of Proposed Minor Amendments to Standards of Ethical Conduct
OGE publishes the remaining installment of proposed minor amendments to the standards, affecting subpart F (Seeking Other Employment) and subpart H (Outside Activities).
08/13/1998
98x13: Regulatory Removal of Honoraria Rules
OGE announces issuance of rule removing obsolete provisions concerning the former honoraria ban.
08/13/1998
DO-98-023: Regulatory Removal of Honoraria Rules
OGE announces issuance of rule removing obsolete provisions concerning the former honoraria ban.
08/07/1998
DO-98-022: Proposed Minor Amendments to Standards of Conduct
OGE publishes proposed minor amendments to subpart B (Gifts From Outside Sources) of the standards of conduct regulation.
07/27/1998
98x12: Financial Disclosure Reporting Requirements for Trustees
07/17/1998
98x11: "Personal and Substantial" as Modifier of "Participation"
Only "personal and substantial" participation in a particular Government matter is restricted by 5 C.F.R. §§ 2635.402(c) and 2635.604(a), but circumstances may warrant that an employee be disqualified from any participation in certain matters under 5 C.F.R. § 2635.502(a).
07/13/1998
98x10: Eligibility of Interests in Qualified Incentive Stock Option Plan for Certificate of Divestiture
OGE denied a request for a Certificate of Divestiture where the stock was acquired through a qualified incentive stock option plan and the sale would not comply with the required holding period. [Note: In 2004, the Internal Revenue Code was amended and now the sale of stock acquired under these circumstances may qualify for a Certificate of Divestiture in accordance with
26 U.S.C. § 421(d).]
07/02/1998
98x9: Certificates of Divestiture and Gifts
OGE will not issue a Certificate of Divestiture for a security received as a gift, although securities received through inheritance may be eligible for a Certificate of Divestiture.
06/25/1998
98x8: Accepting Transportation from Government Contractor
Transportation received as part of official duties are accepted by the government, not the individual, and the Standards of Conduct do not apply. The matter must be resolved by the agency, determining if the transportation is a gift (or part of the contract) and whether the agency can accept a gift (generally prohibited without statutory authority).
06/22/1998
DO-98-021: Summary of the Standards of Conduct and Conflict of Interest Statutes in Verse
The OGE poem, "A Different Point of View," summarizes key provisions of the Standards of Ethical Conduct for Employees of the Executive Branch and certain of the conflict of interest statutes in title 18 of the United States Code.
06/04/1998
98x7: Nonprofit Organization of Federal Employees; Representations before Agency
Inclusion of a federal employee organization's name on another organization's letterhead would not constitute representational activity by the Federal employee members of the organization even if the other organization made representations to the Government using the letterhead.
05/07/1998
DO-98-019: Update — Nominee Public Financial Disclosure Reports and Certificates of Divestiture
OGE withdraws its request that agency reviewers add a statement to nominee financial disclosure reports noting that the information on the report has been updated in accordance with required time periods.
05/04/1998
98x6: Public Financial Disclosure Report Certification Practice
Neither the statute, 5 U.S.C. app., §§ 101-111, nor the controlling regulation at 5 C.F.R. part 2634 allowed agencies to require filers to add a certification of no conflictof interest to the SF 278 Public Financial Disclosure Report.
04/08/1998
98x5: Use of Government Employee Resume by Contractor
There is no per se ethics violation if a contractor uses a federal employee's resume in an agency procurement process. It is possible that use of that resume, in certain circumstances, could violate conflicts of interest statutes or standards of ethical conduct.
04/08/1998
DO-98-013: Timeliness of Nominee SF 278 Reports and Related Certificate of Divestiture Issues
The material in the public financial disclosure report of a nominee must be made current by the nominee or the agency reviewer (pursuant to specific authorization from the nominee) prior to submitting the report to this Office in final form.
04/01/1998
DO-98-011: Regulatory Amendment to Clarify Finality of Position Designations for Confidential Financial Disclosure
A minor clarifying amendment establishes that the agency head's (or his designee's) decision upon review of complaints regarding the designation of employee positions for filing confidential financial disclosure reports is final and conclusive for all purposes.
03/13/1998
DO-98-007: 1997 Conflict of Interest Prosecution Survey
1997 Conflict of Interest Prosecution Survey
02/24/1998
98x4: Post-Government Employment Provisions (18 U.S.C. § 207(c)) Applied to Agency Components
Employee was a senior employee by reason of 18 U.S.C. § 207(c)(2)(A)(i), because she was employed in a position paid under the Executive Schedule, despite continuing to receive pay under the SES. Therefore, her former agency under 18 U.S.C. § 207(c) and EO 12834 is all of the agency, as the component designation under § 207(h) doesn't apply. [Note: Executive Order 12834 has been revoked.]
02/19/1998
98x3: Purchase of Government Property; Conflicts of Financial Interest
Guidelines to help an ADAEO determine whether a government employee may purchase a training script from his agency, and how he may use that script outside of his government responsibilities.
02/11/1998
98x2: Senior Employees; Post-Government Employment Restrictions; Public Financial Disclosure Requirement
The basic rate of pay that makes an individual subject to "senior employee" restrictions of 18 U.S.C. § 207(c) refers to the employee's actual pay (salary), not the pay scale. The basic rate of pay that makes an individual subject to public financial disclosure requirements, refers to the minimum pay of a particular level on the pay scale.
01/14/1998
98x1: Financial Disclosure Reporting Obligations; Receipt of Gifts
Under 5 C.F.R. §§ 2635.201 and 2635.203, the government employee was allowed to accept gifts from his wife's employer, because it was not a prohibited source. Employee was not required to disclose the gifts because they were given to his wife totally independent of the employee.
1997
11/24/1997
97x16: Post-Employment Restrictions; Senior Employees; 18 U.S.C. § 207(c)
OGE did not create an exception to 18 U.S.C. § 207(c) for a new director position within an agency because that agency did not provide sufficient evidence to show that the imposition of section 207(c) would cause undue hardship within the meaning of section 207(c)(2)(C)(i).
11/19/1997
97x15: Free Attendance at Gatherings
Discusses whether a board of presidentially appointed federal employees who approve free attendance for the board at gatherings, satisfied the procedural requirements when determining that the agency's interest in attending is outweighed by the risk of impropriety.
10/16/1997
97x13: Fundraising for a Professional Society
Employees may fundraise for a professional society or other nonprofit organization, but they may not personally solicit funds from subordinates or from person known to be "prohibited sources."
09/12/1997
97x14: Waiver of One-Year "Cooling-Off Period"
An agency's proposed waiver of the one-year "cooling-off" period in 18 U.S.C. § 207(c) under 18 U.S.C. § 207(j)(5) was appropriate. [cites former 5 C.F.R. Part 2637]
09/08/1997
97x12: Discussion of 14 Fundamental Principles of E.O. 12674; Development of E-Filing System for Confidential Financial Disclosure
OGE does not have the authority to waive the application of the 14 fundamental principles established by Executive Order 12674 or the implementing regulation at 5 C.F.R. § Part 2635. OGE authorizes a pilot test of electronic filing for confidential financial disclosure system.
08/12/1997
DO-97-029: 1996 Conflict of Interest Prosecution Survey
1996 Conflict of Interest Prosecution Survey
06/26/1997
97x11: Application of Lifetime Representation Bar
Personal and substantial participation by a former employee in preparing damage survey reports barred her from communicating with or appearing before her former agency on behalf of her new employer.
06/25/1997
DO-97-028: Using New OGE Form 450-A
Executive branch departments and agencies are authorized to adopt a standardized certificate of no new interests (OGE Optional Form 450-A) in lieu of an annual OGE Form 450, for regular employee annual confidential disclosure filers who can make the required certifications.
06/11/1997
DO-97-027: Waiver Consultations under 18 U.S.C. § 208(b)
In situations where a waiver is sought with respect to service in an official capacity as an officer or director of a private organization, the Office of Government Ethics will provide consultation only with respect to whether the procedures set forth under paragraph (a) of 5 C.F.R. § 2640.301 have been followed, and whether the factors set forth under paragraph (b) of that section have been adequately considered.
05/21/1997
97x10: Travel Expenses in Connection with Certain Unofficial Teaching, Speaking, and Writing Activities
Pending the final court order clarifying the reach of the appellate decision in Sanjour v. U.S., OGE issued an interim policy about the prohibition on accepting travel expenses connected with certain unofficial speech.
05/21/1997
97x9: Application of 18 U.S.C. § 207 Provisions to Employees of District of Columbia
OGE discusses the changes made to 18 U.S.C. § 207 by the Ethics Reform Act of 1989 and the related technical amendments enacted in 1990. Certain provisions of section 207 apply to District of Columbia employees. [cites former 5 C.F.R. part 2637]
05/21/1997
DO-97-025: Travel Expenses in Connection with Certain Unofficial Teaching, Speaking, and Writing Activities
Pending the final court order clarifying the reach of the appellate decision in Sanjour v. U.S., OGE issued an interim policy about the prohibition on accepting travel expenses connected with certain unofficial speech.
04/22/1997
97x8: Appearance of Impartiality and Disqualification Process
5 C.F.R. § 2635.502 establishes a mechanism for an employee to determine whether "appearances" require his disqualification from an assignment and to seek authorization from an agency designee before he does participate.
04/02/1997
97x7: Application of 18 U.S.C. § 208 to Employee Service on Boards of Directors of Non-Federal Entities
The Office of Legal Counsel, Department of Justice, issued a memorandum addressing whether 18 U.S.C. § 208 would prohibit Federal Bureau of Investigation personnel from serving on the boards of directors of non-Federal nonprofit entities in their official capacities.
04/02/1997
DO-97-015: Application of 18 U.S.C. § 208 to Employee Service on Boards of Directors of Non-Federal Entities
The Office of Legal Counsel, Department of Justice, issued a memorandum addressing whether 18 U.S.C. § 208 would prohibit Federal Bureau of Investigation personnel from serving on the boards of directors of non-Federal nonprofit entities in their official capacities.
03/27/1997
97x6: Agency Restrictions on Former Agency Employees Practicing Before the Agency
18 U.S.C. § 207 cannot not be the authority upon which broader agency regulatory restrictions on former agency employees practicing before the agency in connection with certain cases are based.
03/25/1997
97x5: Restrictions Affecting Spouses Who Work for the Same Agency
While there is no rule barring spouses from working for the same agency, there are statutory and regulatory restrictions that prevent conflicts of interest from arising in these situations.
03/21/1997
97x3: Use of Official Time and Government Equipment for Unofficial Purposes
Whether military Reservists and National Guard members may use official time and Government equipment at their civilian Federal positions depends upon whether the agency has authorized such use.
03/21/1997
97x4: Referring to Official Title and Position in Connection with Outside Writing
An employee may not give more prominence to his Government title and position than to other biographical information that he provides in connection with outside writing.
03/05/1997
97x2: Disqualification during Subordinate's Job Search
OGE comments on whether 5 C.F.R. § 2635.502 should preclude a Board member at an agency from participating in a meeting, about a rulemaking, if the Board member's subordinate is discussing employment with a trade association for the industry affected by that rulemaking. [The guidance in this letter was modified by
OGE Informal Advisory Letter 06 x 1 and
DAEOgram DO-06-002.]
01/31/1997
DO-97-009: 1995 Conflict of Interest Prosecution Survey
1995 Conflict of Interest Prosecution Survey
01/13/1997
97x1: Proposed Gift of Cash to Letter Carrier
The Standards of Conduct prohibit an employee of the U.S. Postal Service from accepting a Christmas gift of $10 in cash from a customer on his route.
1996
12/23/1996
DO-96-053: Final Rule on 18 U.S.C. § 208
OGE issues final rule describing circumstances under which the prohibitions contained in 18 U.S.C. § 208(a) would be waived.
11/06/1996
96x22: Regulations Applicable to Federal Employee Working on Presidential Campaign
OGE discusses the ethics regulations that apply in the case of a Federal employee, who is a high-ranking official of a department, and who works for a presidential campaign on issues related to his department's program.
11/05/1996
96x21: Application of 18 U.S.C. § 207
OGE summarizes the provisions in the Standards of Conduct that apply to an executive branch employee who works for a presidential campaign.
10/31/1996
96x20: When a Discount is Not a Gift
A "discount" on automobile insurance offered to those who were a GS-11 or above was not a gift within the meaning of the Standards of Conduct. The discount is based on actuarial statistics demonstrating that the cost of providing insurance to those in the discount group is less than the cost of providing insurance to others.
10/18/1996
96x19: 18 U.S.C. § 207 Exemption for Representations on Behalf of Indian Tribes
The primary statute applicable to negotiating for future employment by an executive branch official is 18 U.S.C. § 208. The post-employment restrictions of 18 U.S.C. § 207 contains an exemption from the application of its restrictions for representations made on behalf of Indian tribes. [Note: Executive Order 12834, referenced in this letter, has been revoked.]
10/16/1996
DO-96-038: Renewal of OGE 201 (Revised) and SF 278
OGE obtained OMB approval for renewal for three years of a revised OGE Form 201 (July 1996 edition) and an unmodified SF 278.
10/02/1996
DO-96-037: Interim Rule for Hatch Act Amendments
OGE publishes interim rule making technical amendments to various sections of the Standards of Conduct so that they conform with the Hatch Act Reform Amendments of 1993 (HARA). These changes do not purport to provide substantive guidance as to the HARA.
09/17/1996
96x18: Golf Tournaments Held Simultaneously with a Conference
OGE addresses the ethics issues raised by the participation of executive branch employees in a golf tournament that was held simultaneously with an annual conference of Federal Government employees.
09/05/1996
DO-96-036: Final Rule for "Widely Attended Gatherings"
OGE published a final rule to revise the widely attended gatherings gift exception at 5 C.F.R. § 2635.204(g). One of the amendments provides that agencies can authorize their employees to accept gifts of free attendance at widely attended gatherings from persons other than the sponsors of the event.
08/23/1996
96x17: Relationship among 5 U.S.C. § 3110, 18 U.S.C. § 208, and E.O. 12674
Section 101 (h) and (n) of E.O. 12674 does not conflict with 5 U.S.C. § 3110 (the nepotism statute) or 18 U.S.C. § 208. Spouses could work in the same office, but one spouse could not hire the other spouse to work there, or even recommend the other spouse for promotion.
08/21/1996
96x16: Amendments to 18 U.S.C. § 205 and 18 U.S.C. § 207
The amendment to section 205 allows employees to represent certain nonprofit organizations before the Government, and the amendment to section 207 added an exception allowing former high-level officials to represent certain candidates.
08/21/1996
DO-96-034: Amendments to 18 U.S.C. § 205 and 18 U.S.C. § 207
The amendment to section 205 allows employees to represent certain nonprofit organizations before the Government, and the amendment to section 207 added an exception allowing former high-level officials to represent certain candidates.
08/02/1996
96x14: Applicability of 18 U.S.C. § 207(c) to Detailee from State University
OGE determined that agency supplemental pay combined with pay from the university triggered the threshold to make the employee a "senior employee" subject to 18 U.S.C. § 207(a). [See IPA at 5 U.S.C. §§ 3371-3376]. OGE also discussed whether certain activities were therefore restricted under 18 U.S.C. § 207 and 5 C.F.R. Part 2637.
08/02/1996
96x15: Request for Waiver to 18 U.S.C. § 207(c) Restrictions for Reinstated Employee
OGE's Director determined that although a full year had passed between the employee's improper retirement and reinstatement, the situation did not qualify the employee for a waiver from 18 USC 207 restrictions, and the OGE determined that a waiver should not be used to mitigate the consequences of the previous, improper action.
07/10/1996
96x13: Employee's Representation of Client Before Federal Agency
OGE determined that the former employee was barred from representing an individual before a Federal agency because his involvement in the matter while a government employee, while not time consuming, could be interpreted as "substantial" for purposes of 18 U.S.C. § 207.
07/05/1996
96x11: 18 U.S.C. § 205 and Lawsuit by Employee Acting Pro Se
By appealing a decision in favor of the agency, the employee took a position contrary to his agency, and the agency claimed this action violated 18 U.S.C. § 205 and the agency's own ethics regulations. OGE determined the individual was not necessarily representing an intervening plaintiff in the suit, nor did the employee violate the current standards of conduct.
07/05/1996
96x12: Request for Waiver of 18 U.S.C. § 207(a) and (c) Restrictions
Under 5 CFR 2637, an agency may only submit such a waiver if the former employee's involvement in the matter for the private employer is needed on a continuous and comprehensive basis. The OGE determined, based on the employee's experience and expertise and anticipated work, that such a waiver could be granted.
06/17/1996
DO-96-031: Preparing to Use OGE Form 450
OGE provides guidance on when to disclose underlying holdings on the OGE Form 450 for mutual funds, pensions, and similar investments.
06/06/1996
DO-96-030: Extension of Temporary Waiver from Restrictions of 18 U.S.C. § 207(c) and (f)
OGE extends the temporary waiver of the restrictions in 18 U.S.C. § 207(c) and (f) so that it will remain effective through October 31, 1996, or until the effective date of any remedial legislation, whichever occurs earlier.
06/04/1996
DO-96-029: Standardizing Alternative to Annual Confidential Financial Disclosure Reports
OGE asks agencies to respond to survey about the usefulness of a standardized "certificate of no new interests" as an alternative to an annual OGE Form 450.
04/25/1996
96x10: Divestiture of Prohibited Holdings by Spouse
OGE determined that assets controlled solely by a spouse could be considered financial interests for a government employee that would trigger the appearance of or actual conflicts of interest, and could require divestiture.
04/10/1996
96x9: Effect of 5 C.F.R. Part 2635 on All Prior Agency Standards of Conduct Regulations and Policies
The specific policy in dispute was dress code policy, which the OGE said was not abolished when the Standards of Ethical Conduct were passed in February, 1993.
04/04/1996
96x8: Applicability of One-Year Ban of 18 U.S.C. § 207(c)
The OGE determined based on information provided, that the former employee could represent private clients before the agency. The OGE found that rules requiring a cooling off period did not apply to the employee.
03/27/1996
96x7: Post-Government Employment Bar under 18 U.S.C. § 207(a)(1)
The OGE determined that for purposes of 18 U.S.C. § 207, an organization's study and agency A and B's rule making were part of the same mandate, and thus were part of the same particular matter. The OGE also concluded the employee's participation was personal and substantial.
03/19/1996
96x6: Position with Private Partisan Organization
The ethics laws and regulations do not preclude an employee from serving in a leadership position with a private partisan organization provided the employee does not take actions while serving that violate an ethics provision, such as 18 U.S.C. § 205.
02/28/1996
96x5: Honoraria Ban Declared Unenforceable
The Office of Legal Counsel of DOJ issued an opinion stating that the recent Supreme Court decision in NTEU v. U.S. made the statutory prohibition on honoraria unenforceable. Other restrictions remain in effect.
02/28/1996
96x4: Qualified Diversified Trust (Blind Trust)
An executive branch employee who has a qualified diversified trust (a blind trust) under the Ethics in Government Act may not instruct the independent trustee of the trust to sell all equity positions and invest in bonds.
02/28/1996
DO-96-012: Honoraria Ban Declared Unenforceable
The Office of Legal Counsel of DOJ issued an opinion stating that the recent Supreme Court decision in NTEU v. U.S. made the statutory prohibition on honoraria unenforceable. Other restrictions remain in effect.
02/27/1996
DO-96-011: New OGE Form 450 (1996 Edition)
OGE issues the new OGE Form 450, Confidential Financial Disclosure Report. This form replaces the SF 450.
02/08/1996
96x3: Confidential Financial Disclosure Reporting
OGE responds to an executive branch employee's complaints that the confidential financial disclosure system is arbitrary, dangerous, and intrusive.
02/01/1996
DO-96-007: 1994 Conflict of Interest Prosecution Survey
1994 Conflict of Interest Prosecution Survey
01/29/1996
DO-96-006: New Reporting Categories for SF 278
Section 20 of the Lobbying Disclosure Act of 1995 (Pub. L. 104-65) amended the Ethics in Government Act of 1978 to require new categories of amount or value on public financial disclosure reports for assets, income and liabilities exceeding $l million (except for interests of a spouse or dependent child, unless jointly held with the filer). This applies to all SF 278 reports filed on or after January 1, 1996.
01/26/1996
96x2: Fundraising in Official Capacity
Absent express authority, a member of an executive branch commission may not engage in official fundraising for a private nonprofit organization.
01/19/1996
96x1: Agency Authority Regarding Investigations and Corrective Action for Ethics Violations
An agency has authority under 5 C.F.R. § 2635.106(b) to take corrective action for ethics violations by its employees. An agency must look to its own regulations for authority to conduct investigations into ethics violations.
01/11/1996
DO-96-002: Post-Employment Pledge Required by E.O. 12834 (Clinton Administration)
The Counsel to President Clinton confirmed that Executive Order 12834 did not apply to employees paid at level 4 of the Senior Executive Service (SES). [Note: Executive Order 12834 has been revoked.]
01/04/1996
DO-96-001: Short-Term Waiver under 18 U.S.C. § 207(c)(2)(C)
Temporary waiver extends to employees whose basic rate of pay on December 28, 1995 was less than that of the rate of basic pay payable for level V of the Executive Schedule and as a direct result of EO 12984 but who would have their basic rate of pay increased to an amount equal to or greater than the rate of basic pay for level V of the ES.
1995
12/19/1995
DO-95-045: Effect of Pay Raise on Senior Post-Employment Restrictions
If the rate of basic pay for Senior Executive Service (SES)-type positions is increased, many employees in SES and similar positions will be "Senior Employees" for purposes of the one-year post-employment bar in 18 U.S.C. § 207(c). [Note: Executive Order 12834, referenced in this DAEOgram, has been revoked.]
12/13/1995
DO-95-043: Financial Disclosure Guidance
OGE answers several questions about the public and confidential financial disclosure systems, such as using official time to complete the forms and public access to completed SF 278s.
12/11/1995
95x14: Uncompensated Service on Board of Directors
An agency's general counsel who has been asked to serve as an uncompensated member of the board of directors of a nonprofit advocacy group musts comply with the restrictions in 5 U.S.C. app. 4 § 502(a)(2).
12/01/1995
95x13: Agency Holiday Parties
This memorandum discusses whether there was a violation of 5 C.F.R. part 2635 when an agency employee distributed a flyer inviting employees to an agency Halloween party.
11/15/1995
95x11
Retracted in March 1997.
11/15/1995
95x12: Former Employee's Representation of Current Employee Before the Agency in an EEO Complaint
If an individual served (while a current Government employee) as a representative in an EEO complaint pursuant to the exception at 18 U.S.C. § 205(d), he should not be deemed to have "participated" in the complaint "as such officer or employee" within the meaning of 18 U.S.C. § 207(a)(1).
08/31/1995
DO-95-032: Exemption from 18 U.S.C. § 208 for Interests Arising from Federal Government Employment or from Social Security or Veterans' Benefits
OGE issues an interim rule establishing an exemption from 18 U.S.C. § 208 for an employee's interest in his Government salary and his interest in Social Security or veterans' benefits.
07/31/1995
DO-95-030: Confidential Financial Disclosure Update
OGE updates agencies on initiatives to improve the confidential financial disclosure system.
07/24/1995
95x10: Privatization and the Conflict of Interest Statutes
OGE discusses the issues that arise for executive branch employees participating in privatizing Government functions. Issues arise under the Procurement Integrity Act and under the conflict of interest statutes in Title 18 of the U.S. Code.
07/21/1995
95x9: Outside Earned Income Ban and Royalties
OGE discusses the background of the earned income ban, the meaning of "earned income," and several questions related to the honoraria ban in 5 U.S.C. app., § 501(b). [Note: The honoraria ban was subsequently held unconstitutional by the U.S. Supreme Court in
>U.S. v. National Treasury Employees Union, 513 U.S. 454 (1995).]
07/10/1995
95x8: Proposed Agreement between Government Agency and Former Employee's Nonprofit Organization
Multiple ethics and non-ethics issue arise when a former Government employee proposes to have a nonprofit organization which he founded enter into an agreement with his former agency to coordinate the agency's anniversary celebration.
06/26/1995
DO-95-026: Sanjour v. Environmental Protection Agency
The U.S. Court of Appeals for the District of Columbia Circuit sustains a First Amendment challenge to a portion of 5 C.F.R. § 2635.807, the section within the Standards of Conduct entitled "Teaching, speaking, and writing."
06/02/1995
95x7: Agency Authority under 5 C.F.R. § 2635.604(d)
An agency has the authority, not subject to review by OGE, to determine that an employee must take leave in order to pursue private employment opportunities if it decides that the employee's disqualification would materially impair his ability to do his Government job.
05/22/1995
95x5: 18 U.S.C. § 208, 401(k) Plans, and Appearance of Impartiality
OGE analyzes whether an employee has a financial interest in a former employer (a law firm) that will be affected directly and predictably by his investigation of a company that is related to another company that was a client of the firm. OGE also addresses appearance concerns.
05/22/1995
95x6: Individuals Eligible for Certificates of Divestiture
OGE has authority to issue Certificates of Divestiture under the provisions of section 1043 of the Internal Revenue Code only to "eligible individuals." State employees and resident relatives of Federal employees are not "eligible individuals."
04/20/1995
DO-95-020: Draft revision to confidential financial disclosure report form (SF 450)
OGE describes proposed changes to the SF 450.
04/14/1995
95x4: Limits on Use of Government Property
Once an employee has brought alleged fraud to the attention of the appropriate authorities for their investigation, there can be no necessity for ongoing unauthorized use of Government resources by the employee to conduct an independent investigation.
04/13/1995
95x3: Attachments to the Confidential Financial Disclosure Form
The confidential financial disclosure regulations permitted filers to attach a spreadsheet containing the required information to the SF 450, as long as the information is presented in a clear, concise and understandable manner.
04/11/1995
DO-95-019: Confidential financial disclosure and special Government employees serving in a position for more than one year
OGE allows agencies to collect follow-on new entrant reports simultaneously once each year for all its term SGEs or for groups of term SGEs such as specific advisory committees rather than on the anniversary of the appointment.
03/13/1995
95x2: Application of 18 U.S.C. § 205
This responds to your letter dated January 13, 1995, in which you requested written advice from this Office on whether you and a member of your staff could continue your representation of a former [agency] employee in a security access eligibility proceeding before [a] Department.
03/03/1995
DO-95-011: Effect of Supreme Court Decision about Honoraria Ban
The U.S. Supreme Court held that the honoraria ban in the Ethics in Government Act violates the First Amendment rights of the persons on whose behalf the case was brought. OGE notes that employees continue to be subject to other statutory and regulatory provisions that restrict their ability to accept honoraria under certain circumstances.
02/15/1995
DO-95-008: Agency Supplementation of New Standards of Ethical Conduct and Revocation of Superseded Old Standards
OGE updates departments and agencies on supplemental standards regulations. OGE also requests the cooperation of agencies in completing the process of revocation of superseded portions of their old standards of conduct.
02/13/1995
95x1: Conflict of Interest Issues Raised by Spouse's Position as Partner in Law Firm
OGE addresses issues arising under 18 U.S.C. § 208 when the spouse of the Government employee is a partner in a law firm. The spouse's clients include major institutions, some of which appear before the employee's agency.
01/19/1995
DO-95-005: Improving the Confidential Financial Disclosure System
OGE updates agencies on its assessment of the need for improving the confidential financial disclosure system.
01/12/1995
DO-95-003: 1993 Conflict of Interest Prosecution Survey
1993 Conflict of Interest Prosecution Survey
01/11/1995
DO-95-002: Revised SF 278, Public Financial Disclosure Form (1994 Edition)
OGE issues the June 1994 edition of the Public Financial Disclosure Form (SF 278) and summarizes the changes to the form.
1994
11/29/1994
DO-94-044: Holiday Gifts and Celebrations
OGE reminds employees about the ethics rules regarding holiday gifts and celebrations.
11/14/1994
94x19: Application of Standards of Ethical Conduct to a Sales Incentive Program
The acceptance by an executive branch employee of a "favorable price" based upon a company's incentive program would violate the Standards of Ethical Conduct. Such a favorable price would fall within the definition of a "gift" under the Standards. An employee's eligibility is based upon the employee's official position and acceptance is prohibited.
11/03/1994
94x18: Discussion of "Use of Nonpublic Information" and "Teaching, Speaking and Writing" Sections in the Standards of Ethical Conduct
OGE explains example 5 in the "Use of nonpublic information" section of the Standards of Ethical Conduct, at 5 C.F.R. § 2635.703. Additionally, OGE generally discusses the "teaching, speaking and writing" section of the Standards, at 5 C.F.R. § 2635.807.
10/05/1994
94x17: Impact of 60-Day Threshold on Special Government Employees Filing SF 278s and SF 450s
SGEs who do not perform the duties of their position for more than 60 days in a calendar year do not file SF 278s. SGEs are not subject to a 60-day threshold service requirement for filing new entrant SF 450s. SGEs should file SF 450s at the time of their initial one-year appointment and upon any reappointment or redesignation.
10/04/1994
DO-94-034: Reports of Referral for Possible Prosecution
OGE reminds agencies to provide the Director of OGE with follow-up reports of any indictment, information, or declination of prosecution as well as any disciplinary or corrective action initiated, taken, or to be taken by the agency.
10/03/1994
94x16: Defining "Employment" as used in 18 U.S.C. § 208
OGE believes it to be expedient to advise employees that the Department of Justice has not issued a definitive ruling on whether the terms "employee" and "employment" as used in 18 U.S.C. § 208 include an independent contractor or consulting situation. Employees should be counseled to seek waivers with this fact in mind.
09/28/1994
94x15: Application of 18 U.S.C. § 205 to Meetings Between Representatives of Employee Organizations and Agency Officials
18 U.S.C. § 205 bars an employee from representing an employee organization before the Government unless it was part of the employee's official duties, or met one of the exceptions in the statute. There is no indication that there is a general exemption from the prohibition for employees when representing employee interest groups.
09/20/1994
DO-94-032: Notification Requirement for Referrals of Possible Violations of Federal Conflict of Interest Statutes
OGE reminds agencies of the requirement to notify it of referrals to the Attorney General of possible violations of federal conflict of interest statutes and recommends that they use the OGE Form 202 to do so.
09/14/1994
DO-94-031: Improving the Confidential Financial Disclosure System
OGE issues guidance about designating positions as those which must file a confidential financial disclosure report.
07/15/1994
94x14: Speaking Engagement at Conference Sponsored by Non-Federal Entity
OGE discusses whether a Government employee may participate in an official capacity in a conference sponsored by a private entity.
06/27/1994
94x13: Applicability of 18 U.S.C. § 207(a)(2)
OGE advises an agency on the application of 18 U.S.C. § 207(a)(2) to a former employee who had official responsibilities relating to the agency's insurance program. OGE discusses whether the restriction would apply to an individual that was processing insurance registration forms.
06/09/1994
94x10(2): Employee’s Obligation under 5 C.F.R. § 2635.502(a)
Follow-up to 94x10(1): The section 2635.502(a) analysis is not required simply because a person with whom the employee has a covered relationship has a financial interest in a matter. Only when a household member has a financial interest in a matter is the employee required by section 2635.502(a) to undertake the reasonable person analysis.
06/06/1994
94x12: Waiver of the Restrictions under 18 U.S.C. § 207(c)(1)
The one-year restriction on certain senior personnel applicable under 18 U.S.C. § 207(c)(1) may be waived by the Director of OGE in certain circumstances pursuant to the authority of 18 U.S.C. § 207(c)(2)(C). Neither the statute nor the implementing regulation provides any authority to grant a waiver to an individual personally.
05/25/1994
94x11: Disclosing Outstanding Fees as a Liability on a Public Financial Disclosure Report
OGE found that fees for legal or other services, like any other liability, are required to be reported unless they fall within one of the exceptions specifically enumerated in 5 U.S.C. app. § 102(a)(4).
05/10/1994
DO-94-026: Reporting Period For Incumbent Public Financial Disclosure Reports
OGE clarifies the reporting periods of public financial reports filed by incumbents.
04/19/1994
DO-94-018: Supreme Court Grants Petition for Certiorari in Case Challenging Honoraria Ban
The U.S. Supreme Court granted the petition for certiorari filed by the Department of Justice asking the Court to review the decision of the Court of Appeals for the District of Columbia Circuit in NTEU v. United States concerning the honoraria ban at 5 U.S.C. app. § 501(b).
03/30/1994
94x10(1): Employee’s Obligation under 5 C.F.R. § 2635.502(a)
Although an employee has a "covered relationship" with the employee's brother under 5 C.F.R. § 2635.502, the employee is not required to obtain authorization before participating in a hearing because the brother is not a party and does not represent a party.
03/22/1994
DO-94-013: Fundraising Activities
OGE recommends that agencies resolve questions about Federal employees' nonmonetary charity drives at the Federal workplace by referring to the provisions of 5 C.F.R. part 2635, particularly the provisions in subpart G, and the provisions of applicable GSA regulations.
03/09/1994
94x9: Executive Branch Employee's Obligation to Satisfy Just Debts
The Standards of Ethical Conduct for Employees of the Executive Branch state that all executive branch employees are responsible for satisfying in good faith their just financial obligations, especially those that are imposed by law. Agencies do not have the authority to act as collection agents on behalf of an employee's creditors.
02/23/1994
94x8: Application of 18 U.S.C. § 205 to Agency Employees Providing Representational Services
Determining whether a representational activity is permitted by 18 U.S.C. § 205 requires deciding whether the activity is in the proper discharge of an employee's official duties. It must be determined on a case by case basis if the employee's representation in the proceeding is inconsistent with the faithful performance of the employee's duties.
02/08/1994
DO-94-008: Extension of Grace Period for Certain Existing Agency Standards of Conduct
OGE publishes final rule on February 2, 1994, which grandfathers for up to an additional year certain agency standards of conduct regulations in effect prior to February 3, 1993.
02/07/1994
94x5: Problems with an Agency Creating a List of Prohibited Sources
An agency's creating, publishing, and keeping current a list of Department prohibited sources under 5 C.F.R. § 2635.203(d)(5) would present a number of problems. An organization that is a prohibited source with respect to one of the separate components would not necessarily be a prohibited source with respect to another component.
02/07/1994
94x7: Application of 18 U.S.C. § 205 to a Proposed Representation
A Government employee seeking to represent a private party in a Federal court action must take great care to ensure that he or she does not violate 18 U.S.C. § 205 even where the United States is not a named party. Other statutes must also be considered, particularly those that restrict a Government employee from engaging in outside employment.
02/07/1994
94x6: Applicability of Standards of Ethical Conduct
OGE discusses whether a particular agency is considered an agency under the Standards of Ethical Conduct. The agency treated itself as an executive agency for purposes of application of the ethics laws and regulation. As a result, OGE concluded that the Standards apply to the agency's employees.
02/02/1994
DO-94-006: Department of Justice Files Petition for Certiorari in Case Challenging Honoraria Ban
The Department of Justice determines that it will not seek to enforce the honoraria ban with respect to executive branch employees who receive honoraria between September 28, 1993, and the date on which the Supreme Court issues its decision in NTEU v. United States.
01/14/1994
DO-94-002: Guidance on Public Financial Disclosure (SF 278) Late Filing Fee Waivers
OGE discusses the general categories under which it has granted waivers of the fee for filing the public financial disclosure form late.
01/13/1994
94x4: Confidential Financial Disclosure System
OGE discusses the reasoning behind having a supervisor review confidential financial reports. OGE explains that by doing so, agency ethics staff can help employees avoid conflicts of interest. Additionally, confidential information disclosed is strictly protected by the Ethics Reform Act of 1989.
01/13/1994
94x2: When Free Attendance to a Reception is a Prohibited Gift
OGE advises on whether an employee can accept a reception in their honor from their former non-governmental employer. Under 5 C.F.R. § 2635.203, free attendance to a reception can be a prohibited gift if given because of the employee's official position. However, the "widely attended gathering" exception may apply, allowing the employee to attend.
01/13/1994
94x3: OGE Comments about Agency's Proposed Procedure for Handling Complaints against Administrative Law Judges
OGE reviews and comments on proposed procedures for handling complaints that administrative law judges at an agency have engaged in misconduct during the hearings and appeals process. OGE comments on supplementing provisions of the Standards of Ethical Conduct and how different conflict of interest laws apply to special Government employees.
01/10/1994
94x1: Determining whether a Government Employee can Participate as a Speaker at a Conference
OGE discusses the factors to be considered in order to determine whether a Government employee can participate as a speaker in a conference conducted by a non-Governmental entity. OGE also discusses the parameters outlined in 5 C.F.R. § 2635.807(b) for use of Government title in nonofficial speaking engagements.
1993
12/22/1993
93x40: Prior Approval of Outside Activities
5 C.F.R. § 2635.803 provides that, when required to do so by agency supplemental regulations, an employee shall obtain prior approval before engaging in an outside activity. This section applies to uncompensated as well as compensated outside activities.
12/20/1993
93x38: Time Required to Complete the SF 450 Form, Privacy Concerns, and Intra-Office Review of the SF 450 Form
Employee’s may be permitted by their agency to use work hours to complete the SF 450, the information required on the form is targeted at identifying conflicts of interest, and supervisors may review employee SF 450 forms but such information is strictly protected by executive branch principles of confidentiality and the Federal Privacy Act.
12/20/1993
93x37: Improvements to the SF 450 Form
OGE responds to suggestions to improve the SF 450 form, such as allowing employees to attach standard brokerage statements in lieu of actual form entries; allowing employees to separately identify assets held by the employee, spouse, and dependent children; using the excepted investment fund (EIF) concept; and using different disclosure forms for special Government employees (SGE).
12/20/1993
93x39: SF 450 Form and Excepted Investment Funds
Excepted investment funds (EIF) allow for reduced disclosure because these funds are widely held, widely diversified or publicly traded, and not self-directed. However, in some circumstances, EIF funds may not be as widely diversified and employees may have knowledge of the fund’s holdings, presenting a potential to violate 18 U.S.C. § 208.
12/15/1993
93x36: Privacy Concerns and Financial Disclosure Requirements of SF 450
The justifications for the submission of an SF 450 financial disclosure form are to detect potential matters which might be expected to present conflicts between an employee’s private financial interests and official responsibilities and to help employees avoid 18 U.S.C. § 208 violations.
12/09/1993
93x35: Privacy Concerns and Financial Disclosure Requirements of SF 450
The criminal conflict of interest statute, 18 U.S.C. § 208 is a primary justification for public and confidential financial disclosure requirements. The SF 450 form is limited to matters expected to present conflicts between an employee’s private financial interests and official responsibilities with careful weighing of privacy rights.
12/06/1993
DO-93-037: Elimination of bank account reporting and related matters on the SF 450 (Confidential Financial Disclosure Form)
OGE publishes a final rule eliminating the disclosure requirement for information about bank accounts and certain other nonconflicting assets on the SF 450.
12/06/1993
DO-93-036: 1992 Conflict of Interest Prosecution Survey
1992 Conflict of Interest Prosecution Survey
11/22/1993
DO-93-033: Agency Supplemental Standards Regulations
44 agencies notified OGE that they intend to issue agency supplemental regulations.
11/16/1993
93x34: Privacy of SF 450 Financial Disclosure Information and Waivers Issued to Advisory Committee Members under 18 U.S.C. § 208(b)(3)
Waiver determinations set forth in 18 U.S.C. § 208(d)(1) must be balanced against the nondisclosure mandate of SF 450 information set forth in 5 U.S.C. app. § 107(a)(2). Agencies may withhold from their waiver determinations any portions entitled to exemption from required release pursuant to the Freedom of Information Act (FOIA).
11/15/1993
DO-93-031: Recent Settlements of Civil Penalty Actions Brought under 18 U.S.C. § 216(b)
Two recent civil penalty cases brought by the U.S. Department of Justice pursuant to 18 U.S.C. § 216(b) were settled with the defendant in each case making a payment of $5,000 to the United States Treasurer.
11/10/1993
93x33: Requirements of SF 450, Confidential Financial Disclosure Report
The SF 450 form is limited to matters – including disclosure of a spouse’s financial information – which might be expected to present conflicts between an employee’s private financial interests and official responsibilities with careful weighing of privacy rights.
11/09/1993
93x32: Agency Determinations of the Applicability of 18 U.S.C. § 207
5 C.F.R. §§ 2637.101(c)(8) and 2637.201(e) and CACI., Inc. v. U.S. give weight to an agency’s opinion regarding the application of 18 U.S.C. § 207 to one of its former employees. Formal action is not necessarily required for something to be a "particular matter." Indeed, internal deliberations within an agency may be a "particular matter."
10/26/1993
93x31: Compensation Arrangements for Former Federal Government Employees and 18 U.S.C. § 203
18 U.S.C. § 203 does not restrict a compensation arrangement for former federal employees that is based on the estimated receipts from firm billings for services provided after Government service rather than the actual receivables of the firm (which may include fees for representations made while the partners were still Government employees).
10/22/1993
93x30: Government Employee Status
Usually federal compensation creates government employment status; however, commission members are not government employees where the statute establishing the commission states that its members shall not be considered employees. That the members are federally appointed for a term and counsel on policy does not alone create an employment status.
10/21/1993
93x29: Accepting Benefits and Privileges from a State University, 5 C.F.R. § 2635.203, and 5 C.F.R. § 2635.204
Under 5 C.F.R. §§ 2635.203 and 2635.204, employees of an agency with a facility located next to a State University, may not accept free borrowing privileges at the University libraries, discounts to University events where the rate is not broadly available to all government employees, or discounted shuttle rates below market value.
10/14/1993
93x28: Eligibility to Serve as a Fiduciary of a Blind Trust
Under 5 C.F.R § 2634.406(a)(2), eligibility to serve as a fiduciary of a qualified trust is limited to financial institutions, not more than 10 percent of which are owned or controlled by a single individual. The regulation fully conforms to 5 U.S.C. app. §102(f).
10/07/1993
93x27: Mutual Funds that Hold Stock in Companies Doing Business with an Employee’s Agency
No government-wide statute or regulation bars a federal employee from buying into a mutual fund that holds stock in companies doing business with the employee's agency; however, specific agencies may have such rules. 18 U.S.C. § 208(a) bars an employee from acting in a matter having a direct and predictable effect on a company in which he owns stock.
10/04/1993
93x26: Same Particular Matter and 18 U.S.C. § 207(a)
18 U.S.C. § 207(a) prohibits a former government employee from making communications to federal agencies and courts concerning funds to resettle a community when the employee was involved negotiating an related agreement while employed by the government. Section 207(a) does not bar post-employment communications to Congress or legislative staff.
10/01/1993
93x25: Covered Relationship with Private Attorney's Partner
An employee has a "covered relationship" with the employee's private attorney's partner under 5 C.F.R. § 2635.502, but that relationship does not automatically require recusal where the partner is representing a client before the employee's agency.
09/29/1993
DO-93-027: Court of Appeals Decision in Case Challenging Honoraria Ban
09/24/1993
93x24: Personal Use of Government E-Mail System
To determine if employee may use e-mail for non-government purposes, they must determine if the use is authorized, either by their own agency policies, or policies of the GSA.
09/17/1993
DO-93-025: Proposed amendment to confidential disclosure rule
OGE eliminates the requirement to disclose assets and income relating to accounts in depository financial institutions (banks, savings and loan associations, credit unions, etc.), money market mutual funds and accounts (money market, not other mutual funds), and U.S. Government obligations (U.S. savings bonds and Treasury bills).
09/17/1993
DO-93-026: Revised OGE Form 201 (1993 Edition)
OGE issues the 1993 version of the OGE Form 201, Request to Inspect or Receive Copies of SF 278 Executive Branch Personnel Public Financial Disclosure Report or Other Covered Record.
09/15/1993
93x23: Fundraising in a Personal Capacity and Prohibited Sources
An agency ethics official should look at several factors to determine whether an entity that is related to a corporation (a prohibited source) is a subsidiary controlled by that corporation for purposes of the Standards of Conduct and the fundraising prohibition in 5 C.F.R. § 2635.808(c).
09/03/1993
93x22: Council Members of the District of Columbia and 18 U.S.C. § 208
The statutory language of 18 U.S.C. § 208 makes clear that it applies to members of the Council of the District of Columbia.
08/30/1993
93x21: Employee Legal Defense Funds, 18 U.S.C. § 209, and Crandon v. U.S.
18 U.S.C. § 209 and Crandon v. U.S. do not bar payments from a legal fund on behalf of a Federal employee if persons unconnected to the employee's official duties oversee the fund, the donors' identities remain unknown, the money directly pays the legal fees, the donations are not from prohibited sources, and the employee does not solicit the funds.
08/27/1993
93x20: Re-Employment Contracts and 5 C.F.R. Part 2635
Under 18 U.S.C. § 208(a) and 5 C.F.R. part 2635, an executive branch employee is not prohibited from retaining reemployment rights with a former private employer; however, the employee may not participate personally and substantially in a particular matter that would affect that former employer, unless the employee has obtained a statutory waiver.
08/25/1993
93x19: Answers to Recurring Questions about Fundraising
Fundraising issues covered in this opinion include participating in fundraising as part of one's official duties, complying with the Combined Federal Campaign regulations, and using one's official title.
08/25/1993
DO-93-024: Answers to Recurring Questions about Fundraising
Fundraising issues covered in this opinion include participating in fundraising as part of one's official duties, complying with the Combined Federal Campaign regulations, and using one's official title.
08/11/1993
93x18: Adequacy of Agency’s Finding of “Agency Interest” in a Widely Attended Gathering
The OGE said such free attendance at meetings would probably be prohibited by 5 C.F.R. § 2635.202, unless allowed as a widely attended gathering, for which the OGE determined this did not qualify. The OGE determined that a blanket determination that meetings of this time are in the agency's interest was inadequate.
08/09/1993
DO-93-023: Attorney General's Statement of Covered Activities Required by Section 4(d) of Executive Order 12834
Clinton Administration Ethics Pledge--The Attorney General issues a Statement of Covered Activities describing the activities on behalf of a foreign government or foreign political party that will require registration. [Note: Executive Order 12834 has been revoked.]
08/04/1993
93x17: Post-Government Employment Activities with Nonprofit Organization with Same Goals as Agency
18 U.S.C. § 207 doesn't prohibit employee from serving on the board and may fully participate absent an appearance before the government. The OGE also determined that the nonprofit's program is not the same as the agency's program, but the employee should be careful about coordinating between the two.
07/22/1993
93x16: Discussion of Meaning of "or otherwise determined by the agency," in 5 C.F.R. § 2635.808(b)
Questions discussed: (1) if allowing fundraising on official time must be from statute; (2) if fundraising on official time can be done without statutory or regulatory authority; (3) must the determination be by the head of the agency; (4) when allowed to fundraise on behalf of a nonprofit; (5) whether this clause eliminates the need for a waiver.
06/28/1993
93x15: Widely Attended Gathering Exception and Social Events
An employee may receive free admission to attend a widely attended gathering (which must be of mutual interest to a number of parties) of a purely social nature of the agency designee determines the employee's attendance is in the best interest of the agency. Also discussed specific press dinner events.
06/24/1993
93x14: Status of Individuals Appointed to a Federal Advisory Committee
Individuals appointed to represent a group in an advisory role are not considered federal employees for purposes of the conflict of interest statutes. They are also not required to file financial disclosure forms.
06/10/1993
93x13: Applicability of 18 U.S.C. § 207(c) Restrictions; Post-Employment Activity; ES-5 Pay Scale
The OGE Director can grant a waiver to 18 U.S.C. § 207(c) restrictions if the restrictions impose undue hardship on the requesting agency, and that granting a waiver would not create the potential for undue influence or unfair advantage. An exemption was never requested of the agency, and is not applied for individuals.
06/03/1993
93x12: Validity of Waiver Issued Pursuant to 18 U.S.C. § 208(b)
The OGE determined that when a waiver was offered by Agency A to members of an office, and that office was later transferred to Agency B, Agency B had the authority to deny continuation of that waiver.
05/07/1993
93x11: Applicability of 26 U.S.C. § 1043 to Sale by a Government Official
Discusses rules for divestiture, contemplated sale of asset management company, and states that a divestiture cannot leave the official with a substantive stake in the company which is subject to the future performance of its business affairs, as that would provide an unfair or unintended benefit to the government official.
04/21/1993
93x10: One-Year Ban in 18 U.S.C. § 207(c)
For purposes of applying the restriction of 18 U.S.C. § 207(c), the fact that the employee holds a position that has been held by persons paid at ES-4 is irrelevant. The critical factor is not the position, but the employee's ES level, i.e., the employee's basic rate of pay.
03/23/1993
93x9: Application of Honoraria Ban to Compensation Received for Trial Testimony
The OGE stated that since the honoraria ban was statutorily created by Congress, and did not include certain exceptions for teaching, speaking and writing outside of a federal employees official capacity (though many criticized this lack of exception), the employee was required to return an honoraria he received.
03/12/1993
93x8: Meaning of “Targeted Solicitation” in Fundraising Provision of Standards of Conduct
Because the group being solicited were not grouped based on their connection to the agency, even though some in the group would individually be considered prohibited sources, this solicitation would not be considered targeted solicitation under 5 C.F.R. § 2635.808. Also discusses free admission to event, and fundraising in official capacity.
03/10/1993
93x7: $20 De Minimis Exception to Gift Prohibition
OGE discusses concerns about the de minimis exception, and how any risks of unethical behavior were considered and minimized during the process of approval of the exception.
03/10/1993
93x6: Prohibition Against Using Government Resources to Facilitate Meeting of Private Organization
The Standards of Conduct (5 C.F.R. part 2635) prohibits executive branch employees from personally using public office for private gain, and may not use federal property for other than authorized activities. Decisions as to exceptions to this rule are within the Department's discretion.
03/04/1993
93x5: Prohibited Holdings Rule of Agency and Employee Retention of Prohibited Holding during Probationary Period
An employee may during the probationary period retain conflicting interests and simply recuse himself from matters involving those conflicting interests, so long as it does not conflict with agency supplementary regulations.
02/24/1993
93x4: Applicability of 18 U.S.C. § 207(b); Post-Employment Activities
The OGE determined that the reports would not likely run afoul of 18 U.S.C. § 207(b), but that the former federal employee should be careful not to disclose unreleased information he obtained while working for the government.
02/16/1993
93x3: General Discussion of the Honoraria Ban
Discusses how the Ethics Reform Act of 1989 restricted federal employees from receiving certain honoraria for speaking, articles, or appearances, and how the regulations in 5 C.F.R. parts 2635 and 2636 may affect the federal employee and his ability to receive an honoraria.
01/22/1993
93x2: President Clinton's Executive Order Entitled "Ethics Commitments by Executive Branch Appointees"
The EO requires certain appointees to sign an ethics pledge establishing a contractual commitment regarding their activities after they have been employed as "senior appointees" or participated personally and substantially in trade negotiations. Memo discusses details of who must sign, what to sign, when it must be signed, waiver and enforcement provisions. [Note: Executive Order 12834 has been revoked.]
01/15/1993
DA-01-15-93: Applicability of the Clinton Administration ethics guidelines
The Clinton Administration ethics pledges will not apply to individuals in career positions, regardless of their pay grade, nor to the non-career personnel of the former G.H.W. Bush Administration who may be asked to stay on after January 1993 for a brief period. [Note: Executive Order 12834 has been revoked.]
01/05/1993
93x1: Obligation to Report Violations of Federal Statute
The OGE believes an obligation to report "waste, fraud, abuse, and corruption" encompasses an obligation to report a violation of a Federal statute, such as the Computer Security Act of 1987. However they do not interpret the Executive Order provides authority to require a written requirement.
1992
12/24/1992
DA-12-24-92: Gift thresholds on financial disclosure reports
OGE reminds agencies that the recent changes to the gift thresholds are not reflected on the public financial disclosure form. OGE is revising the form to reflect the current thresholds.
12/22/1992
92x28: Exception to the One-Year Representational Bar ("Cooling-Off Period") of 18 U.S.C. § 207(c)
Eligible former senior employees may engage in representational activities before a component of their former department or agency if that component has been designated by the Director of OGE pursuant to 18 U.S.C. § 207(h) as a separate agency or bureau within the department or agency.
12/10/1992
92x25: Waivers Pursuant to 18 U.S.C. § 208(b)(3) for Members of Advisory Committees
Pre-meeting activities, such as reviewing written materials, by advisory committee members in preparation for a meeting might rise to the level of personal and substantial participation under 18 U.S.C. § 208(a). Waivers under 18 U.S.C. § 208(b)(3) must be granted prior to such participation by an advisory committee member.
12/10/1992
92x26: Exclusion of Complimentary Newsletter Subscriptions from the Definition of "Gift"
A free subscription to a newsletter that is offered to all Federal employees is excluded from the definition of "gift" found at 5 C.F.R. § 2635.203.
12/10/1992
92x27: Issues Arising from Loan to Superior from Subordinate
Loans between superiors and their subordinates are to be discouraged. Because of the debtor-creditor relationship, the subordinate would be a person with whom the superior would have a "covered relationship" within the meaning of 5 C.F.R. § 2635.502(b)(1).
11/04/1992
DA-11-04-92: 1990-91 Conflict of Interest Prosecution Survey
1990-91 Conflict of Interest Prosecution Survey
10/19/1992
DA-10-20-92: Additional guidance on confidential financial disclosure
OGE discusses the filing cycle for confidential financial disclosure (Oct 1 through Sep 30), the filing of the form by special Government employees, the designation of positions as filing positions, and several other issues.
10/05/1992
92x24: Applicability of the Honoraria Ban to Compensation for Participation as Panelist at Symposium
09/30/1992
92x23: Solicitation and Acceptance of Funds from Prohibited Sources
The Standards of Conduct prohibit a Federal employee from soliciting funds or services from representatives of companies doing business with the Federal Government and using those funds for purposes of the private organization.
09/03/1992
DA-09-03-92: Developing written procedures for the public and confidential financial disclosure systems
Agencies are required to develop written procedures for reviewing, collecting, and evaluating the public and confidential financial disclosure systems.
08/25/1992
DA-08-25-92: New confidential financial disclosure form (SF 450)
OGE announces that OMB and GSA have approved the new confidential financial disclosure form (SF 450).
07/31/1992
92x22: Charitable Contributions Made on Behalf of Federal Employees
A charitable contribution made on behalf of a Federal employee may not qualify as a gift if it were made as part of a settlement. However, individual circumstances must be evaluated to determine whether such a contribution is consistent with the Standards of Ethical Conduct prohibiting gifts from outside sources.
07/30/1992
92x21: Interpretation of Honoraria Ban's Exemption for a "Series" of Articles
A series of articles produced in a magazine is excluded from the honoraria ban only if each article, of at least three, is intended to be part of a series and not a stand-alone piece. [Note: The honoraria ban was subsequently held unconstitutional by the U.S. Supreme Court in
>U.S. v. National Treasury Employees Union, 513 U.S. 454 (1995).]
07/23/1992
92x20: Definition of "Senior Employee" and "Very Senior Employee"
OGE discusses the methodology of determining whether a person falls within the statutory definition of "senior employee" or "very senior employee" for the purposes of 18 U.S.C. § 207(c)-(d).
06/02/1992
92x19: Receipt of Outside Payment by Covered Employee from a Practice Involving Fiduciary Relationships
A noncareer member of the Senior Executive Service was deemed to have taken compensation from an outside position that involved a fiduciary relationship in violation of 5 U.S.C. app. § 502 and 5 C.F.R. § 2636.303(b) when he received payments from his medical practice while serving as a public official.
05/28/1992
92x18: Applicability of the Honoraria Ban to Compensation for Part-Time Teaching
OGE discusses the application of the honoraria ban to a District of Columbia employee who received payment for appearances made as a legal educator that did not involve his official duties. [Note: The honoraria ban was subsequently held unconstitutional by the U.S. Supreme Court in
>U.S. v. National Treasury Employees Union, 513 U.S. 454 (1995).]
05/01/1992
92x17: Application of the "Seeking Employment" Restriction to "Blind" Employment Searches
OGE discusses whether a senior Government employee could preclude conflict of interest questions under the "seeking employment" restriction by giving his resume to an employment search firm and asking that it not disclose to him the identity of those to whom the resume has been distributed.
04/09/1992
DA-04-09-92: Publication of new regulation on public and confidential financial disclosure and new standard form for confidential financial disclosure
OGE summarizes the changes to the public financial disclosure system and to the qualified trust program which the new interim regulation implements. OGE also highlights the differences between the public financial disclosure system and the new confidential system.
04/06/1992
92x16: Designation of Charity to Receive Payment Subject to the Honoraria Ban
03/27/1992
92x15: Definition of "Procurement Official"
Authority to render opinions about who is and who is not a "procurement official" is specifically given to designated agency ethics officials or their delegatees by 41 U.S.C. § 423(k), not OGE.
03/26/1992
92x14: Certificates of Divestiture for "Eligible Persons" other than Filer
Certificates of Divestiture are available to parties who qualify as "eligible persons" under the Internal Revenue Code. Such certificates were not intended to be generally available to trustees of a trust which is eligible under the code section, but rather were intended to be available only where all alternative remedies were impracticable.
03/23/1992
92x13: Frequent Flyer Miles
The GAO regulations determining that frequent flyer miles received by employees during official travel are agency property do not conflict with OGE's previous advice concerning the acceptance of gifts. [The guidance in this advisory regarding retention of frequent flyer miles is no longer applicable, see Section 1116 of Public Law 107-107, December 28, 2001 and 41 CFR 301-53.]
03/17/1992
92x12: Remedies for Resolving Conflicts of Interest
A federal employee who owns stock in a company that creates a conflict of interest under 18 U.S.C. § 208 may divest the stock or request a recusal, reassignment, or waiver.
03/16/1992
92x11: Timing of Request for Certificates of Divestiture
Certificates of divestitures are not available for previously divested investment holdings, but rather must be sought from OGE prior to the sale of such holdings.
03/12/1992
92x10: Appeal and Review of Agency Decisions Concerning the Granting of Waivers
Where an agency has determined that an employee has a conflict of interest under 18 U.S.C. § 208 with the outside employment of his/her spouse, and has determined not to grant the employee a § 208(b)(1) waiver, OGE is not statutorily enabled to hear appeal or review of the employing agency’s discretion decision.
03/11/1992
92x9: Employee Acceptance of Hospitality Items from Moving Companies
The acceptance of hospitality gifts by non-GSA employees must be determined on an agency-by-agency basis taking into account the possibility of appearances of impropriety.
03/11/1992
92x8: Post-Government Representations Back to the Former Employee's Agency
An attorney who was a Federal employee is not restricted from representing a union in litigation against his former agency on a particular matter on which he did not participate personally and substantially. [The employee terminated employment prior to January 1, 1991 and was subject to the former version of 18 U.S.C. § 207.]
02/26/1992
92x7: Non-Monetary Honorary Awards
The incidental presentation of two non-monetary honorary awards by a university to Federal employees was unlikely to violate the gift regulations that were found in the new proposed Standards of Ethical Conduct at 5 C.F.R. part 2635. [cited former 5 C.F.R. part 735]
02/25/1992
92x6: Application of 18 U.S.C. § 209 to Congressionally Mandated Payments during Union Activity
When Congress has specifically provided that the Federal Government must continue to pay employees their usual Government salaries during the time they are engaged in union activities, those employees should be considered "on the job" for purposes of pay and compensation. Any additional payments made by outside sources would violate 18 U.S.C. § 209.
02/25/1992
92x5: Effect of Amendments to the Honoraria Ban
The amendment at 5 C.F.R. § 2636.203(a)(13) sets out specific requirements about the timing of payment for a series of speaking engagements. The amendment is not retroactive. [Note: The honoraria ban was subsequently held unconstitutional by the U.S. Supreme Court in
>U.S. v. National Treasury Employees Union, 513 U.S. 454 (1995).]
02/07/1992
92x4: Applicability of the Honoraria Ban to Compensation for Writing Scripts for Television Show
02/07/1992
92x3: Gift Issue Regarding Spouse's Financial Relationships
Under the circumstances described, the payment for utility services by an occupant (a Government contractor) of her husband's residential property did not constitute a gift.
01/30/1992
92x2: Limitations on Federal Employee's Proposed Publication
OGE discusses what rules an agency attorney might violate in publishing a booklet. Questions arise as to whether the provided information discloses non-public information and the possible effect on official duties. (Cites former 5 C.F.R. Part 735)
01/02/1992
92x1: Honoraria Ban and Cash Award for a Research Paper
1991
12/09/1991
91x37: Application of 18 U.S.C. § 208 to an Employee
OGE discusses the application of 18 U.S.C. § 208 to an employee who both directly and indirectly acts on particular matters concerning a private contractor that would have a direct and predictable effect on the financial interest of his spouse, an employee and shareholder of the private contractor.
10/15/1991
91x36: Response to Concerns About the Financial Disclosure Rules
OGE responds to concerns about the burden of statutorily mandated financial disclosure on filers and discusses how such disclosure ensures a lower percentage of actual and perceived conflicts of interest.
10/11/1991
91x35: Applicability of the Honoraria Ban to Compensation for Teaching Continuing Legal Education Programs
09/05/1991
91x34: Pension Benefits and 18 U.S.C. § 208
OGE discusses the application of 18 U.S.C. § 208 to pension benefits currently held by an appointee, and the remedies (recusal or waiver) available to avoid a conflict of interest.
08/29/1991
91x33: Post-Government Employment Restrictions on Working on the Same Particular Matter Involving Specific Parties
OGE discusses the application of the permanent post-government employment ban found at 18 U.S.C. § 207 to an ongoing system procurement conducted by the General Services Administration (GSA).
08/29/1991
91x32: Applicability of the Honoraria Ban to Compensation for Part-Time Teaching
OGE discusses the effect of the honorarium ban on the acceptance of monetary payment for the teaching of a part-time course not related to the employee's official duties. [Note: The honoraria ban was subsequently held unconstitutional by the U.S. Supreme Court in
>U.S. v. National Treasury Employees Union, 513 U.S. 454 (1995).]
08/20/1991
91x31: Executive Branch Employees and Service in Honorary Outside Positions
OGE gives advice on subsequently codified Standards of Ethical Conduct proscribing employee's use of public office for public gain.
08/19/1991
91x30: 18 U.S.C. § 208 Waivers
OGE discusses both individual and general waivers of the conflict of interest restrictions found at 18 U.S.C. § 208, and the inapplicability of such waivers to conflict of interest prohibitions found in individual agencies' enabling acts.
08/12/1991
91x29: In-Depth Analysis of the Application of 18 U.S.C. § 207 to a Senior Employee
OGE answers several questions relating to the application of 18 U.S.C. § 207 to the post-Government service activities of a former senior employee of the executive branch.
08/09/1991
91x28: Application of the Standards of Conduct to Raffles and Games-of-Chance Held on Government Property
OGE discusses whether a raffle may be held on Government property if the proceeds will be donated to a charitable organization or to an employee welfare and recreation association. [Refers to 5 C.F.R. Part 735]
08/02/1991
91x27: Applicability of the Honoraria Ban to Compensation for Writing a Book
OGE provides guidance on the effect of the honoraria ban on the acceptance of compensation for writing non-fiction books as well as the permissibility of diverting honoraria to a charitable entity in lieu of personal acceptance. [Note: The honoraria ban was subsequently held unconstitutional by the U.S. Supreme Court in
>U.S. v. National Treasury Employees Union, 513 U.S. 454 (1995).]
07/22/1991
91x26: Appearance of Conflict Arising from Proposed Private Sale of Agency Advisory Opinions
OGE agrees with an agency's implementation of the Standards of Conduct to bar an employee from selling a computer software package of the agency's advisory opinions he created on his own time, as such outside activity would constitute an appearance of a conflict of interest.
07/22/1991
91x25: Meaning of the Term "Procurement Official"
OGE advises that the term "procurement official" found at 41 U.S.C. § 423(p)(3) (Procurement Integrity Act) likely does not extend to a business entity, such as a corporation, but rather only to individuals.
07/17/1991
91x24: Continuance of a Particular Matter in Another Form
18 U.S.C. § 207 barred an employee from representing his employer (company B) on a contract to the Government. The employee had worked personally and substantially on the contract with company A while a Government employee, The contract was later assigned to company B. The particular matter continued through both an amendment and a party change.
07/09/1991
91x23: General Discussion of the Honoraria Ban and Compensation for Writing Books
07/08/1991
91x22: Appearance Concerns Raised by Supervisor Entering into Landlord-Tenant Relationship with Subordinate
OGE addresses an agency’s question about whether a Government employee may live with, and pay rent to, another Government employee who works in the same agency and is within the first employee's area of supervision.
07/02/1991
91x21: Deferred Law Associates and 18 U.S.C. §§ 208 and 209
Graduates who accept employment with the Federal Government during the period of their deferral from employment with private law firms have an agreement concerning prospective employment for purposes of 18 U.S.C. § 208. The deferral payments the graduates receive would not be made to compensate them for services as Federal employees.
07/01/1991
91x20: Applicability of the Honoraria Ban to Compensation for Writing Fiction Short Stories
The honoraria ban does not prohibit an employee from receiving compensation for writing short stories that are works of fiction and certain other activities. [Note: The honoraria ban was subsequently held unconstitutional by the U.S. Supreme Court in
>U.S. v. National Treasury Employees Union, 513 U.S. 454 (1995).]
06/24/1991
91x19: Placing Honoraria into Escrow Accounts Pending Outcome of Litigation
Pending the outcome of litigation, it is permissible for an employee to ask a person who has agreed to pay him an honorarium to establish an escrow account with provision for payment of the honorarium in the event of a final decision. [Note: The honoraria ban was subsequently held unconstitutional by the U.S. Supreme Court in
>U.S. v. National Treasury Employees Union, 513 U.S. 454 (1995).]
05/29/1991
91x18: Extensions for Filing the Public Financial Disclosure Report
OGE explains the extension periods available for the SF 278.
05/17/1991
91x17: Ethics Restrictions Applicable to Special Government Employees
A special Government employee (SGE) who serves in a volunteer capacity as the executive director of a nonprofit, tax-exempt educational organization is subject to several restrictions on his participation in agency matters pertaining to the non-profit.
05/13/1991
91x16: Determining Who Must File a Public Financial Disclosure Report
The Ethics in Government Act requires agencies to use a pay rate equivalency to determine who outside the General Schedule meets the threshold for filing public financial disclosure reports (SF 278).
05/02/1991
91x15: Employee's Failure to Pay Debts
The issue of an employee not satisfying his or her just debts in good faith is a personnel matter and must be resolved by the employee's agency rather than OGE.
04/19/1991
91x14: 18 U.S.C. § 208 and National Guard Members
In his civilian life, a National Guard pilot was a stockholder and president of a company that provided refueling services at airports. OGE analyzes whether he would violate 18 U.S.C. § 208 if he were to refuel at an airport served by his company.
04/11/1991
91x13: Applicability of the Honoraria Ban to Compensation for Teaching a Series of Seminars
OGE discusses whether the application of the honoraria ban would prohibit a Federal employee from accepting compensation for teaching a series of three-day seminars on a particular topic sponsored and funded by a state university.
04/09/1991
91x12: Certificates of Divestiture and Property in Employer Benefit Plans
Usually, OGE will not issue a certificate of divestiture for property held in an employee benefit plan. The employee must demonstrate that the interests are not eligible for rollover treatment.
04/04/1991
91x11: Employee's Prosecution of Patent Applications for Private Parties
Although the prosecution by a Government employee of a patent application for a private party for compensation is generally subject to the prohibition of 18 U.S.C. § 203, the prohibition will not apply if the employee is a special Government employee (SGE). This opinion also addresses the status of military reservists as SGEs.
03/15/1991
91x10: Agency Acceptance of Travel Reimbursement from Another Agency
An agency may accept reimbursement of the travel expenses incurred by its employees to attend training provided by a second agency. Because the reimbursement is paid to the agency and not to the employees, the standards of conduct are not directly applicable. [cites former 5 C.F.R. part 735]
02/22/1991
91x9: Acceptance of Food and Drink From a Prohibited Source
A private sector attorney who represented clients before a Government agency was a prohibited source. In the absence of an exception, employees of the agency should not accept food or drink at these parties. [cites former 5 C.F.R. part 735]
02/21/1991
91x8: Applicability of the Honoraria Ban to Compensation for Services as Ordained Minister
OGE discusses the application of the honoraria ban in the Ethics Reform Act of 1989 to activities of a Government employee who, in his personal capacity, served as an ordained minister. [Note: The honoraria ban was subsequently held unconstitutional by the U.S. Supreme Court in
>U.S. v. National Treasury Employees Union, 513 U.S. 454 (1995).]
01/30/1991
91x7: Relationship Between Procurement Integrity Act Gift Prohibitions and Agency Standards of Conduct Prohibitions
Procurement officials are subject to both the procurement integrity gift prohibitions at 41 U.S.C. § 423 and agency standards of conduct prohibitions on gifts from prohibited sources.
01/28/1991
91x6: General Discussion of the Honoraria Ban
01/22/1991
91x5: Service by a Government Employee as an Officer in an Association
An employee's position with a private association created the appearance of a conflict of interest in light of his Government responsibilities as a technical assistance officer providing assistance to organizations, including the association.
01/18/1991
91x4: Discussion of Concerns Raised about the Honoraria Ban
01/09/1991
91x3: Limitation on Outside Activities
OGE summarizes the statutes and regulations that should be considered in determining whether Government employees may participate in certain activities of a bar association subcommittee.
01/04/1991
91x2: Bonus Payments from a Private Sector Employer and 18 U.S.C. § 209
A Government employee may accept bonus payments from a private sector employer if she would receive them at a time when she was not a Government employee.
01/02/1991
91x1: Post-Government Work as an Interpreter
By taking certain precautions, a former employee may serve as a translator between a representative of a Government agency and claimants who do not speak English.
1990
12/27/1990
90x27: Applicability of the Honoraria Ban to Payment for Encyclopedia Articles
The honoraria ban prevents government employees from receiving fees for any nonfiction article they may want to publish and likely applies to the encyclopedia articles and contributions. [Note: The honoraria ban was subsequently held unconstitutional by the U.S. Supreme Court in
>U.S. v. National Treasury Employees Union, 513 U.S. 454 (1995).]
12/27/1990
90x28: Applicability of the Honoraria Ban to Payment for Works of Science Fiction
The honoraria ban does not include works of fiction, poetry, lyrics or scripts and would not prohibit a government employee from publishing science fiction stories. [Note: The honoraria ban was subsequently held unconstitutional by the U.S. Supreme Court in
>U.S. v. National Treasury Employees Union, 513 U.S. 454 (1995).]
12/18/1990
90x26: Applicability of the Honoraria Ban to Payment for Tour Guide Services
12/12/1990
90x25: Applicability of the Honoraria Ban to Compensation for Writing Works of Fiction
11/28/1990
90x24: Effect of Title VI of the Ethics Reform Act of 1989
This memorandum provides initial guidance regarding the application of Title VI of the Ethics Reform Act, specifically provisions that prohibit the receipt of honoraria and limit the outside earned income and employment of certain high-level noncareer employees. [Note: The honoraria ban was subsequently held unconstitutional by the U.S. Supreme Court in
>U.S. v. National Treasury Employees Union, 513 U.S. 454 (1995).]
11/20/1990
90x23: Speech-Writing and the Honoraria Ban
11/15/1990
90x22: Application of Restrictions on Outside Earning and Employment Activities
The restrictions in Title VI of the Ethics Reform Act of 1989 on outside earning and employment activities apply to an agency board member, despite specific statutory job requirements, because the member is a non-career officer of the government, is compensated at a rate in excess of the GS-16 rate, and is not a special Government employee.
11/05/1990
90x21: Service Outside the Government in a Private or Official Capacity
The facts presented to OGE indicate that an agency board member’s participation in the Citizen Ambassador Program is so closely connected with his agency responsibilities that it can be considered official rather than private participation; however, the agency must determine that the board member's participation in an official capacity is appropriate. If participation is official, the agency would be obligated to pay all expenses in connection with such official travel, unless reimbursement were determined to be permissible under relevant gift-acceptance statutes.
11/02/1990
90x20: Applicability of the Outside Earned Income Limitation
The outside earned income limitation does not exempt donations to charity in amounts exceeding the limitation; it cannot be avoided by accepting compensation in a forms other than cash; it includes dividend received from a corporation to operate a business; and it encompasses deferred payments for services that were performed in the calendar year.
11/02/1990
90x19: Former Agency Official Participation in a Press Release
18 U.S.C. § 207 does not bar a former government official who was responsible for developing standards for a specific product from appearing in a press release as the official would not be endorsing a particular brand of the specific product, would not be compensated for his appearance, and has no financial interest in the specific products.
10/31/1990
90x18: Effect of Amendments to Section 27 of the Office of Federal Procurement Policy Act
In response to 1989 amendments to section 27 of the Office of Federal Procurement Policy Act, OGE prepared this memorandum to assist agencies in obtaining procurement official certifications and to satisfy the minimum requirement of Subsection 27(l) for a procurement ethics program that furnishes a written explanation of pertinent provisions of the law.
10/26/1990
90x17: Ethics Reform Act of 1989 Amendments to 18 U.S.C. § 207
This memorandum summarizes the effect of Public Law 101-194 and 101-280 amendments made to 18 U.S.C. § 207 post-government service employment restrictions. Further guidance was provided in revised 5 C.F.R. part 2637 regulations. [5 C.F.R. part 2637 is applicable to employees who terminated service prior to January 1, 1991. 5 C.F.R. part 2641 provides guidance to employees terminating service on or after January 1, 1991.]
10/04/1990
90x16: Agreements Allowing the Use of Agency Employee Photographs and Signatures
It would be inappropriate for current government employees to reach an agreement allowing the use of their photographs and/or signatures on trading cards that a private company proposes to sell on a non-profit basis to emphasize the importance of an agency mission and the benefits associated with the agency’s programs. (cites former 5 C.F.R. part 735)
07/26/1990
90x15: Conflicts of Interest and Personal Representations to a Licensing Commission
The conflict of interest statutes and regulatory standards of conduct do not prohibit a federal employee who filed for a license on her own behalf prior to becoming a Federal employee from appearing before or making personal representations to the licensing commission as long as she adheres to her recusal and does not focus on her Federal position during the license application process.
07/13/1990
90x14: Eligibility of Interests held by Employee as Co-Trustee of Trust for Certificate of Divestiture
Not all transactions and occurrences which result in the realization of ordinary or capital gains income by parties effectuating ethics agreements fall within the statutory scheme of section 1043. OGE has a policy against issuing a Certificate of Divestiture in a case where the effect would be to grant an unfair and unintended benefit.
07/12/1990
90x13: Eligibility of Interests in Employee Stock Ownership Plan for Certificate of Divestiture
In the absence of a demonstration that the employee’s interest in the corporation shares is not eligible for rollover treatment, a certificate will not be issued with respect to his interest in the plan. The demonstration must satisfy OGE that the plan administrator could not make a qualifying distribution where 402(f) would apply.
06/25/1990
90x12: Application of 18 U.S.C. § 207(a) and (b)(i)
OGE analyzes whether a certain project can be viewed as particular matter with specific parties under 18 U.S.C. § 207. OGE found that the numerous specific steps taken in preparation for a solicitation were sufficient to characterize the contract as a particular matter prior to the former employee’s departure.
06/19/1990
90x11: Applicability of 18 U.S.C. § 207 to a Former Senior Executive Service Employee
OGE discusses the applicability of 18 U.S.C. § 207’s post-employment restrictions to a former Senior Executive Service employee. The restrictions of 207(c), when applied to those positions designated as Senior Employee positions, attach to the person actually serving in a designated position.
05/09/1990
90x10: Employment Restrictions that Apply to an Individual Retired from the Uniformed Services
OGE responds to concerns regarding the legality of an individual retired from the armed services serving in various capacities with a corporation. The primary restrictions applicable to former Government employees are found at 18 U.S.C. § 207. Other statutes that may apply include 10 U.S.C. § 2379b, 18 U.S.C. § 281 and 18 U.S.C. § 203.
05/07/1990
90x9: Discussion of 18 U.S.C. § 207
The criminal conflict of interest statute that applies to a former Federal Government employee is 18 U.S.C. § 207. There are four proscriptions in 207, of which two, those in subsections (a) and (b)(i), could affect a non-Senior Employee’s potential employment opportunities. [cites former 5 C.F.R. part 737]
04/25/1990
90x8: Acceptance by Retired Federal Employee of Gifts from a Foreign Government
Current civilian employees of the Federal Government are subject to restrictions relating to their acceptance of gifts and employment from foreign governments. Retired civilian employees, however, are not subject to these restrictions.
04/17/1990
90x7: Bilateral Trade Agreements as Particular Matters
OGE discusses the application of 18 U.S.C. § 207 to a former government employee. Particularly, OGE discusses 18 U.S.C. § 207 as applied to bilateral trade agreements as particular matters involving specific parties and renegotiation of bilateral trade agreements as the same particular matter. [cites former 5 C.F.R. part 737]
04/04/1990
90x6: Response to Concerns about the Ethics Reform Act of 1989
OGE responds to concerns that the Ethics Reform Act of 1989 would impede the volunteerism of Federal employees. The conflicts of interest statutes that raise concerns (18 U.S.C. §§ 205 and 208) are not new to the Ethics Reform Act.
04/03/1990
90x5: Conflicts of Interest for Law Students in a Criminal Justice Clinic and Employed by the Federal Government
Conflicts of interest can arise when a law student is in a criminal justice clinic and employed by the Federal Government. A student’s appointment with the Federal Government (whether they are a special Government employee and how long they have worked for the agency) will determine the application of the criminal conflict of interest statute.
03/07/1990
90x4: Availability of Executive Branch Employees to Serve as Expert Witnesses
An executive branch employee may serve as an expert witness. The Courts have recognized that agencies have a right to establish “housekeeping” rules governing the use of agency information and personnel in litigation. The Standards of Conduct apply to an employee providing expert testimony in their personal capacity. [cites former 5 CFR 735]
03/01/1990
90x3: Conflict of Interest Restrictions on Former Government Attorney
Both 18 U.S.C. § 207 as well as 18 U.S.C. § 203 have provisions that prevent a former Federal employee from representing a party before the individual’s former agency or in court against specific charges filed with that agency. [cites former 5 C.F.R. part 737]
02/28/1990
90x2: Inclusion of Tax Lien in Financial Disclosure Report
A tax lien is not a mortgage and therefore would not fall under the exception in section 102(a)(4) of the Ethics in Government Act. As a result, a tax liability would need to be reported in a financial disclosure report.
01/24/1990
90x1: Ethical Concerns with Federal Employees Serving as Symposium Speakers
A Federal employee is free to participate in nonprofit organization programs as an uncompensated speaker, instructor or panelist in his personal capacity, whether or not the organization is charging a fee for attendance. Employees may not use or permit the use of their official title, position, or authority to further interests.
1989
12/21/1989
89x20: Senior Employees and Post-Government Employment Restrictions
A former government employee who served in an Executive Level position within an agency is considered to be a “Senior Employee” for purposes of the post-government employment restriction of 18 U.S.C. § 207 and is subject to four distinct restrictions. [Note: This advisory was criticized in
>EEOC v. Exxon Corp., 202 F.3d 755 (5th Cir. 2000).]
12/08/1989
89x19: Government Employee Status of NDER Members and Conflicts of Interest
Conflict of interest statutes and regulations apply to former government officials accepting membership and training in the National Defense Executive Reserve (NDER) if the participant is viewed as serving in a government employee status; however, the activities of NDER members vary and cannot be categorically excluded from such status.
10/20/1989
89x18: Employees Serving as Officers of an Organization and Imputed Acceptance of a Gift from a Prohibited Source
An agency employee is considered to have indirectly accepted such a gift if a private organization for which he serves as an officer receives cash from an agency prohibited source, unless the officer does not participate in the decision to accept the grant. [cites former 5 C.F.R. 735.202]
09/26/1989
89x17: Ethics Provisions Prohibiting Presidential Appointee from Writing Book in Personal Capacity
Several ethics provisions prohibit a presidential appointee from writing and publishing a book, even where the appointee intends to dedicate all royalties to charity, where it appears that the book will be devoted substantially to the responsibilities, programs, or operation of the agency.
09/26/1989
89x16: Meaning of "noncareer position" as used in Section 102 of E.O. 12674
The term “noncareer” in Section 102 of Executive Order 12674 was not intended to draw a distinction between Presidential appointees based on the President’s authority to effect their removal.
09/19/1989
89x15: 18 U.S.C. § 208 Waivers
An agency may grant a 18 U.S.C. § 208(b)(1) waiver to an employee who participates in matters affecting state and municipal financial interests and whose wife owns general state and city bonds and to an employee who participates in matters affecting the oil industry and is an income beneficiary of a diversified trust with interest in oil entities.
09/12/1989
89x14: Former Agency Employee Participation in a Committee Organized by the Agency
A former senior employee's representations in a committee on behalf of a private industry member is prohibited by 18 U.S.C. § 207(c) because the committee is a forum organized by his former agency and for its benefit and an agency official is required to be present at meetings. Certain § 207 exceptions may apply in this situation.
09/07/1989
89x13: Personal and Substantial Participation under 18 U.S.C. § 207
OGE agrees with an ALJ's provisional decision that a former employee's representation to the agency of a party regarding an employment discrimination complaint for non-selection was not a particular matter in which the former employee had previously participated personally and substantially under 18 U.S.C. 207.
08/31/1989
89x12: Contractors and the Standards of Ethical Conduct
The standards of conduct do not apply to a doctor whose status is that of a contractor, rather than an employee, of an agency. Thus, the doctor may appear as an expert witness in case regarding a claim against the U.S. based on allegations of malpractice by employee physicians at an agency hospital.
08/31/1989
89x11: Appointment of Designated and Alternate Designated Agency Ethics Officials
The head of each agency must appoint a designated agency ethics official as well as an alternate designated agency ethics official regardless of whether any agency employees are required to file public disclosure reports. [cites former 5 CFR § 738.202]
07/12/1989
89x10: Agency Employee Membership in an Outside Organization
Mere membership in an outside organization dealing directly with the agency an employee manages does not create an 18 U.S.C. § 208 conflict of interest. However, the appearance of conflict may occur under the regulatory standards of conduct and the agency must determine whether recusal from specific matters or membership withdrawal is necessary.
07/06/1989
89x9: Agency Employee Membership in a Society that Derives Revenue from Prohibited Sources
The Standards of Conduct prohibit federal employees who are members of a society that derives a portion of its revenues from corporations and other entities from soliciting or accepting, even indirectly, anything of monetary value from entities that are a prohibited source seeking to sell its product to the members employing agency.
06/30/1989
89x8: Employee Benefits and Incentives for Temporary Government Service
18 U.S.C. § 209(a) prohibits an agreement between a company and employee that provides standard benefits to the employee during a two-year leave of absence to serve with an agency and offers an $80,000 incentive to return to the company following her temporary assignment with the agency.
05/31/1989
89x7: Limitations on Employee’s Operation of Outside Business Activity
Receipt of company dividends instead of a salary constitutes receiving compensation for services rendered by the employee’s company to the Government. [Note: The 18 U.S.C. § 203 analysis in this opinion was modified by
>OGE Informal Advisory Memorandum 99 x 25.]
05/17/1989
89x6: Use of an Agency Official’s Name in Connection with Fundraising Efforts
The standards of conduct make it improper for a university to use the name of a prominent agency official in connection with fundraising efforts to endow a chair where an employee must avoid any action that might result in or create the appearance of using public office for private gain.
05/05/1989
89x5: Responsibility of Agencies to Provide Post-Government Employment Advice
18 U.S.C. § 207 assigns agencies the primary responsibility to provide post-employment advice to former employees and it applies where a former employee advised the U.S. in foreign negotiations to reduce government subsidies to an industry and later represents an industry association as an advisor to a U.S. team negotiating this issue.
05/01/1989
89x4: Waiver of Post-Government Employment Prohibitions for Scientific Collaboration Serving the National Interest
An agency may waive 18 U.S.C. § 207(a) and (b)(i) post-government employment restrictions to allow an employee to participate in cooperative research and development agreements between the agency and a private sector employer where the employee is a world-renowned scientist and his continued collaboration would serve the national interest.
04/13/1989
89x3: Representations to the Government on Behalf of U.S. Agency
18 U.S.C. § 207 does not prohibit former agency employees working for a licensee’s contractors from executing affidavits about the truth of statements made to the agency by a licensee manager where the affidavits were not representations or communications on behalf of the contractors, but instead on behalf of the licensee, an agency of the U.S.
03/21/1989
89x2: Corporate-Sponsored Fundraising Events for Charitable Organizations
Employee participation in corporate-sponsored fund-raising events for charity is prohibited where the agency does not have a legitimate interest in permitting attendance other than supporting a good cause, the event is sponsored by a prohibited source, and such attendance may create the appearance of giving preferential treatment to anyone.
01/24/1989
89x1: Post-Government Employment Restrictions on Administrative Law Judges
For all matters assigned to an administrative law judge or to a panel of which he was a member, the judge is barred 18 U.S.C. § 207(a) you would be subject to the lifetime section 207(a) ban, as your participation would be both personal and substantial.
1988
11/23/1988
88x17: Appearance of Impropriety
Under the facts presented, the proposed participation of the director of a governmental foundation in awarding foundation funding to centers as to which a company in which he owns stock is an industrial affiliate would raise an appearance of impropriety.
10/27/1988
88x16: Employee's Service on an Advisory Committee to a Private Entity
OGE analyzes whether an employee should serve on an advisory committee of a private entity that receives grants from the employee's agency.
10/27/1988
88x15: Designation of Senior Employee Positions
The position shifting provision was added to prevent agencies from transferring an individual in a designated position to one that is not, thus allowing 1 or 2 years to elapse, enabling the employee to leave public service for a private position without the constraints of 18 U.S.C. § 207(b)(ii) and (c). [cites former version of 18 U.S.C. § 207]
10/21/1988
88x14: Application of 18 U.S.C. § 205 to District of Columbia Employees
An employee of the District of Columbia would not violate 18 U.S.C. § 205 in prosecuting a claim against the U.S. if the prosecution was within the scope of his official duties.
09/12/1988
88x13: Guidance on Ethics Program Issues Raised in the Report of the Independent Counsel
The Independent Counsel's report provides insight into the process of an evaluation by a prosecutor for possible prosecution under the criminal conflict of interest statutes; the significance of a declination of prosecution, the importance of ethics agreements both to the individual and to the public, and the role of public financial disclosure.
07/27/1988
88x12: 18 U.S.C. § 209 and Intent
Intent to compensate for performance of Government duties is highly probative in reviewing for a potential violation of 18 U.S.C. § 209. Under the facts presented, the employee's acceptance of a research scholarship from the college would violate the statute.
06/23/1988
88x11: Reporting of Employee Benefit Plans on the SF 278, Public Financial Disclosure Report
This opinion addresses the manner of reporting of employee benefit plans, and pensions in particular, on the SF 278 financial disclosure report as required by the Ethics in Government Act of 1978, as amended.
06/16/1988
88x10: Speaking in an Official Capacity at Conferences and Other Events Sponsored by Private For-Profit Organizations
OGE provides guidance on analyzing invitations for Government employees' to speak officially at certain conferences, conventions, and symposiums sponsored by private, profit-making organizations. [cites former 5 C.F.R. Part 735]
05/10/1988
88x9: Qualified Blind Trusts
OGE must approve proposed qualified blind trust arrangements prior to the time the instruments are executed and the assets placed within the trust. Otherwise, the instrument will not be recognized as creating an efficacious blind trust under the Ethics in Government Act.
04/01/1988
88x8: Applicability of 18 U.S.C. § 207 to Independent Contractor Who Was a Government Employee
To the extent a former employee participated personally and substantially in, or had official responsibility for, particular matters involving specific parties during the time he worked as an independent contractor for his former agency, he is not barred by 18 U.S.C. § 207.
03/23/1988
88x7: Representational Activities of a Partner of a Current Executive Branch Employee
Former 18 U.S.C. § 207(g) limited the representational activities of any partner of a current officer or employee of the U.S. Government in connection with any particular matter in which such officer or employee participated or had participated personally and substantially.
03/10/1988
88x6: Restrictions on Service by Employee as Board Member of Grantee of Federal Agency
OGE discusses the application of 18 U.S.C. §§ 203 and 205, as well as several ethics regulations, to a Federal employee under consideration to become a member of a board of directors of a grantee of a particular program operated by the department employing the individual.
03/09/1988
88x5: Public Appearances by Federal Employees at Events at Which Admission Fee is Charged
Federal agencies should be very careful when providing a speaker at a for-profit endeavor to be sure that the Government's interest in reaching that audience is substantial and that the same audience could not be reached without supporting the private endeavor. [Cites former Part 2637]
03/02/1988
88x3: Representation of Other Federal Employees in Personnel Administration Proceedings
An employee who also has a private law practice must have each instance of proposed representation evaluated by his superiors, so that they can determine on a case-by-case basis whether representation by him in a given set of personnel administration proceedings is not inconsistent with the faithful performance of his duties.
03/02/1988
88x4: "Same Particular Matter" and New Solicitation
Under the facts presented, a new solicitation was not the "same particular matter" as the solicitation on which the former senior employee worked while an executive branch employee.
02/12/1988
88x2: Separate Non-Statutory Entities, "Designated" Senior Employees, and 18 U.S.C. § 207(c)
A "designated" senior employee of a division of a department may not represent anyone to that division or to any entity within the department that is not a separate statutory agency, or a separate non-statutory agency other than the employee's division. [Cites former Part 737]
01/06/1988
88x1: Post-Government Employment Restrictions on Former Senior Employee
A former senior employee's work on general policy matters was not within the scope of 18 U.S.C. § 207(a) or (b). The former employee's proposed contacts with representatives of his former agency, however, are subject to 18 U.S.C. § 207(c). [Cites former 5 C.F.R. Part 737]
1987
11/25/1987
87x14: Applicability of 18 U.S.C. § 207 to a Former Agency Employee
OGE discusses the applicability of 18 U.S.C. § 207 to a former employee's proposed employment as the manger of the communications services facility of an agency contractor. Because more than two years had passed since the former employee's resignation from the agency, the only applicable provision was 18 U.S.C. § 207(a).
10/23/1987
87x13: Acceptance of Food and Refreshments by Executive Branch Employees
This is an agency-wide memorandum from OGE concerning executive branch employees' acceptance of food and refreshments. The memorandum covers Executive Order 11222, applicable criminal statutes, other related statutes and the administrative standards of conduct. [cites former 5 C.F.R. Part 735]
09/09/1987
87x12: Identifying Who Must File a Public Financial Disclosure Report
The Deputy Staff Director of a Commission, whose services were being donated by a private corporation and who remained an employee of that corporation, should file a public financial disclosure report. He was serving on a full-time basis as Deputy Staff Director and was supervised by the Staff Director, who was on the government payroll.
09/09/1987
87x11: Application of an Agency's Gift Rule
OGE advised that a corporation's contribution to a university which the agency's employee had previously served as president to establish a President's Discretionary Fund in the employee's honor would not, in an of itself, be prohibited. OGE concluded the agency's gift rule as well as 18 U.S.C. § 209 would not apply. [cites former 5 C.F.R. § 735.202]
09/02/1987
87x10: Post-Employment Restrictions in 18 U.S.C. § 207
OGE discusses the four post employment restrictions found in 18 U.S.C. § 207 and when they apply to a former employee. Additionally, OGE discusses how to define the particular matter when dealing with a loan from an agency.
08/24/1987
87x9: Reporting of Interests in Nonpublic Entities
OGE discusses the basic principle of reporting of interests in nonpublic entities on the SF 278, the public financial disclosure report. The advisory letter demonstrated this principle using examples, such as the private investment pool, the pension plan, and the limited partnership.
05/21/1987
87x8: Service by Agency Attorney as Official of a Bar Association
OGE advised an agency's General Counsel on the conflict of interest issues associated with the agency's attorneys' membership in a particular bar association whose members were individuals who practiced before, or were employees of, the agency.
05/05/1987
87x7: Triggering of Restrictions in 18 U.S.C. § 208(a)
18 U.S.C. § 208(a) does not take into account the motive or good faith of the employee. The restrictions of section 208(a) are triggered if: 1) at the time an employee participates in a matter, he realizes he is participating in the matter, and 2) he must have knowledge that a personal or derivative financial interest is involved in the matter.
04/01/1987
87x6: Options Available to Presidential Appointees with Extensive Financial Holdings
There are options available to presidential appointees with extensive financial holdings, including a waiver under 18 U.S.C. § 208(b)(1) and a common trust fund of a bank, to ensure compliance with 18 U.S.C. § 208 should the individual dissolve the qualified blind trusts that were established in during the individual's current position in the Administration.
03/27/1987
87x5: 18 U.S.C. § 207 Restrictions on Former U.S. Attorney's Representation of Individual
OGE advised an agency ethics official that 18 U.S.C. § 207(b)(i) would prohibit a former US Attorney for two years following government service from representing an individual in matters relating to a plea agreement and narcotics prosecution in an investigation in which his former office and various other federal districts were involved.
03/10/1987
87x4: Application of 18 U.S.C. § 207 to a Former Employee
OGE discusses when 18 U.S.C. § 207 applies to prohibit an employee from engaging in representational activities before the Government on a contract worked on by the employee.
03/04/1987
87x3: Application of 18 U.S.C. § 207 to a Former Senior Employee
OGE advised that the post employment restrictions of 18 U.S.C. § 207 do not prohibit representations on any matter made only to members of Congress or their staffs. OGE also discussed the application of 18 U.S.C. § 207 to a former employee attending a meeting, at his former agency's request, to discuss a matter on which he previously worked.
02/03/1987
87x1: 18 U.S.C. § 207 Exemption from One-Year Cooling-Off Provision
OGE advised that the 18 U.S.C. § 207(d)(2)(B)(i) exemption from the one-year cooling-off period of 18 U.S.C. § 207(c) applied to a former Senior Employee of the agency serving as an employee of a non-profit interstate compact organization which served as the regional representative of 16 southern states and Puerto Rico in energy and environmental matters.
02/03/1987
87x2: Agency Official's Acceptance of Reduced Rates from Professional Association
An official at an agency who was responsible for planning meetings could not use the substantially reduced rates and payment of expenses offered by members of a particular association to which he belonged, in conjunction with on-site inspections of meeting facilities. Acceptance of payment could violate 18 U.S.C. § 209. [cites former 5 C.F.R. § 735.202]
1986
12/15/1986
86x19: “Mere Membership” in an Organization and 18 U.S.C. § 208(a)
Mere membership in an organization does not, without other personal financial ties, require that an employee recuse himself from actions affected the organization pursuant to 18 U.S.C. § 208(a).
12/09/1986
86x18: The Council of the District of Columbia and 18 U.S.C. § 207
18 U.S.C. § 207 applies to the employees and members of the Council of the District of Columbia, even though the Council provides a legislative function.
12/04/1986
86x17: Requests for an Official’s Signature
To evaluate requests for an official’s signature, agencies should consider the nature of the item on which the signature is to be affixed, the purpose for which the signature is sought, and the official’s position to ensure that the request does not create an appearance of using public office for private gain. [cites former 5 C.F.R. § 735.201a(a)]
11/28/1986
86x16: Wedding Gifts and Waiver of the Public Financial Reporting Requirements
An employee may request a waiver of the public reporting requirements of for wedding gifts he and his future spouse received by following the procedures in 5 C.F.R. § 734.303(g)(2). Such gifts are not automatically exempt from reporting requirements. [cites former 5 U.S.C. app. § 202]
11/25/1986
86x15: Meaning of “Personally and Substantially” under 18 U.S.C. § 207
18 U.S.C. § 207 did not prohibit a former government employee from representing a company in seeking a contract that was related to his former duties where he was not personally and substantially involved in the matter on which his services were being requested.
11/05/1986
86x14: Potential Restrictions on Newsletters Providing Agency Information Readily Available to the Public
OGE reviews the provisions that should be analyzed when determining whether an agency employee may continue to publish a newsletter providing agency information readily available to the public. [cites former 5 C.F.R. Part 735]
09/11/1986
86x13: Representations to a Former Agency and Matters Involving Specific Parties
18 U.S.C. § 207(a) does not prohibit a former government employee from making representations to his former agency in response to an RFP that he had reviewed as an agency employee but which was issued after he left government employment.
09/08/1986
86x12: Blind Trusts and Diversified Mutual Funds
The Ethics in Government Act does not prohibit a trustee of a qualified blind trust from investing in a diversified mutual fund that might have incidental interests in certain organizations the direct of holding of which might be otherwise prohibited. [cites former 5 U.S.C. app. 4 § 202]
08/26/1986
86x11: Co-Authorship and Royalties from Books on Subjects Involving a Government Employee’s Official Duties
OGE reviews the provisions that should be analyzed when determining whether an agency employee might co-author and accept royalties from two books on subjects involving his official duties. [cites former 5 C.F.R. part 735]
08/08/1986
86x9: Limitations on Employee’s Operation of Outside Business Activity
Several statutes and regulations impose restrictions on the business activities and compensation of employee who was President and CEO of a corporation.
08/08/1986
86x10: Acceptance of Official Travel Expenses Associated with On-Site Inspections and Public Meetings
An agency can allow the acceptance of official travel expenses associated with on-site inspections and public meetings, even when the entity defraying the expenses has interests that could be affected by the agency’s activities; however, an agency should consider imposing some limitations.
08/07/1986
86x8: Honorarium and Outside Compensation for Government Work
An agency’s supply service personnel should not accept compensation for their participation in a corporation’s market research survey, as such compensation violates 18 U.S.C. § 209 and 5 C.F.R. §§ 735.201a(a), 735.203, and 735.206 restrictions. [cites former 5 C.F.R. Part 735]
07/22/1986
86x7: Discounts Offered to All Federal Government Employees
An agency’s employees may accept discounts that a corporation was offering to all federal government employees for both official and leisure travel.
06/23/1986
86x6: Gifts From a Government Employee’s Subordinate
An employee could purchase discount airline tickets from the wife of the government employee’s subordinate without violating the gift restrictions of 5 U.S.C. § 7351 and 5 C.F.R. § 735.202(d); however, the employee’s agency could determine that such an action still created the appearance of impropriety. [cites former 5 C.F.R. Part 735]
05/23/1986
86x5: Outside Business Partnerships
18 U.S.C. § 207(g) bars a government employee’s business partner from engaging in representational activities related to matters in which the employee participates or is under his official responsibility. 18 U.S.C. §§ 203 and 205 could also impact the employee’s partnership activities and his agency may apply further restrictions.
04/10/1986
86x4: Outside Earned Income, Book Contracts, and Part-Time Teaching Positions
The outside earned income limitation does not affect an employee’s book contract and part-time teaching position where the employee did not serve in a position to which the limitation applied. However, such activity may be restricted by other standards of conducts and regulations. [cites former 5 U.S.C. app. 4 § 210 and 5 C.F.R. Part 735]
04/03/1986
86x3: Investment Clubs and 18 U.S.C. § 208(b)(2) Waivers
Investment clubs are not appropriate subjects for 18 U.S.C. § 208(b)(2) waivers because the circumstances surrounding the management and portfolio policies of investment clubs vary widely. However, an agency may announce in its regulations that waivers will be granted for investment clubs on a case-by-case basis under certain conditions.
03/20/1986
86x2: Official Responsibilities and Self-Disqualification
A government employee’s self-disqualification with respect to a matter for which the employee had official responsibility would not remove the matter from the scope of the authority of the office for purposes of 18 U.S.C. § 207(b)(1). [also cites former 5 C.F.R. Part 737]
01/22/1986
86x1: Intra-Governmental Matters and 18 U.S.C. § 207
18 U.S.C. § 207 does not apply to a former agency employee who left the agency to join the Tennessee Valley Authority, a government agency for purposes of applying the criminal conflict of interest statute. The statutory conflict of interest restriction did not apply because the matters were intra-governmental.
1985
12/12/1985
85x19: Applicability of 18 U.S.C. § 209 to Donors and Recipients of Money for a Private Defense Fund
For 18 U.S.C. § 209, it is important to determine if the defense fund was meant to be "compensation for services as an employee of the United States." Determination must be based on totality of the circumstances. Persons involved in setting up fund must be mindful of 5 U.S.C. Part 7351 and the standards of conduct. [Note: In light of
>Crandon v. United States, 494 U.S. 152 (1990), the analysis regarding the application of 18 U.S.C. § 209 to legal defense funds was revised in
>OGE Informal Advisory Letter 93 x 21].
10/28/1985
85x18: Participation for Compensation by Executive Branch Employees in Privately-Sponsored Seminars or Conferences
The memo covers applicable criminal statutes and other related statutes and the standards of conduct and the public disclosure requirements of the Ethics in Government Act. [cites former 5 C.F.R. Part 735]
10/23/1985
85x17: Spouse's Financial Interests
OGE also pointed out that the husband's interests were voided by the Department on the basis of a specific statutory prohibition against employees holding such interests. There was also no unfair treatment, because others with prohibited interests were not required to divest if they had the interest prior to employment.
09/30/1985
85x16: Sponsorship of a Government Awards Program by Private Organization
The organization could host a separate banquet honoring the recipients of the awards because as 26 U.S.C. § 501(c)(3) organization, it could under 5 U.S.C. § 4111, offer such an honor to each employee. Each employee's agency wound need to determine under 5 C.F.R. Part 410.705 if its employees could attend.
09/25/1985
85x15: Application of 18 U.S.C. § 207(a)
18 U.S.C. § 207(a) prohibited former employee from representing foundation to the government on matters involving the establishment of the foundation or its working relationship with the museum. The OGE determined that the concept of a departmental museum was a particular matter involving a specific party. [Cites former 5 C.F.R. Part 738]
09/23/1985
85x14: Appearance Issues Arising from Financial Interest of Government Employee’s Sibling
Although the recusal requirement of 18 U.S.C. § 208 would not be triggered because it doesn't cover financial interests of a sibling, the standards of conduct would apply. [References 28 U.S.C. § 455(a) and (b), OGE Advisory 83x18 and former 5 C.F.R. Part 735]
09/17/1985
85x13: Discussion of Ethics Issues Related to Commercial Discounts
Memo covers applicable criminal statutes and other related statutes, the standards of conduct, and the public disclosure requirements of the Ethics in Government Act. [cites former 5 C.F.R. part 735]
08/29/1985
85x12: Limitations on Employee’s Operation of Outside Business Activity
Several statutes and regulations impose restrictions on the business activities and compensation of employee who owns a business and is interested in bidding on Government contracts. [Note: The 18 U.S.C. § 203 analysis in this opinion was modified by
>OGE Informal Advisory Memorandum 99 x 25.] [Cites former 5 C.F.R. Part 735.]
08/23/1985
85x11: Paid Leave of Absence Prohibited by 18 U.S.C. § 209
OGE determined given Nominee's continuing ties to the corp., package resembled a leave of absence rather than a normal severance agreement, and the pay seemed to be supplementing his government salary during the leave, in violation of 18 U.S.C. § 209.
07/15/1985
85x10: Conflict of Interest Issues Raised by Spouse’s Employment with Government Contractor
Given the nature of the duties the spouse performed, OGE determined she had a financial interest in the contract and thus the employee was prohibited from acting on the contract unless issued a waiver.
07/12/1985
85x9: Misuse of Government-Owned Vehicle
OGE advised the head of an agency of the considerations this Office felt were involved in determining whether the use of a government-owned vehicle for transportation to social or quasi-social events was a misuse of government property. [cites former 5 C.F.R. part 735]
05/20/1985
85x7: Public Financial Disclosure Positions and Equal Classification Process
OGE addresses issue of whether certain positions in an agency are of equal classification to those held by Senior Executive Service (SES) employees and should be required to public financial disclosure forms.
05/20/1985
85x8: Access to Public Financial Disclosure Reports by Investigators
OGE would not amend the exemption in 5 C.F.R. § 734.603(c) which allows Special Agents of the Federal Bureau of Investigation who are conducting criminal conflict of interest investigations access to public financial disclosure reports without filing a public request, to include agents of the inspectors general. [cites former 5 C.F.R. part 734]
05/16/1985
85x6: Application of 18 U.S.C. § 207(b) to Former Employee’s Representation of Government Contractor
Since no ultimate resolution of the original filing had been reached and the matter was still capable of being pursued, it was, for purposes of 18 U.S.C. § 207(b)(i) "actually pending" in the department. Further, the employee's official job description encompassed supervision of all such claims including this matter. [cites former 5 C.F.R. 737]
05/09/1985
85x5: Applicability of 18 U.S.C. § 207(c) to Former Senior Employees of the Civil Aeronautics Board
Even though certain functions of CAB were integrated into the existing structure of the DOT, 18 U.S.C. § 207(c)'s restrictive language refers explicitly to representations to the agency where the former employer served, and there was no portion of the DOT that could be considered the CAB for purposes of 18 U.S.C. § 207(c).
04/02/1985
85x4: Agency Standards of Conduct Relating to Gift Exceptions
Agency wished to allow employees giving speeches to receive gifts from host private entities. OGE said no exception could be applied that would allow receipt of those gifts, under 18 U.S.C. § 209 or under 5 C.F.R. §§ 735.202 and 735.203.
03/08/1985
85x3: Government Employee’s Preparation of Tax Returns for Taxpayers
Employee could prepare and sign tax returns, but could not represent the taxpayers to the IRS in any subsequent audit. If the tax preparation was done through a business, the employee would be prohibited from sharing any fees generated by his associates in representing clients before the government. The agency could restrict activities.
01/07/1985
85x1: Government Employee’s Representation of Veteran before Board of Veterans Appeals
The 4th paragraph of 18 U.S.C. § 205 provides an exception allowing employees to represent other employees in certain internal proceedings. However, this would not reach the entitlement portion of a proceeding that is often part of a veteran's appeal.
01/07/1985
85x2: Agency Standards of Conduct Addressing Outside Employment and Misuse of Information
OGE advised that agency versions of 5 C.F.R. §§ 735.203 and 735.206 applied to two agents contracting with a magazine, giving the magazine exclusive production rights to the story of their investigation into racketeering. OGE stated that the agency could consider adverse action if the agents violated the standards of conduct.
1984
12/17/1984
84x16: Determining Whether Two Proceedings are “Same Particular Matter” under 18 U.S.C. § 207(a)
The former proceeding involved a threshold issue and a follow-up issue. The agency ruled based on the threshold issue, and the remand involved the follow-up issue. OGE determined the individual "personally and substantially" participated in the first proceeding and that both proceedings must be considered parts of the same particular matter.
11/19/1984
84x15: Meaning of “Specific Party” and “Matter” as used in 18 U.S.C. § 207
"Specific party" in 18 U.S.C. § 207 is not limited to entities that were parties at the same time a former government employee had personal and substantial participation for a particular matter. Also, a draft RFP is a "matter" but 18 U.S.C. § 207(a) and (b)(i) do not apply until it becomes a matter involving a specific party or parties.
10/31/1984
84x14: Scope of 18 U.S.C. § 205
The agency director was not prohibited from applying for an SBA loan for himself, as opposed to a corporation or partnership, because that section had never been interpreted to prevent an employee from representing himself before a federal agency or court. OGE suggested the director review a specific SBA regulation which might affect his plans.
06/15/1984
84x13: Applicability of Conflict of Interest Statutes to Special Government Employees
Attorney did not qualify for certain limited restrictions of 18 U.S.C. §§ 203 and 205 for SGEs because he served more than 60 days in the preceding 365 day period. Because he was an SGE, 18 U.S.C. § 209 did not apply to him. 18 U.S.C. § 207(a) and (b)(i) would apply after termination, but 18 U.S.C. § 207(b)(ii) and (c) did not apply.
06/14/1984
84x11: Use of Title of Government Position in Forward to Book
It would be improper for the agency head to write a forward for a book in his name as head of the agency or for his name and title to be used in the marketing and sale of the book, when the book was written by a private party and focused on the best use of the agency. Prohibited by 201(c) of EO 11222, and 5 C.F.R. part 735.201a(b).
06/14/1984
84x12: Severance Pay and 18 U.S.C. § 209
OGE advised an employee after reviewing his former law firm's practice with regard to severance payments, that the severance payments made to the employee did not appear to constitute a supplementation of government salary prohibited by 18 U.S.C. § 209 or a violation of any other relevant conflict of interest statute or regulation.
06/14/1984
84x10: Gift of Airline Tickets
An employee can accept lunch and certain winnings (airline tickets) because neither the luncheon host nor the airline that donated the tickets did business with the agency, was regulated by the agency, or had interests that could affect the employee's duties. (cites former 5 C.F.R. part 735)
06/11/1984
84x9: Conflict of Interest Issues Raised by Re-Employment of Former General Counsel by Agency
A former general counsel of an agency would be prohibited by 18 U.S.C. § 205 from representing any client on matters before or within his former agency while an SGE for the agency.
06/07/1984
84x8: "Excepted Trust" under 5 U.S.C. app. § 202(f)(2)(B)
The employee, attempted to make a trust created for his children into a trust excepted under 5 U.S.C. app. § 202(f)(2)(B). A blind trust requires approval by the OGE, and an excepted trust requires the employee to have no knowledge of the assets of the trusts when he took office.
05/21/1984
84x7: Exception under 18 U.S.C. § 207(h) for Testimony by Former Government Employee
OGE advised a former employee that he may testify in a proceeding involving a dispute as to the interpretation of a settlement agreement in whose negotiations the former employee had personally and substantially participated as attorney representing a government commission. OGE's opinon was based on the exceptions found in 18 U.S.C. § 207(h).
05/01/1984
84x5: Acceptance and Disclosure of Travel Expenses and Related Gifts
Agency-wide memo on the acceptance and disclosure of travel expenses and related gifts. The memo covers applicable criminal statutes and other related statutes, the administrative standards of conduct, relevant decisions of the Comptroller General and the public disclosure requirements of the Ethics in Government Act. Originally issued on May 1, 1984; amended on August 24, 1984.
05/01/1984
84x6: Conflict of Interest Issues Raised by Spouse’s Employment on Retainer with a Government Contractor
OGE advised agency counsel that while an employee's spouse who worked on a retainer basis for a contractor might not have a financial interest for purposes of disqualifying the employee under 18 U.S.C. § 208 from participating, the relationship created a high degree of appearance of impropriety, and the employee should not participate.
04/06/1984
84x4: Application of Conflict of Interest Statutes to Independent Counsel
Advised an individual appointed as an independent counsel of the applicability of 18 U.S.C. §§ 203, 205 and 209 to him and his continued law practice because of his probable status as a special government employee.
03/19/1984
84x3: Application of 18 U.S.C. §§ 203, 205, 208, and 209 to Employee's Outside Law Practice
Advised employee about application of 18 U.S.C. §§ 203, 205, 208 and 209 to his outside practice of law as a member of a law firm (after agency approved the outside employment). Describes prohibitions he would be subject to under each statute.
03/06/1984
84x2: Application of 18 U.S.C. § 207 Post-Employment Restrictions to Certain Proposed Activities
OGE advised that for purposes of 18 U.S.C. § 207(a), the underlying commercial disputes between private parties should not be considered the same particular matters as the two treaty disputes between the US and Iran that the individual had personally and substantially participated in.
02/02/1984
84x1: Applicability of 18 U.S.C. § 207 to Former U.S. Agent to the Iran-United States Claims Tribunal
Determined that 18 U.S.C. §§ 207(a) and (b)(ii) did not prohibit representations to the tribunal, but that the former employee was prohibited from making representations to current U.S. government employees if they were also involved in the matter.
1983
12/30/1983
83x20: Applicability of 18 U.S.C. § 208
OGE advised an agency that an employee of the agency would be prohibited by 18 U.S.C. § 208 from taking action on a contract when his wife was employed by the contractor as a consultant on the contract. A waiver would not overcome the appearance of impropriety in this situation.
12/23/1983
83x19: Applicability of Conflict of Interest Statutes to Employee on Sick Leave
Employee is subject to 18 U.S.C. §§ 203 and 205 while on sick leave pending retirement. He cannot make representations on behalf of a corporation, nor can he receive compensation based on anyone’s representation to the Government. [Note: The 18 U.S.C. § 203 analysis in this opinion was modified by
>OGE Informal Advisory Memorandum 99 x 25.]
11/16/1983
83x18: Recusal of a Commissioner when Son's Law Firm Represents a Party
OGE advises on whether a Commissioner is prohibited from participating in adjudicatory proceedings in which one of the parties is represented by a law firm with which the Commissioner's adult son is engaged as an associate. [cites former 5 C.F.R. Part 735]
11/09/1983
83x17: Applicability of 18 U.S.C. § 207(a) and (b) to a Former Non-Senior Employee
OGE advised a former non-senior employee who had, while an employee, been substantially involved in developing proposed legislation. OGE stated that he was not prohibited by 18 U.S.C. § 207(a) or (b)(i) from assisting a private organization in trying to achieve passage of the bill, as it was not a particular matter involving specific parties.
10/20/1983
83x16: President and Vice President not Subject to 18 U.S.C. §§ 202-209
OGE advised that the President and Vice President are not legally subject to (1) the restrictions of the criminal conflict of interest laws in 18 U.S.C. §§ 202-209 and (2) the standards of conduct set forth in Executive Order 11222 and the regulations thereunder. [cites former 5 C.F.R. Part 735]
10/19/1983
83x15: Establishing a Trust for Government Employees
OGE provides guidance on whether payments to government employees from a private trust would violate 18 U.S.C. § 209(a). In this case, the only eligible recipients for grants from the trust would be defined by their federal employment. This would give rise to an inference that such payments were made as outside compensation for Government services.
09/26/1983
83x14: Post-Government Employment Restrictions of 18 U.S.C. § 207(c)
OGE advised a department that a former senior employee subject to 18 U.S.C. § 207(c) could not, for a period of one year after leaving Government Service, represent a corporation to the department on any matter which was pending before the department or in which it had an interest.
09/21/1983
83x13: Post-Government Employment Restrictions of 18 U.S.C. § 207(b)
OGE provides guidance on 18 U.S.C. § 207(b)(i) to a former Government attorney who may have violated the statute by representing an individual in negotiations with a U.S. Attorney's office during a grand jury investigation when that investigation had been pending in the former employee's office during his last year of Government service.
08/03/1983
83x12: Post-Government Employment Restrictions of 18 U.S.C. § 207(a) and (c)
A former senior employee of the agency violated 18 U.S.C. § 207(c) by submitting an application to the agency on behalf of a corporation within on year from the time he left the agency. Additionally, he violated 18 U.S.C. § 207(a) because the matter was one which the employee had been personally and substantially involved as a Government employee.
07/26/1983
83x11: Employee's Acceptance of Gifts from an Organization Directly Affected by his Agency
An employee of an agency would be prohibited by the agency's standards of conduct relating to the acceptance of gifts from receiving a cash public service award from an organization which was directly affected by action taken by the agency. [cites former 5 C.F.R. § 735.202]
07/21/1983
83x10: Application of 18 U.S.C. § 209 to Receipt of Awards by Government Officials
There is no requisite intent to compensate an official for official duties and therefore no violation of 18 U.S.C. § 209 in the bestowal upon a Government official of a bona fide award for public service or other meritorious service.
07/20/1983
83x9: Divestiture and Conflicts of Interest
A statute creating a Government board required members of the board not to have any financial interest in a certain company. OGE concluded that an individual would still have a financial interest in a company within the meaning of the statute if that individual placed the company's stock in an irrevocable trust for the benefit of her children.
04/25/1983
83x7: Former Employee Representing a Client to Congress on Legislation he Assisted in Drafting
A former senior employee who had assisted his former agency in drafting proposed legislation would not be prohibited by 18 U.S.C. § 207(c) from representing a private client to the legislative branch on that legislation. He would be prohibited from representing a client on that legislation to his agency or their employees for 1 year after his departure.
04/25/1983
83x8: Discussion of 18 U.S.C. § 207
OGE advised a Government attorney on the general restrictions of 18 U.S.C. § 207 should he decide to join a private law firm as an associate.
04/13/1983
83x6: Payments to a Government Employee as a Result of a Covenant Not to Compete
Payments made under a Covenant Not to Compete entered into by a recent appointee may not raise a question under 18 U.S.C. § 209 if they were made pursuant to an agreement entered into before contemplation of Government Service and for a normal business purpose. However, 18 U.S.C. § 208 applies for any action affecting that corporation.
03/29/1983
83x5: Former Government Employee Testifying when Government is a Party
A former Government employee would not be barred by 18 U.S.C. § 207(a) or (b) from being an expert witness in litigation where the United States was a defendant and another defendant wished to use the employee as an expert when the employee's work for the government was not a particular matter involving a specific party or parties.
03/25/1983
83x4: Restrictions on Payment from a Publisher to a Senior White House Official
A senior White House official receiving payments from a publisher for a proposed diet book does not violate 18 U.S.C. § 209, the 15% outside earned income limitation imposed by the White House on its senior staff, or the prohibition on presidential appointees receiving compensation for writings.
02/04/1983
83x3: Private Source Reimbursing Spouse's Travel Expenses
OGE advises that the acceptance by an employee for the reimbursement from a private source for travel expenses of a spouse accompanying the employee on official travel would probably, except under very limited circumstances, violate 18 U.S.C. § 209 and standards of conduct governing gifts.
01/31/1983
83x2: Accepting Payment for Personal Legal Counsel from a Former Employer
OGE discusses whether it would be permissible, under 18 U.S.C. §§ 203, 205, or 209, for an attorney's former law firm to pay the fees and expenses of his counsel and personal expenses when incurred by him in a matter arising out his prior private service as counsel to a corporation now the subject of a federal grand jury investigation.
01/27/1983
83x1: 18 U.S.C. § 205's Exception for Testimony Under Oath
The exception in 18 U.S.C. § 205 for "testimony under oath" would permit a present employee of the U.S. Government to serve as an expert witness for the plaintiff even though the United States was a defendant-in-chief. However, it is OGE's position that the standards of conduct, would prohibit such testimony. [cites former 5 C.F.R. § 735.201]
01/07/1983
83 OGE 1: Vested Rights in a Pension Plan as a "Financial Interest"
OGE addresses the question "whether, or under what circumstances, a federal employee's vested rights in a private corporation's pension plan constitute a 'financial interest' under 18 U.S.C. § 208, so as to bar the employee's participating in a contract or other particular matter involving that corporation." [The guidance in this opinion was modified in 1999 by
DAEOgram DO-99-015.]
1982
12/28/1982
82x21: Acting on Behalf of the United States and 18 U.S.C. § 207; Independent Contractor Status and 18 U.S.C. §§ 203 and 205
18 U.S.C. § 207 does not prohibit a former Commissioner from being hired by a Federal judge as a special representative on a matter in which he had participated personally and substantially under the exception for acting on behalf of the United States. The Commissioner may have independent contractor status under 18 U.S.C. §§ 203 and 205.
12/20/1982
82x20: Outside Employment for a Consulting Firm and 18 U.S.C. §§ 203 and 205
18 U.S.C. §§ 203 and 205 does not prohibit a government employee from working for a consulting firm on a contract with another agency if the employee did not represent the firm before the agency and payment for his services was not contingent on the firm’s contract.
12/09/1982
82x19: Federal Attorney's Representation of Former Employees in Administrative Proceedings Subsequently Appealed to District Court
OGE supports interpreting 18 U.S.C. § 205 as excepting federal attorneys, with proper approval, from prohibitions on representing employees and clients in administrative proceedings appealed to a district court. For an employee to represent another employee, the representation must not be “inconsistent with the faithful performance of his duties.”
12/03/1982
82x18: Intellectual Property and Outside Earned Income
Outside Earned Income under 5 U.S.C. app. § 210 includes income from the sale or other disposition of, transfer of an interest in, or licensing of the use of an intellectual property such as a manuscript by the official who created the property.
11/18/1982
82x17: Gift Exception for Items that Qualify as Unsolicited Advertising
A publishing company is not prohibited by 5 C.F.R. § 735.202 from distributing for free an edition of a reference book to the 29,000 agency officials listed in the book. While the company did business or was seeking to do business with those agencies, the book fell within the exception for unsolicited advertising. [cites former 5 C.F.R. § 735.202]
11/05/1982
82x16: Agency Negotiations to Contract with Former Government Attorney’s Firm and 18 U.S.C. § 207(a)
18 U.S.C. § 207(a) prohibits a former government attorney from representing his law firm in negotiations with an agency concerning the agency’s wish to hire the firm as outside counsel in a matter in which the attorney had personally and substantially participated. Once the firm was hired, the attorney could provide legal services for the agency.
11/01/1982
82x15: Paid Expenses for Intra-Company Move to the Executive Exchange Program, Bona Fide Employee Benefit Plans, and 18 U.S.C. § 209
A private corporation may, without violating 18 U.S.C. § 209, pay certain expenses incident to one of its employee’s move to Washington DC in part to participate in the one-year Presidential Executive Exchange Program because the move was determined to be an intra-company move and the payments were made pursuant to a bona fide employee benefit plan.
10/21/1982
82x14: Blind Trusts and Application of 5 U.S.C. app. § 202(f)(3)(C)(ii)
5 U.S.C. app. § 203(f)(3)(c)(ii) prohibits a trustee from holding in trust for any interested party any asset that the interested party is specifically prohibited by law or regulations from holding, even in the context of a blind trust where the interested party would be unaware of the asset acquired by the trustee. [cites former version of § 203]
08/31/1982
82x13: State Case and Federal Case are “Same Particular Matter” under 18 U.S.C. § 207(a)
A former federal attorney is barred by 18 U.S.C. § 207(a) from representing a state before a federal agency or employee in the state’s prosecution of an individual where the attorney participated personally and substantially in the federal prosecution of the same individual for the same activities.
08/05/1982
82x12: Military Retirement Income and Disclosure Exemptions of 5 U.S.C. app. § 202(a)(1)(A)
A retired military officer who is now employed in the executive branch is not required to disclose his military retirement income. Such retirement income is considered “reduced compensation for reduced current services” and falls within the parenthetical exception in 5 U.S.C. app. § 202(a)(1)(A).
07/09/1982
82x22: Members of Federal Advisory Committees and the Conflict-of-Interest Statutes
OGE discusses (1) the background of the conflict-of-interest statutes, particularly 18 U.S.C. § 202(a); (2) the characteristics of advisory committee members who are SGEs, as distinguished from those who remain in private roles; and (3) the principles enunciated by the Federal Personnel Manual to the members of present or former advisory committees.
06/30/1982
82x11: Exception for Representing Indian Tribes and Notification of Past Government Participation in the Matter
To take advantage of the exception to 18 U.S.C. § 207 for representing Indian tribes, a former employee must notify the governmental body before which he wishes to appear that the matter involved in the appearance was one in which he personally and substantially participated as a government employee.
06/22/1982
82x10: Government Printing Office and 18 U.S.C. § 207
18 U.S.C. § 207 restrictions apply only to employees of entities within the executive branch as those terms are defined by 18 U.S.C. § 6 and 5 C.F.R. § 737.3(a)(2). The Government Printing Office does not fall within those definitions and has long been recognized as part of the legislative branch.
06/11/1982
82x9: Honorarium Paid to Charitable Organizations on a Government Employee’s Behalf and Outside Earned Income
An honorarium paid to a charitable organization on a government employee’s behalf must be counted as outside income to the employee for purposes of 5 U.S.C. app § 210.
06/02/1982
82x8: Employees on Agency Assignment to a Public International Organization and 18 U.S.C. § 207 Exceptions
OGE advised that if an employee accepted a transfer to World Bank, that the employee could act on behalf of the Bank on any matter pursuant to the exceptions to 18 U.S.C. § 207 as the exception runs to employees of a public international organization on assignment from an agency.
05/17/1982
82x6: Executor’s and Trustee’s Fees and Outside Earned Income under 5 U.S.C. app. § 210
An executor’s fee and a trustee’s fee “brought about” by services performed in such capacities while serving in the Government, must be considered as outside earned income for purposes of the limitations set forth in 5 U.S.C. app. § 210. OGE explains how to calculate the amount attributable to the outside earned income limitation.
04/19/1982
82x7: Proceedings Involving a Particular Matter and 18 U.S.C. § 207
A former senior employee was not prohibited by 18 U.S.C. § 207(b) and (c) from being present in a courtroom or advising defense counsel at defense counsel’s table during proceedings involving a particular matter in which he had not personally participated but which had been under his official responsibility during his last year of government service.
04/08/1982
82x5: Meaning of “Same Particular Matter” under 18 U.S.C. § 207(a)
A former government employee who testifies on behalf of a private party in a rate-making proceeding would violate 18 U.S.C. § 207(a) if the proceeding were considered to be of the “same particular matter involving a specific party or parties” as an earlier rate-making proceeding in which the employee had personally and substantially participated.
03/10/1982
82x4: Prohibition of Outside Employment Based on the Appearance of Impropriety and Past Public Criticism
An agency can, under its regulatory equivalent to 5 C.F.R. § 735.203, prohibit certain outside employment based on the appearance of impropriety that previously subjected the agency to unfavorable criticism and impaired the public’s confidence in the agency. Unless the agency’s judgment was arbitrary or capricious, OGE would not overturn it.
02/12/1982
82 OGE 1: Meaning of Term "Organization" in 18 U.S.C. § 208(a)
A state's higher education system and/or institutions need not invariably be joined with the rest of the state governmental structure into one "organization" for the purposes of 18 U.S.C. § 208(a).
01/26/1982
82x3: Designation of Agency Ethics Officials
OGE intended through its regulation in Part 738 of Title 5 of the C.F.R., that each agency have only one designated agency ethics official and only one alternate agency ethics official as required to perform the duties in 5 C.F.R. § 738.203(b)(3). Only the designated agency ethics official is required to file a public financial disclosure report.
01/18/1982
82x2: Application of Prior Version of 18 U.S.C. § 207(a)
A former Government employee who served in the executive branch until 1967 was subject to the post employment restrictions of 18 U.S.C. § 207(a) as read in 1967 and not as amended in 1978 and 1979 where he sought to consult for a subcontractor in a suit arising out of the contracted work with the individual’s former agency.
01/11/1982
82x1: Representations Submitted with the “Intent to Influence” and 18 U.S.C. § 207(a)
A letter submitted to an agency by a former government official that simply agreed to an agency assessment and stated that a check was tendered is not a communication submitted with the “intent to influence” as prohibited by 18 U.S.C. § 207(a), even though the former official recommended the assessment while employed by the agency.
1981
12/16/1981
81x35: Negotiations with a Former Agency Employer and 18 U.S.C. § 207(c)
18 U.S.C. § 207(c) prohibits a former senior employee from representing his new employer in negotiations with his former agency concerning the corporation’s use of subcontractors. This opinion also discusses the policy statement in 5 C.F.R. § 737.1 implementing 18 U.S.C. § 207(b)(ii) regarding supervisory participation in a government funded project.
11/23/1981
81x34: Representations by General Partners of a Government Employee and 18 U.S.C. § 207(g)
18 U.S.C. § 207(g) prohibits a government commissioner's general partners from representing clients before the commissioner’s agency at any level. Recusal by the commissioner in any matter in which one of the partners represented a client would not have the effect of removing the matter from the under the commissioner’s "official responsibility."
11/06/1981
81x33: Testimony before an Agency and 18 U.S.C. § 207
18 U.S.C. § 207 would not prohibit a former senior agency employee from appearing as a state expert witness in a hearing before a second agency if the subject matter of his testimony were limited to the validity of the investigations and methodologies used by the other consultant that the state had retained to produce data to be used at the hearing.
10/27/1981
81x32: Temporary Private Employment and 18 U.S.C. § 209
A government employee who takes leave without pay to accept a temporary, non-conflicting position with a corporation would not violate 18 U.S.C. § 209 by accepting a salary and certain employee benefits from the corporation during that time.
10/02/1981
81x31: Receipt of a Bequest and 18 U.S.C. § 209(a)
The receipt of a bequest by the present employees of an agency would not violate 18 U.S.C. § 209(a) when the bequest was made without intent to influence and the employees provided services to the deceased without any expectation of reward. This determination is premised on the specific facts of the transfer of an item of value to an employee.
08/28/1981
81x30: Legislative Employees and 18 U.S.C. § 207
18 U.S.C. § 207 did not apply to a former legislative employee who had, by virtue of his legislative position, served as an ex-officio member of a commission within the executive branch where the former employee was still responsible in a direct manner to Congress for the performance of his duties.
08/21/1981
81x29: Particular Matter Involving Specific Parties and 18 U.S.C. § 207
A former government employee would not violate 18 U.S.C. § 207 by completing revisions of a technical manual for his present employer that the former employee had written and had begun to revise for his former agency before leaving the government because the revision was not a “particular matter involving specific parties.”
08/21/1981
81x28: Former Government Employee Representations Based on Personal Knowledge and 18 U.S.C. § 207
A former senior employee would not violate 18 U.S.C. § 207(c) by contacting his former agency within the prohibited one-year period to recommend the appointment of an individual to a position in that agency if the recommendation were based on his personal knowledge of the individual under section 207(i).
08/07/1981
81x27: 18 U.S.C. § 208 and Government Contracts
An agency wishing to contract with a credit union, whose membership and management is composed of current and retired agency employees, must ensure that employees taking action on the contract were not credit union members or officers and did not hold a financial interest in it.
08/07/1981
81x25: 18 U.S.C. § 207 and Determining a Former Employee’s Agency by Chain of Command
The chain of command was dispositive in determining a former senior employee’s “agency” for purposes of applying 18 U.S.C. § 207(c) and the former employee was prohibited from representing anyone before any portion of that agency for one year following his termination of government service.
08/07/1981
81x26: 18 U.S.C. § 207(a), Rulemaking, and Representations to the Government
18 U.S.C. § 207(a) did not prohibit a former Government attorney from preparing a client memo analyzing rules which he had been personally and substantially involved in creating as a Federal employee. Section 207 applies to representations before and communications to the U.S., and rulemaking is not a "particular matter involving a specific party."
07/31/1981
81x16(2): 18 U.S.C. § 209 and Severance Pay Plan
Follow-up to 81x16(1): PAS nominee provided information that satisfied OGE that payments under he was scheduled to receive under the severance plan from his company were for his past services.
07/23/1981
81x24: Special Government Employees and 18 U.S.C. §§ 202, 203, and 205
A member of a federal board was determined to be a special government employee under 18 U.S.C. § 202 and was subject to the conflict of interest laws when representing his private business to the government. However, the restrictions of 18 U.S.C. §§ 203 and 205 had a limited application to the special government employee.
07/22/1981
81x23: Same Particular Matter Involving a Specific Party and 18 U.S.C. § 207(a)
18 U.S.C. § 207(a) prohibits a former commissioner from representing a client before his former commission in the same particular matter involving a specific party where an individual who was denied relief during the former commissioner’s tenure wished to reapply to the commission for the same type of relief.
07/20/1981
81x22: Public Financial Disclosure Reports and Level of Position in the Government
Whether 5 U.S.C. app. § 201(f)(3)requires an individual to file a public financial disclosure report is determined by the level of position that the individuals holds and not the amount of money paid to the individual. If a department had unclassified special government employees, it must look to the amount paid. [cites former 5 U.S.C. app. 4]
06/25/1981
81x21: Preparing Income Tax Returns for Others and 18 U.S.C. § 203
18 U.S.C. § 203 did not prohibit government employees from preparing income tax returns for others, but employees may not provide services beyond the preparation for compensation. Further, section 203 does not bar an agency from adopting stricter standards if it concludes that an outside activity would be adverse to its interests.
06/18/1981
81x20: Matters of a Personal and Individual Nature and 18 U.S.C. § 207(c)
A former senior employee would not violate 18 U.S.C. § 207(c) if his name was placed on an active list of arbitrators maintained by the agency under the subsection (i) exemption for matters “of a personal and individual nature” where the agency maintained the list and had no control over who was selected from the list by parties to an arbitration.
06/12/1981
81x19: Conflict of Interest Issues Related to Investment in Limited Partnership
Under 18 U.S.C. § 208(a) requires a Government employee to refrain from participating in any matter that might come before his agency in which the limited partnership in which he is a partner is directly involved. [also discusses a prior version of 18 U.S.C. § 207]
06/02/1981
81x18: Accepting Benefits from a Former Private Employer when Leaving to Work for the Federal Government
OGE advised a company that it might afford one of its employees, who was leaving the company to accept an appointment in the Federal Government, the opportunity to use its home buying service. The service did not fall within the exemptions of 18 U.S.C. § 209(b) but OGE found that the offer was made as a recognition of past services.
05/15/1981
81x17: Payment to an Employee on Leave Serving as a Consultant to the Federal Government
Pursuant to the terms of 18 U.S.C. § 209(b), a corporation may continue to pay certain specific employee benefits to one of its employees who is on a 90 day leave of absence from the corporation serving as a consultant to the Federal Government.
05/08/1981
81x16(1): 18 U.S.C. § 209 and Severance Pay Plan
Severance payments under company plan to employees going into public service must be compensation for past service to the company and not consideration for future activities.
04/17/1981
81x15: Applicability of 18 U.S.C. § 207 Restrictions
A former government attorney representing domestic gas companies in negotiations with a foreign state-owned oil company would not be restricted by 18 U.S.C. § 207. Also, 18 U.S.C. § 207(b) would not prohibit his representing the companies to the Federal Government because it would be based on a new particular matter with different specific parties.
03/20/1981
81x13: Applicability of 18 U.S.C. § 207 to Former Employees Appearing Before a Foreign Tribunal
Former employees who had, while employed by the Government, participated personally and substantially in actual or potential claims against Iran involving specific parties would not be prohibited by 18 U.S.C. § 207 from representing these claimants in an appearance before the Iranian Claims Tribunal.
03/20/1981
81x14: Scope of Coverage of 18 U.S.C. § 207(c)
The denial of the limitation of scope of coverage of 18 U.S.C. § 207(c) to those persons who had supervisory authority over separate statutory agencies designated under section 207(e) is intended by the statute, even if the separate statutory agency functions totally independent of the parent agency.
03/19/1981
81x12: Applicability of the Personnel Administration Exception
OGE advised that an employee of the Internal Revenue Service would be prohibited by 18 U.S.C. § 205 from representing another employee of the IRS in a tax audit. Such representation would not fall within the exceptions for a "disciplinary ... or other personnel administration proceeding."
03/19/1981
81x5(2): 18 U.S.C. § 207's Prohibition on Communication
Follow up to an Advisory where OGE stated that a former senior employee is not prohibited by 18 U.S.C. § 207(a) or (b) from appearing before Congress on any matter as Congress clearly is not included in the list of entities cited in those subsections to which communications are prohibited.
03/18/1981
81x11: Applicability of 18 U.S.C. § 207(c) to Employees with Supervisory Authority
OGE advised a department that its former general counsel, a senior employee, had supervisory authority over separate agencies within that department and was therefore not eligible for any limitation of the scope of coverage of 18 U.S.C. § 207(c) afforded by 18 U.S.C. § 207(e).
02/26/1981
81x10: Regulations on Outside Employment
OGE explains the restrictions that would apply to a full time executive branch employee who wishes to engage in the private practice of law while remaining a Government employee.
02/25/1981
81x9: Agency Seeking Assistance from Former Employee
An agency may always seek the assistance of a former employee without his being in jeopardy of violating post-employment provisions of section 207(c) because the former employee would be representing the Government. The restrictions do no prohibit a former employee from representing anyone before a private contractor, only before his former agency.
02/23/1981
81x8: Determining Who is Considered a Special Government Employee
OGE advises on the type of appointment or authority normally associated with the status of special Government employee including signing a customary oath of office or getting sworn in; receiving compensation or expenses from the Federal Government; acting as a spokesperson for any Government agency; or having Government office space.
02/23/1981
81x7: Applicability of 18 U.S.C. § 207(c) to a Senior Employee
The key determination pursuant to section 207(e) of whether section 207(c) is applicable to bar post-employment activity of a former Senior Employee of the parent agency is whether his or her responsibilities included supervision of the subordinate agency.
02/18/1981
81x6: Application of Outside Earned Income Limitation in the Ethics in Government Act (EIGA)
The legislative history of the outside earned income limitation of Section 210 of the Ethics in Government Act would indicate that this restriction was meant to apply to those key Presidentially-appointed policymakers whose positions appear in the Presidential personnel Appointment File maintained in the Executive office of the President.
02/17/1981
81x5(1): 18 U.S.C. § 207's Prohibition on Communication
OGE stated that a former senior employee is not prohibited by 18 U.S.C. § 207(a) or (b) from appearing before Congress on any matter as Congress clearly is not included in the list of entities cited in those subsections to which communications are prohibited.
02/02/1981
81x4: Applicability of 18 U.S.C. § 207
OGE advised a Congressman that the provisions of 18 U.S.C. § 207 would apply to a former senior executive branch employee now on his staff who represented the Congressman's constituents (at the Congressman's request) before his former agency. These representations would not be made on behalf of the constituents and on specific matters.
01/23/1981
81x3: Who is Required to File Public Financial Disclosure Reports
OGE advised that it is the level of the position held by the individual and not the level of pay the individual receives which controls whether the individual must file a public financial disclosure report required by Title II of the Ethics in Government Act.
01/21/1981
81x2: Serving as an Expert Witness
A disciplinary panel of a self-regulatory organization (SRO) was not an “agency or Department” of the agency in which a former employee served; the employee may act as an expert witness at a disciplinary hearing of the SRO.
01/09/1981
81x1: Meaning of “Particular Matter” under 18 U.S.C. § 207(c)
Legislation constitutes a particular matter for purposes of 18 U.S.C. § 207(c). [Cites former 5 C.F.R. part 737]
1980
12/08/1980
80x10: Application of Pre-1979 Version of 18 U.S.C. § 207
A former General Counsel of an agency, who had worked to develop plans to desegregate the higher education systems of several states, was barred by 18 U.S.C. § 207(a) from representing one of these states before his former agency with regard to the plans.
11/24/1980
80x9: Application of 18 U.S.C. § 207 Restrictions to Former Employee and Utilization of Exemptions
18 U.S.C. § 207(a) and (b)(i) may bar some representational activities of a former Director of an executive branch office on behalf of a non-profit organization.
10/24/1980
80x8: Applicability of Post-Government Employment Restrictions of 18 U.S.C. § 207(c) to Representations of Former Administrative Law Judge
Whether a former administrative law judge (ALJ) may represent claimants who seek benefits at hearings before ALJs of his former agency requires a case-by-case analysis. [Refers to form implementing regulation]
10/21/1980
80x1(2): Post-Government Employment Statute and Former Government Contracts Attorney
Supplemental opinion to 80x1(1). OGE discusses the type of work on contracts by a government attorney that triggers the restrictions of 18 U.S.C. § 207. (Cites former 5 C.F.R. Part 737)
08/22/1980
80x7: Application of 1979 Amended Post-Government Employment Statute
Restrictions of 1979 amendments to post-government employment statute apply to activities of employee who was re-employed as a special Government employee after the effective date of the amendments.
08/01/1980
80x6: “Communication” under 18 U.S.C. § 207(c)
Arguing to a judge or jury on behalf of a private plaintiff in a case against a Government department constitutes an oral communication to the department with the intent to influence. [Cites former 5 C.F.R. part 737]
06/15/1980
80x5: Filing of Public Financial Disclosure Report by Presidential Candidate
A Presidential candidate who withdraws his candidacy prior to May 15 of the successive reporting year is not required to file a public financial disclosure report.
06/13/1980
80x4: Particular Matter Involving a Specific Party under Post-Government Employment Statute
A former Government employee was barred from representing his new employer in connection with one phase of a Government project but not other phases of the project. [Cites prior version of 18 U.S.C. § 207]
02/27/1980
80x3: Re-Employment by Agency of Former Officer
The re-employment of a retired officer will not be viewed as a “shifting of position” under former 5 C.F.R. part 737.25(i).
02/26/1980
80x2: Specific Parties under 18 U.S.C. § 207(a) and (b)(i)
Unless the potential offeror was identified as a party or one of a number of potential parties to the particular matter in question at the time two former employees worked on the matter, the bar in 18 U.S.C. § 207(a) and 207(b)(i) would not attach.
02/04/1980
80x1(1): Post-Government Employment Statute and Former Government Contracts Attorney
18 U.S.C. § 207 bars a former Government attorney from representing the other parties to government contracts that he reviewed for purposes of making amendments and for purposes of rendering legal advice.
1979
11/02/1979
79x7: Waiver of Public Financial Disclosure Requirements
OGE declined to grant a waiver of the public financial disclosure requirements of the Ethics in Government Act of 1978 without additional information from the employee requesting the waiver.
10/26/1979
79x6: Former Post-Government Employment Interim Regulations and GAO Employees
The legislative history and the text of the Ethics in Government Act indicate that GAO was subject to the post-Government employment interim regulations published in April 1979.
09/28/1979
79x5: Post-Government Employment Restriction on Appearance or Communication
An employee’s personal and substantial participation in a matter precludes him from making appearances before or communications to a Federal agency with regard to that matter. [Cites former version of 18 U.S.C. § 207(a) and 5 CFR Part 737]
08/17/1979
79x4: Right of Re-Employment as a Financial Interest under 18 U.S.C. § 208
An employee’s leave of absence agreement with an organization is an arrangement concerning prospective employment. Divestiture of re-employment rights resolves the conflict of interest with the organization.
08/03/1979
79x3: Interpretation of Former Version of 18 U.S.C. § 207
Former 18 U.S.C. § 207(g) did not apply to situation in which law firm with a former Government attorney as a partner represented a client in a matter in which the former Government attorney participated. [Cites former version of 18 U.S.C. § 207.]
07/12/1979
79x2: Access of Public to Financial Disclosure Reports
The public may not use a financial disclosure report for prohibited purposes such as commercial activity. Agencies are not required to notify employees about requests for their reports.
06/18/1979
79x1: Conflict of Interest Laws and Intergovernmental Personnel Act (IPA)
[Note: The conclusion in this opinion was modified by amendments to the Intergovernmental Personnel Act (IPA). For a current discussion of application of conflict of interest laws to detailees from state and local governments, see
>OGE Informal Advisory Memorandum 02 x 11.]