OGE - Latest Advisories

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.

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.

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.

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.

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.

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.

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.

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.

06x10: Intergovernmental Personnel Act (IPA) Summary

OGE outlines the ethics issues that can arise in connection with IPA assignments.

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.

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.

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.

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.

PA-12-04: Nominee and New Entrant 278 Guide

This Program Management Advisory announces the launch of a web guide for individuals filing the OGE Form 278 as new entrants or as nominees to Presidentially-appointed, Senate-confirmed (PAS) positions.

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.

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.

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.

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.

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.

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.

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.

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.

DO-09-029: 2008 Conflict of Interest Prosecution Survey

2008 Conflict of Interest Prosecution Survey

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.

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.

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.

DO-09-004: Guidance on the Use of Digital Signatures with the Confidential Financial Disclosure Form

Agencies are now authorized to allow digital signatures on the electronically fillable PDF version of the confidential financial disclosure form (OGE Form 450) as long as their agency’s Chief Information Officer (CIO) has approved a digital signature process.

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.

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.

DO-95-003: 1993 Conflict of Interest Prosecution Survey

1993 Conflict of Interest Prosecution Survey

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.

DO-94-044: Holiday Gifts and Celebrations

OGE reminds employees about the ethics rules regarding holiday gifts and celebrations.

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.

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.

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.

DO-94-026: Reporting Period For Incumbent Public Financial Disclosure Reports

OGE clarifies the reporting periods of public financial reports filed by incumbents.

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).

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.

DO-93-033: Agency Supplemental Standards Regulations

44 agencies notified OGE that they intend to issue agency supplemental regulations.

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.

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.

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.

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.

DO-93-036: 1992 Conflict of Interest Prosecution Survey

1992 Conflict of Interest Prosecution Survey

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.

DO-93-027: Court of Appeals Decision in Case Challenging Honoraria Ban

The Court of Appeals for the D.C. Circuit upholds the district court injunction against the honoraria ban at 5 U.S.C. § 501(b). (Honoraria ban subsequently held unconstitutional by U.S. Supreme Court.)

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.

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).

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.

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.

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.

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.

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.”

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.

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.

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.

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]

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.

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]

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.

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).

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.

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.

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).

DO-09-015: Procedures and Required Evidence of Compliance for Ethics Agreements Made by PAS Nominees

This memorandum reiterates and clarifies previous guidance regarding which commitments in a PAS nominee's ethics agreement require evidence of compliance and what documentation the United States Office of Government Ethics will accept as demonstrating compliance.

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).

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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."

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.

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.

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.

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.

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.”

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).

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.

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."

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.

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.

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.

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]

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.

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.

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.

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]

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.

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.

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.

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.

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.

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.

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.

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.

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).

LA-11-08: 2010 Conflict of Interest Prosecution Survey

2010 Conflict of Interest Prosecution Survey

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.

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."

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).

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.

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]

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.

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]

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.

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]

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.

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]

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).

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.

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.

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)

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.

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.

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.

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]

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.

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 provision that has been amended]

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.

79x1: Conflict of Interest Laws and Intergovernmental Personnel Act (IPA)

The conclusion in this opinion was modified by amendments to the Intergovernmental Personnel Act (IPA). See AO 02x11 for current discussion of application of conflict of interest laws to detailees from state and local governments.

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]

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.

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.

98x16: Acceptance of Food in Connection with Event

Guidance on when employees may accept meal at event and proper disposition of prohibited gifts.

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.

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.

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.

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.

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.

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.

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.

DO-09-005: Signing the Ethics Pledge

OGE describes when various appointees must sign the Ethics Pledge in Executive Order 13490.

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."

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.

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.

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.

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).

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.

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.

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.

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.

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.

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.

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).

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.

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.

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.

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.

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.

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.

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]

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 USC 209. [cites former 5 CFR 735.202]

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]

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.

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.

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.

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.

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.

DO-01-013: Nominee Ethics Agreements

This memorandum addresses several issues pertaining to ethics agreements of Presidential appointees whose positions require Senate confirmation.

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.

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.

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.

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.

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.

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.

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.

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.

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]

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.

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.

04x11a: Attachment to 04x11, Summary of Post-Employment Restrictions of 18 U.S.C. § 207

The attachment, 04x11a, summarizes the post-employment restrictions of 18 U.S.C. § 207.

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.

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.

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.

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).

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.

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).

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.

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.

02x3: Commencement of Officer or Employee Status for Purposes of Conflict of Interest Requirements

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.’”

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.

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). Honoraria ban had been declared unconstitutional; exception to ban is no longer in effect.

EA-12-01: FY2012 Quarter 3 Training Schedule

The U.S. Office of Government Ethics FY2012 Quarter 3 training schedule is now available. This quarter, OGE will focus on offering 278 training to assist reviewers with reviewing reports for technical accuracy and identifying potential financial conflicts of interest during the 278 filing season. OGE will also offer the New Ethics Official Certificate Program in May and June which will be announced in the next few weeks.

PA-12-03: Ethics Agreement Compliance

The United States Office of Government Ethics (OGE) is implementing a new process by which agencies can forward compliance documentation for ethics agreements. Agencies who are forwarding compliance documentation to OGE must submit via email to eacompliance@oge.gov.

PA-12-02: Realignment of Desk Officer Services

In order to improve service to agencies and to enhance continuity of operations, The U.S. Office of Government Ethics is implementing a new service model focusing on the desk officer and education support traditionally provided to agencies. Beginning on Monday, February 6, 2012, a team of OGE specialists will be assigned to each agency. The team approach will allow agencies to access a single point of contact for the full range of services currently provided through multiple contact points.

PA-12-01: Ethics Pledge Assessment

The United States Office of Government Ethics (OGE) is compiling information to assess agency compliance with Executive Order 13490, “Ethics Commitments by Executive Branch Personnel” (January 21, 2009). OGE is requesting information relative to full-time non-career appointees appointed during calendar year 2011. The information will be used to prepare the annual public report as required by the Executive Order.

Legal Advisories

Through the Legal Advisories, OGE will diseminate substantive legal guidance. The Legal Advisories are intended to be permanent in nature.

99x6: 18 U.S.C. § 208 and Defined Benefit Pension Plans

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.

01x12: Office of Legal Counsel (OLC) Opinion Concerning Status of Trustees of a Private Trust Under 18 U.S.C. § 208

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.

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.

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.

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.

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.

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.

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.

00x4: Receipt of Outside Awards by Employees and Outside Consulting Activities by Employees

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

DO-01-011: Office of Legal Counsel Opinions (Exception to Honoraria Ban and Communications under 18 U.S.C. § 207(c))

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.

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.

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.

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.

PA-11-02: Procedural Update for Reporting Payments Accepted Under 31 U.S.C. § 1353

This Program Management Advisory serves as a reminder, notice of change, and clarification of the requirements for reporting payments accepted under 31 U.S.C. § 1353.

DO-93-021: Program Assistance Division 1993 Agency Survey

The Program Assistance Division within the Office of Government Ethics (OGE) has recently expanded its Desk Officer program. The Division now employs ten Desk Officers to provide ethics support to the approximately 120 Federal executive branch departments and agencies. With the expansion, new possibilities exist for the Desk Officers to assist agencies. To explore these possibilities, Program Assistance is conducting a survey of the agencies soliciting suggestions for additional services that it can render.

EA-11-09: FY2012 Quarter 2 Training Schedule

The U.S. Office of Government Ethics FY2012 Quarter 2 training schedule is now available. Course offerings include:

Introductory level training on conflicts of interest, certifying 450 reports, elements of a complete ethics program, seeking and post employment
Introductory level certificate program on analyzing gift issues
Workshops on financial disclosure, outside activities, and widely attended gatherings

DA-12-04-92: OGE is in the Process of Amending the Ethics Training Regulation

OGE is in the process of amending the regulation on Executive Agency Ethics Training Programs (57 Federal Register 11886-11891 (April 7, 1992)) to provide that the initial ethics orientation will not have to be completed until February 3, 1993. Although § 2638.703 (a) and (b) of the regulation cites January 2, 1993, this date is being changed to February 3 to reflect the publication of the Standards of Ethical Conduct.

DT-09-025: OGE 2009 Education and Communication Awards Announcement

The United States Office of Government Ethics invites executive branch ethics programs to submit nominations for the 2009 Education and Communication Awards.

90x3: Conflict of Interest Restrictions on Former Government Attorney

This is in response to your letter of January 18, 1990. You requested guidance as to whether 18 U.S.C. § 207 or any other applicable Federal statute would prevent you from representing employers before [your former agency] or in court against [specific] charges filed with [that agency].

PA-11-04: Financial Disclosure Certification

This Program Management Advisory serves as a reminder and clarification of the requirements for timely certification of financial disclosure reports under 5 C.F.R. § 2634.605(a). During recent program reviews, PRD has found some confusion and different interpretations among agencies regarding the requirement to accomplish final certification of financial disclosure reports within 60 days of their receipt.

PA-11-03: 2011 Due Dates for Public Financial Disclosure Reports Required to be Filed with the United States Office of Government Ethics

2011 Due Dates for Public Financial Disclosure Reports of Executive Branch Officials Required to be Filed with the United States Office of Government Ethics

PA-11-01: Ethics Pledge Compliance Assessment

The United States Office of Government Ethics (OGE) is compiling information to assess agency compliance with Executive Order 13490, “Ethics Commitments by Executive Branch Personnel” (January 21, 2009). OGE is requesting information relative to full-time non-career appointees appointed during calendar year 2010. The information will be used to prepare the annual public report as required by the Executive Order.

DO-98-030: Reporting Payments Accepted Under 31 U.S.C. § 1353

Section 1353 of title 31, United States Code, authorizes the acceptance by executive branch agencies of payments for travel, subsistence, and related expenses from non-Federal sources in connection with the attendance of employees at certain meetings or similar functions. The statute provides that the head of each agency shall submit to the Director of the Office of Government Ethics (OGE) semiannual reports of payments of more than $250 accepted under this authority. The next semiannual report should be submitted to OGE not later than November 30, 1998, concerning payments received during the period beginning on April 1, 1998, and ending on September 30, 1998. Agencies are required to submit negative reports.

DO-97-026: Results of the Office of Government Ethics' (OGE) Agency Ethics Training Program Survey

In February 1997, OGE conducted a survey to learn more about the experiences, opinions, and needs of agency ethics officials regarding various facets of their agency ethics training programs. Ninety-four ethics officials responded to our survey questionnaire, with many adding valuable written comments. The report on the survey results is attached.

DO-97-007: Changes in the Ethics Agreement Compliance System for Presidential Appointees Confirmed by the Senate

In the Spring 1996 edition of the Ethics Newsgram, the Office of Government Ethics (OGE) announced future changes to improve the administration of the ethics agreement compliance system for Presidential appointees confirmed by the Senate. This DAEOgram provides more details on those changes and how they will affect the system at executive branch agencies.

DO-96-042: Results of the Review of the Structure of Ethics Offices Within the Executive Branch

As part of our ongoing efforts to evaluate ethics programs and improve ethics in the Government, the Office of Government Ethics (OGE) recently completed a review of the structure of ethics offices within the executive branch. Accordingly, I would like to share with you the results of this review.

DO-96-041: Annual Agency Ethics Program Questionnaire

Please complete and return the attached annual ethics program questionnaire for calendar year 1996 to the Office of Government Ethics (OGE) by February 1, 1997. Your response to this questionnaire will constitute your annual report for 1996 as required by section 402(e)(1) of the Ethics in Government Act of 1978, as amended.

DO-96-017: Office of Government Ethics' Fourth Biennial Report to Congress

Enclosed in this envelope is a copy of the Office of Government Ethics' (OGE) Fourth Biennial Report to Congress. This report is required by statute to be submitted every two years by the end of March.

DO-95-021: Results of the Office of Government Ethics' (OGE) Field Office Ethics Programs Survey

On October 31, 1994, OGE sent out DAEOgram #DO-94-037, "Field Office Ethics Programs Survey," to selected civilian departments and agencies (hereinafter referred to collectively as "agencies"). The purpose of this survey was to determine which civilian agencies have bona fide "field office ethics programs," and the locations of these programs.

OGE will make the results available through TEBBS. Agencies may also obtain a disk copy of the data (in WordPerfect 6.0), or may view a printout of each file in the Ethics Information Center at OGE. Contact Lisa Deener at 202-523- 5757, ext. 1225, for more information.

DO-94-046: Financial Disclosure Preparation Software

The Office of Government Ethics (OGE) recently held a brown bag lunch with representatives from several agencies to discuss how computer technology could be used to streamline the financial disclosure filing and review process. We discussed the issue of electronic filing, the current restriction on the development and use of electronic versions of the SF 278 and SF 450 imposed under the General Services Administration's (GSA's) Federal Information Resources Management Regulation (FIRMR) Bulletin B-3, and the possible development of a stand-alone computer program for completing, editing and printing the financial disclosure forms.

DO-94-037: Field Office Ethics Programs Survey

The Office of Program Assistance and Review (OPAR) is conducting a brief survey of selected civilian agencies to determine those that have decentralized ethics programs with some locations outside of headquarters' offices. OPAR is interested in bona fide field office ethics programs, i.e., field offices that collect, review, and retain financial disclosure reports and/or conduct their own ethics training, in addition to providing oral and written ethics advice.

EA-11-07: 2011 Ethics Awareness Poster Contest Winners

The U.S. Office of Government Ethics (“OGE”) is pleased to announce the 2011 Ethics Awareness Poster Contest award recipients.

EA-11-05: 18th National Government Ethics Conference UPDATE

As we continue to finalize the agenda for the upcoming 18th National Government Ethics Conference we would like to give you a sense of what to expect at this year's Conference.

DO-97-013: Publication of Interim Rule Amendments to the Training Regulation

The Office of Government Ethics (OGE) has published interim rule amendments to subpart G of 5 C.F.R. part 2638, titled "Executive Agency Ethics Training Programs" (Training Regulation).

DO-95-028: Ethics Training Regulation Update

The Office of Government Ethics (OGE) is currently engaged in a complete evaluation of its regulations governing Executive Agency Ethics Training Programs (Training Regulation), located at subpart G of 5 C.F.R. part 2638. One aspect of the Training Regulation that is likely to be changed is the requirement, found at 5 C.F.R. § 2638.702(a)(3), that each agency submit a written plan for annual ethics training to OGE by August 31 of each year providing information concerning the agency's annual training for the following calendar year.

DO-94-012: Publication of Training Regulation Interim Rule Amendments

Attached is the interim rule amending subparts B and G of 5 CFR part 2638, published by the Office of Government Ethics (OGE) on March 16, 1994 at 59 Fed. Reg. 12145-12149.

DO-94-003: Ethics Training Regulation Update

The Office of Government Ethics (OGE) will soon be publishing in the Federal Register interim rule amendments to the ethics training regulation, with request for comments. The interim rule, which will be published after OGE has consulted with the Office of Personnel Management, will amend subpart G of 5 C.F.R. part 2638, entitled "Executive Agency Ethics Training Programs" (training regulation).

Attachment to DO-96-053: Final Rule on 18 U.S.C. § 208

This attachment, DO-96-053A, is the final rule describing circumstances under which the prohibitions contained in 18 U.S.C. § 208(a) would be waived, published at 61 Federal Register 66830-66851 (December 18, 1996).

Attachment to DO-02-016: Summary of the Restriction on Supplementation of Salary, 18 U.S.C. § 209

This attachment, DO-02-016A, is a summary of 18 U.S.C. § 209, the restriction on supplementation of salary.

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.

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.

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.

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.

Attachment A to DO-99-011: Paperwork Notice for a Revised Edition of the OGE Form 450

This attachment, DO-99-011A, is the paperwork notice for a revised edition of the OGE Form 450, Confidential Financial Disclosure Report.

Attachment to DO-99-030: Copy of First Round Paperwork Notice for Proposed Revision of SF 278

This attachment, DO-99-030A, is the first round paperwork notice of a proposed moderately revised edition of the SF 278, Public Financial Disclosure Report.

Attachment to DO-99-039: 1999 Edition of OGE Form 201

This attachment, DO-99-039A, is the October 1999 edition of the OGE Form 201.

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.

Attachment to DO-96-011: New OGE Form 450 (1996 Edition)

This attachment, DO-96-011A, is the February 1996 edition of the OGE Form 450.

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.

Attachment to DO-97-028: 1997 Edition of the OGE Form 450-A

This attachment, DO-97-028A, is the April 1997 edition of the OGE Form 450-A, Confidential Certificate of No New Interests.

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.

Attachment to DO-98-025: Copy of Office of Legal Counsel Opinion about 18 U.S.C. § 208

This attachment, DO-98-025A, is a copy of an opinion from the Office of Legal Counsel about the application of 18 U.S.C. § 208 to service on boards of standard-setting organizations.

Attachment to DO-98-027: 1998 Edition of the OGE Form 202

This attachment, DO-98-027A, is the July 1998 edition of the OGE Form 202, Notification of Conflict of Interest Referral.

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.

Attachment B to DO-99-011: Paperwork Notice for a Revised Edition of the OGE Form 201

This attachment, DO-99-011B, is the paperwork notice for a revised edition of the OGE Form 201.

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.

Attachment to DO-99-029: 1999 Edition of the OGE Form 450

This attachment, DO-99-029A, is the April 1999 edition of the OGE Form 450, Confidential Financial Disclosure Report.

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.

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.

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.

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.

92x4: Applicability of the Honoraria Ban to Compensation for Writing Scripts for Television Show

The honoraria ban does not apply to works of fiction, poetry, lyrics, or scripts. (Note: the honoraria ban was subsequently held to be unconstitutional by the U.S. Supreme Court.)

92x24: Applicability of the Honoraria Ban to Compensation for Participation as Panelist at Symposium

The honoraria ban applied to an employee who gave a ten-minute speech as a panelist at a symposium. [Note: The honoraria ban was subsequently found to be unconstitutional by the Supreme Court of the United States.]

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 found to be unconstitutional by the U.S. Supreme Court.]

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 found unconstitutional by the Supreme Court of the United States]

92x16: Designation of Charity to Receive Payment Subject to the Honoraria Ban

OGE advises on whether an individual can evade violating the honoraria ban by diverting funds to a third-party charitable organization. [Note: The honoraria ban was subsequently found to be unconstitutional by the U.S. Supreme Court.]

91x35: Applicability of the Honoraria Ban to Compensation for Teaching Continuing Legal Education Programs

OGE discusses the effect of the honoraria ban on an agency attorney's ability to teach non-traditional continuing legal education courses. [Note: The honoraria ban was subsequently deemed unconstitutional by the Supreme Court of the United States.]

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 found unconstitutional by the Supreme Court of the United States.]

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.]

91x23: General Discussion of the Honoraria Ban and Compensation for Writing Books

OGE provides a general overview of the honoraria ban and its effect on employees who may wish to write books. [Note: Honoraria ban was subsequently held unconstitutional by the U.S. Supreme Court]

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: honoraria ban subsequently held unconstitutional by U.S. Supreme Court]

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: honoraria ban subsequently held unconstitutional by the U.S. Supreme Court]

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.

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: Honoraria ban subsequently held unconstitutional by the U.S. Supreme Court)

91x6: General Discussion of the Honoraria Ban

OGE addresses the question about the application of the honoraria ban contained within the Ethics Reform Act of 1989. (Note: Honoraria ban subsequently held unconstitutional by the U.S. Supreme Court.)

91x4: Discussion of Concerns Raised about the Honoraria Ban

OGE addresses complaints of an educational institution about the honoraria ban. (Note: Honoraria ban subsequently held unconstitutional by the U.S. Supreme Court.)

90x25: Applicability of the Honoraria Ban to Compensation for Writing Works of Fiction

The honoraria ban likely does not apply to works of fiction, the publication of a book, or consulting fees for providing expert advice and opinions (Note: Honoraria ban subsequently held unconstitutional by the U.S. Supreme Court).

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.

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.

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.

Attachment to DO-97-027: Copy of Opinion of Office of Legal Counsel about Employee Service on Boards

A misdated copy of the OLC memorandum was inadvertently attached to the DAEOgram of April 2, 1997. A correctly dated copy (November 19, 1996) of the memorandum is attached hereto.

Attachment to DO-97-015: Copy of Opinion of Office of Legal Counsel about Employee Service on Boards

This attachment, DO-97-015A, is a copy of an OLC opinion (dated November 16, 1996) about the service of employees on boards of directors of non-Federal entities.

Attachment to DO-96-038: OGE Form 201 (1996 Edition)

The attachment, DO-96-038A, is the 1996 edition of the OGE Form 201.

Attachment to DO-00-032: Copy of Opinion of Office of Legal Counsel about 18 U.S.C. § 209

This attachment, DO-00-032A, is a copy of an OLC opinion (dated September 7, 2000) about the application of 18 U.S.C. § 209 to the receipt of royalty payments by employee-inventors.

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.

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.

84x9: Conflict of Interest Issues Raised by Re-Employment of Former General Counsel by Agency

He would be prohiibted by 18 U.S.C. § 205 from representing any client on matters before or within his former agency while SGE, and he should be careful to avoid sharing fees generated, inorder to avoid violating 18 U.S.C. § 203.

PA-12-03 Ethics Agreement Compliance

March 1, 2012 PA-12-03 MEMORANDUM TO: Designated Agency Ethics Officials Alternate Designated Agency Ethics Officials FROM: Rashmi Bartlett Associate Director for Program Reviews SUBJECT: PROCEDURAL UPDATE FOR Reporting Ethics Agreement Compliance Under 5 U.S.C. app. 110 The United States Office of Government Ethics (

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.

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.

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.

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.

94x8: Application of 18 U.S.C. § 205 to Agency Employees Providing Representational Services

Determining whether a representational activity is permitted by 18 USC §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.

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.

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.

90x22: Application of Restrictions on Outside Earning and Employment Activities

Title VI of the Ethics Reform Act of 1989 restrictions 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.

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.

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.

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]

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.

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).

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.

83x19: Applicability of Conflict of Interest Statutes to Employee on Sick Leave

Employee is subject to 18 U.S.C. § 203 and 18 U.S.C. § 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. [18 U.S.C. § 203 analysis modified by 99x25]

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.

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.

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.

Attachment to DO-01-002: Federal Register Notice — Study Under the Presidential Transition Act of 2000

The attachment, DO-01-002A, is the notice in the Federal Register of the study under the Presidential Transition Act of 2000.

Attachment to DO-00-048: Transition Code of Ethical Conduct — George W. Bush Administration

This attachment, DO-00-048A, is the Transition Code of Ethical Conduct and Memorandum of Understanding Regarding Transition Procedures for the Administration of President George W. Bush.

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.

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)&(f) so that it will remain effective through October 31, 1996, or until the effective date of any remedial legislation, whichever occurs earlier.

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).

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.

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.

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.

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).

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.

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.

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

Attachment to DO-99-019: Smooth Sales — A Beginner's Guide to Certificates of Divestiture

This attachment, DO-99-019A, is a pamphlet about certificates of divestiture.

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.

Attachment to DO-01-001: Federal Register Copy of Executive Order 13184

The attachment, DO-01-001A, is the Federal Register copy of Executive Order 13184, which revokes Executive Order 12834.

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]

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.

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.

94x12: Waiver of the Restrictions under 18 U.S.C. § 207(c)(1)

The one-year restriction on certain senior personnel applicable under 18 USC § 207(c)(1) may be waived by the Director of OGE in certain circumstances pursuant to the authority of 18 USC § 207(c)(2)(C). Neither the statute nor the implementing regulation provides any authority to grant a waiver to an individual personally.

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).

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: Honoraria ban subsequently held unconstitutional by the U.S. Supreme Court).

90x26: Applicability of the Honoraria Ban to Payment for Tour Guide Services

The honoraria ban does not apply to part-time work as a licensed tour guide (Note: Honoraria ban subsequently held unconstitutional by the U.S. Supreme Court).

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: Honoraria ban subsequently held unconstitutional by the U.S. Supreme Court).

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.

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.

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.

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.

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.

07x3: Opinion of Office of Legal Counsel on SGE Day-Counting

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.

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.

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.

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).

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 USC 207(a); reconsiders conclusion previously reached in 99x14(2)

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.

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.

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.

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.

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.

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.

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).

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.

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.

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).

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.

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.

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.

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.

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.

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.

DO-08-036: 2007 Conflict of Interest Prosecution Survey

2007 Conflict of Interest Prosecution Survey

DO-99-032: 1998 Conflict of Interest Prosecution Survey

1998 Conflict of Interest Prosecution Survey

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.

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.

DO-98-022: Proposed Amendments to Standards of Conduct Regulations

OGE publishes proposed minor amendments to subpart B (Gifts From Outside Sources) of the standards of conduct regulation.

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.

DO-98-007: 1997 Conflict of Interest Prosecution Survey

1997 Conflict of Interest Prosecution Survey

DO-97-029: 1996 Conflict of Interest Prosecution Survey

1996 Conflict of Interest Prosecution Survey

DO-97-009: 1995 Conflict of Interest Prosecution Survey

1995 Conflict of Interest Prosecution Survey

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.

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.

DO-96-007: 1994 Conflict of Interest Prosecution Survey

1994 Conflict of Interest Prosecution Survey

DO-96-006: New Reporting Categories for SF 278

January 29, 1996 DO-96-006 MEMORANDUM TO: Designated Agency Ethics Officials FROM: Stephen D. Potts Director SUBJECT: New reporting categories for SF 278s 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 va

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).

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.

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.

DO-95-030: Confidential Financial Disclosure Update

OGE updates agencies on initiatives to improve the confidential financial disclosure system.

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."

DO-95-020: Draft revision to confidential financial disclosure report form (SF 450)

OGE describes proposed changes to the SF 450.

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.

DO-06-022: 2005 Conflict of Interest Prosecution Survey

2005 Conflict of Interest Prosecution Survey

DO-05-014: 2004 Conflict of Interest Prosecution Survey

2004 Conflict of Interest Prosecution Survey

DO-04-019: 2003 Conflict of Interest Prosecution Survey

2003 Conflict of Interest Prosecution Survey

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.

DO-02-023: 2001 Conflict of Interest Prosecution Survey

2001 Conflict of Interest Prosecution Survey

DO-00-029: 1999 Conflict of Interest Prosecution Survey

1999 Conflict of Interest Prosecution Survey

DO-00-026: New Edition of the SF 278 Report Form

OGE issues the March 2000 edition of the SF 278.

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.

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.

DA-11-04-92: 1990-91 Conflict of Interest Prosecution Survey

1990-91 Conflict of Interest Prosecution Survey

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.

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.

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).

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.

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.

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.

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.

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.

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.

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.

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.

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.

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]

99x10: Ethical Challenges of Privatization and Partnering

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.

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), which was subsequently found unconstitutional by the U.S. Supreme Court.

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.

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."

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.

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.

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.

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).

95x11

Retracted in March 1997

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.

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.

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.

93x40: Prior Approval of Outside Activities

5 C.F.R. part 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.

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.

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.

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; aggregately indentifying assets held by the employee and his or her family; using excepted investment funds (EIF); and using different disclosure forms for special government employee’s (SGE).

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."

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.

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. 6 §102(f).

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.

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.

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. part 2635.808(c).

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.

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.

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.

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.

91x11: Employee's Prosecution of Patent Applications for Private Parties

This is in response to your letter (with its enclosures) of March 25, 1991. By your letter, you ask whether you as an employee of [an executive branch agency] may prosecute patent applications for private parties before the Patent and Trademark Office of the Department of Commerce.

91x10: Agency Acceptance of Travel Reimbursement from Another Agency

This is in response to your letter of February 28, 1991, requesting the opinion of this Office on whether acceptance by [your agency] from another Government agency of reimbursement for certain travel expenses might violate the standards of conduct regulation in 5 C.F.R. Part 735.

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]

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.

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.

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]

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: Honoraria ban subsequently held unconstitutional by the U.S. Supreme Court).

90x23: Speech-Writing and the Honoraria Ban

The honoraria ban does not prohibit a part-time government employee from receiving income for writing speeches for others (Note: Honoraria ban subsequently held unconstitutional by the U.S. Supreme Court).

90x21: Service Outside the Government in a Private or Official Capacity

An agency board member’s participation in the Citizen Ambassador Program is so closely connected with his agency responsibilities that it is considered official participation, requiring an agency determination that his involvement furthers agency missions and agency payment of travel expenses unless permitted by gift-acceptance statutes.

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.

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.

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, this memorandum assists 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.

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 would be provided in revised Part 2637 regulations.

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 important of an agency mission and the benefits associated with the agency’s programs.

90x15: Conflicts of Interest and Personal Representations to a Licensing Commission

The Conflict of Interest statutes 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 if the employee , subject to some precautions.

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.

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.

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 USC 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.

90x11: Applicability of 18 U.S.C. § 207 to a Former Senior Executive Service Employee

OGE discusses the applicability of 18 USC 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.

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 USC 207. Other statutes that may apply include 10 USC 2379b, 18 USC 281 and 18 USC 203.

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.

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.

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. [18 U.S.C. § 203 analysis modified by 99x25]

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.

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.

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.

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]

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]

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.

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.

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.

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.

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 2637]

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.

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.

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]

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.

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.

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]

87x9: Reporting of Interests in Nonpublic Entities

OGE discusses the basic principle of reporting of interests in nonpublic entities. The advisory letter demonstrated this principle using examples, such as the private investment pool, the pension plan, and the limited partnership.

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.

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.

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).

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 CFR 735]

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.

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 USC 209 would not apply. [cites former 5 CFR 735.202]

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]

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. {alternative: An officer or employee of a company could not receive compensation that was tied to the profitability of the company’s activities with the Government, if the activities involved repre

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.

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]

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.

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]

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.

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]

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).

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)]

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]

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.

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]

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]

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.

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.

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]

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.

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.

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.

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. [18 U.S.C. § 203 analysis modified by 99x25; cites former 5 C.F.R. Part 735]

84x4: Application of Conflicts 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 probably status as a special government employee.

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.

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.

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)

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.

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.

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.

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 USC 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.

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.

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.

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.

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.

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.

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]

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]

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.

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.

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.

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.

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 SGE’s, 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.

DO-04-011: Awards and Outside Consulting Activities

Attachment to DO-04-011: Statement on Consulting Arrangements and Outside Awards

The attachment, DO-04-011A, is the statement of the Acting Director before the Subcommittee on Oversight and Investigations of the House Committee on Energy and Commerce. It contains a discussion of the Office of Government Ethics (OGE) awards rule, 5 C.F.R. § 2635.204(d), as well as a discussion of various rules governing outside consulting activities.

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.

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.

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).

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.

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.

DO-06-035: A Reminder about Holiday Gifts and Fundraising

OGE provides a brief reminder about the ethics rules regarding holiday gifts and fundraising.

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).

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.

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 3 changes that were necessary to reflect statutory amendments in 1995 and 1996.

DO-07-019: Expert Witness Outline

OGE prepares an outline of cases and issues pertaining to expert witnesses and the relevant ethical restrictions.

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.

Attachment to DO-07-019: Expert Witnesses — Ethics in Court

The attachment, DO-07-019a, is an outline of issues and cases pertaining to expert witnesses and the relevant ethical restrictions. The outline is designed primarily as a legal research aid for ethics officials and attorneys who must deal with expert witness questions in the context of pending litigation.

Attachment to DO-04-012: Guidelines for Gatekeepers — How to Implement a Screening Arrangement

The attachment, DO-04-012A, is a handout for those employees selected to screen matters for officials with recusal obligations.

08x4: Statutory Exception for Representation of Candidates and Specified Political Entities by Former Senior and Very Senior Employees

07x13a: Attachment to 07x13, Equal Classification Requests

The attachment, 07x13a, contains additional guidance on how to request an equal classification determination from OGE for a specific position.

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.

07x5a: Attachment to 07x5, Reporting of Reimbursement of Travel-Related Expenses

This attachment, 07x5a, describes the requirements for reporting certain travel-related reimbursements and free gifts of attendance.

07x4a: Attachment to 07x4, Waiver Consultations under 18 U.S.C. § 208

This attachment, 07x4a, contains 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).

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.

06x5: Denial of Request for Ad Hoc Exemption from One-Year Cooling-Off Period in 18 U.S.C. § 207(c)

OGE does cannot issue an exemption one-year cooling off restriction for a former senior government employee in order to allow the former employee to make representational contacts before detailees from the employee's former agency serving on detail at a different agency with which the former employee would like to communicate.

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.

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.

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

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.

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.

99x25: Clarification of Interpretation of 18 U.S.C. § 203

99x22: Summary of Certain Post-Government Employment Restrictions

Summary of the various post-employment restrictions that apply to a former Government official.

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.

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]

98x20: Effect of Terminal Leave Status on Officer’s Official Responsibility for Matters Pending in his Office

This is in response to your request for guidance concerning the application of 18 U.S.C. § 207(a)(2) to the former head of an office at [an agency within your Department]. The former [agency] official, who was a [uniformed service] officer, now seeks to represent a client in connection with a particular matter that was not pending in his [agency] office until after he had gone on terminal leave prior to his separation from service.

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.

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.

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.

98x12: Financial Disclosure Reporting Requirements for Trustees

This is in response to your request of June 29, 1998, that our Office review and reconsider our interpretation of the financial disclosure regulation at 5 C.F.R. § 2634.301(a), under which we require an employee who serves as trustee to report the holdings and income of the trust on the employee's financial disclosure statement.

98x10: Eligibility of Interests in Qualified Incentive Stock Option Plan for Certificate of Divestiture

Denied Certificate of Divestiture where stock acquired through qualified incentive stock option plan and sale would not comply with required holding period; however, 2004 statutory amendment now allows Certificate of Divestiture, 26 USC 421(d).

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.

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.

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 section 207(h) doesn't apply.

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 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.

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).

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.

96x10: Divestiture of Prohibited Holdings by Spouse

The 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 divestment.

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.

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.

94x10(2): Employee’s Obligation under 5 C.F.R. § 2635.502(a)

OFFICE OF GOVERNMENT ETHICS 94 X 10(2) Letter to the President and Chief Executive Officer of a Corporation dated June 9, 1994 This is in response to your June 2, 1994, letter in which you make four points regarding the subject matter of our letter of March 30, 1994, to [the Acting Assistant Secretary of a Depa

08x3a: Book Deals Involving Regular Employees and Special Government Employees

In this attachment, 08x3a, OGE provides a template for analyzing whether regular employees and special Government employees (SGEs) may accept compensation for writing a book during Government service.

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.

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.

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.

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 USC §208 include an independent contractor or consulting situation. Employees should be counseled to seek waivers with this fact in mind.

94x15: Application of 18 U.S.C. § 205 to Meetings Between Representatives of Employee Organizations and Agency Officials

18 USC §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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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. part 2635.808. Also discusses free admission to event, and fundraising in official capacity.

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.

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.

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.

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.

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.

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).

91x22: Appearance Concerns Raised by Supervisor Entering into Landlord-Tenant Relationship with Subordinate

Thank you for your inquiry regarding the programs and activities of the United States Office of Government Ethics. The Office has broad authority for setting government-wide policies designed to prevent conflicts of interest.

91x18: Extensions for Filing the Public Financial Disclosure Report

OGE explains the extension periods available for the SF 278.

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 CFR 737]

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.

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.

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.

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.

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.

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.

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.

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.

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.

88x11: Reporting of Employee Benefit Plans on the SF 278, Public Financial Disclosure Report

This letter 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.

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]

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.

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 2. he must have knowledge that a personal or derivative financial interest is involved in the matter.

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.

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.

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.

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 USC 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.

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]

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.

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]

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]

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.

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.

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.

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).

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.

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.

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]

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.

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.

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).

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.

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.

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.

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.

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.

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.

99x7: Prizes as Gifts — Guidance Concerning the Exclusion at 5 C.F.R. § 2635.203(b)(5)

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.

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]

DO-00-045: Increased Gifts and Travel Reimbursements Reporting Thresholds

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.

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.

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.

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.

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.

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.

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.

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.

DO-06-008: Reminder on the Rules Regarding Gifts of Travel

Note: DAEOgram DO-06-034 has been issued as an amended memorandum to DO-06-008. OGE addresses questions that have been raised about the propriety of executive branch employees soliciting free air travel.

DO-06-031: Intergovernmental Personnel Act (IPA) Summary

OGE outlines the ethics issues that can arise in connection with IPA assignments.

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.

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.

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.

DO-02-029: Application of the Financial Disclosure Requirements to Detailees under the Intergovernmental Personnel Act (IPA)

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.

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.

DO-01-009: Ethical Requirements Applicable to Potential PAS Appointees Employed as 'Advisors' or 'Counselors'

Attachment to DO-01-013: Model Ethics Agreement

The attachment, DO-01-013A, is the model ethics agreement drafted by OGE.

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.

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.

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.

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.

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.

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.

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.

DO-03-011: Inherently Governmental and Commercial Ethics Official Activities

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.

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.

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.

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).

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.

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.

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.

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).

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.

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).

Attachment to DO-06-023: Ethics and Working with Contractors — Questions and Answers

The attachment, DO-06-023A, provides answers to some frequently asked ethics questions about working with Government contractors.

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.

08x3b: Book Deals Involving Covered Noncareer Employees and Presidential Appointees to Full-Time Noncareer Positions

In this attachment, 08x3b, OGE provides a template for analyzing whether covered noncareer employees and Presidential appointees to full-time noncareer positions may accept compensation for writing a book during Government service.

08x3: Book Deals Involving Government Employees

Attachment B to DO-08-006: Book Deals Involving Covered Noncareer Employees and Presidential Appointees to Full-Time Noncareer Positions

In this attachment, DO-08-006b, OGE provides a template for analyzing whether covered noncareer employees and Presidential appointees to full-time noncareer positions may accept compensation for writing a book during Government service.

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.

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.

08x5: Application of Multiple Presentations Exception to Courses Offered by Non-Appropriated Fund Instrumentalities (NAFIs)

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.

DO-07-023: Misuse of Federal Position to Help Another Person Get a Job

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.

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).

06x9: 'Particular Matter Involving Specific Parties,' 'Particular Matter,' and 'Matter'

Attachment to DO-07-029: Equal Classification Requests

The attachment, DO-07-029a, contains additional guidance on how to request an equal classification determination from OGE for a specific position.

Attachment to DO-04-023: Summary of Post-Employment Restrictions of 18 U.S.C. § 207

The attachment, DO-04-023A, summarizes the post-employment restrictions of 18 U.S.C. § 207.

Attachment to DO-01-004: White House Memo on Standards of Conduct

This attachment, DO-01-004A, is the 2001 memorandum from President George W. Bush 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.

Attachment A to DO-08-006: Book Deals Involving Regular Employees and Special Government Employees

In this attachment, DO-08-006a, OGE provides a template for analyzing whether regular employees and special Government employees (SGEs) may accept compensation for writing a book during Government service.

Attachment to DO-00-003: Summary of Ethical Requirements Applicable to Special Government Employees

This attachment, DO-00-003A, is a summary of the ethical requirements applicable to special Government employees.

Attachment to DO-00-006: Summary of Post-Employment Restrictions of 18 U.S.C. § 207

This attachment, DO-00-006A, is OGE's 2000 summary of the post-employment restrictions of 18 U.S.C. § 207.

DO-00-034: Recent Court Case Interpreting 18 U.S.C. § 205

Attachment to DO-00-034: O'Neill v. Department of Housing and Urban Development, 220 F.3d 1354 (Fed. Cir. 2000)

This attachment, DO-00-034A, is a copy of O'Neill v. Department of Housing and Urban Development, 220 F.3d 1354 (Fed. Cir. 2000).

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.

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.

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.

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.

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.

Attachment B to DO-00-044: Copy of Office of Legal Counsel Opinion about 18 U.S.C. § 207(j)

This attachment, DO-00-044B, is a copy of the OLC opinion (dated November 6, 2000) about the definition of "candidate" under 18 U.S.C. § 207(j).

Attachment A to DO-00-044: Copy of Office of Legal Counsel Opinion about 18 U.S.C. § 207(d)

This attachment, DO-00-044A, is a copy of an OLC opinion (dated November 3, 2000) about the application of 18 U.S.C. § 207(d) to certain employees of the U.S. Treasury.

05x4: Federal Advisory Committee Appointments

OGE provides guidance to ethics officials about distinguishing between special Government employees and representatives serving on Federal advisory committees.

04x9: SGEs and Representatives on Federal Advisory Committees

04x8: Train Ridership Program for Law Enforcement Personnel

04x4: Awards and Outside Consulting Activities

99x20: Contingency Fees and 18 U.S.C. § 203

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.

DO-99-024: Effect of Supreme Court Decision in United States v. Sun-Diamond Growers

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.

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.

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.

Attachment to DO-99-001: Employee Acceptance of Commercial Discounts and Benefits

In the attachment, DO-99-001A, OGE provides a framework for analyzing issues involving acceptance of commercial discounts and benefits.

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.

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.

98x13: Regulatory Removal of Honoraria Rules

OGE announces issuance of rule removing obsolete provisions concerning the former honoraria ban.

DO-98-023: Regulatory Removal of Honoraria Rules

OGE announces issuance of rule removing obsolete provisions concerning the former honoraria ban.

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.

DO-97-025: Travel Expenses in Connection with Certain Unofficial Teaching, Speaking, and Writing Activities

97x7: Application of 18 U.S.C. § 208 to Employee Service on Boards of Directors of Non-Federal Entities

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.

96x16: Amendments to 18 U.S.C. § 205 and 18 U.S.C. § 207

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.

96x5: Honoraria Ban Declared Unenforceable

93x19: Answers to Recurring Questions about Fundraising

PA-12-01 Ethics Pledge Assessment

January 4, 2012 PA-12-01 MEMORANDUM TO: Designated Agency Ethics Officials Alternate Designated Agency Ethics Officials FROM: Rashmi Bartlett Associate Director SUBJECT: Ethics Pledge Assessment The United States Office of Government Ethics (OGE) is compiling information to assess agency compliance with Executive Order

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.

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.

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).

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.

Attachment to DO-96-036: Final Rule Revising the Widely Attended Gatherings Gift Exception

The attachment, DO-96-036A, is the final rule revising the widely attended gatherings gifts exception under the Standards of Ethical Conduct for Employees of the Executive Branch, published at 61 Federal Register 42965-42970 (August 20, 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.

DO-98-034: District Court Decision on Remand in Sanjour v. EPA

EA-11-09: FY2012 Quarter 2 Training Schedule (PDF)

December 2, 2011 EA-11-09 MEMORANDUM TO: Designated Agency Ethics Officials FROM: Matthew S. Cross Associate Director for Education SUBJECT: FY2012 Quarter 2 Training Schedule The U.S. Office of Government Ethics FY2012 Quarter 2 training schedule is now available.

DO-10-017: 2009 Conflict of Interest Prosecution Survey

2009 Conflict of Interest Prosecution Survey

PA-11-05: 2011 Annual Survey of Ethics Officials

The United States Office of Government Ethics is launching its Annual Survey of Ethics Officials. The survey will be distributed to the Designated Agency Ethics Official (DAEO), Alternate DAEO, and other high-level agency ethics contacts at all executive branch agencies. The survey will be open for responses until October 6, 2011.

EA-11-06: FY2012 Quarter 1 Training Schedule

The U.S. Office of Government Ethics FY2012 Quarter 1 training schedule is now available. Course offerings include:

Introductory level training on conflicts of interest, certifying 450 reports, and elements of a complete ethics program.
Introductory level certificate program on analyzing gift issues
Workshops on adding value through cooperation, effective ethics education, identifying new entrant filers, outside activities, and widely attended gatherings.
A NEW workshop on effective planning for training. Effective planning can mean the difference between successful and unsuccessful ethics training. In this workshop participants will discuss the challenges they faced in carrying out their 2011 training plans and identify ways to overcome them in 2012. Participants will be asked to think strategically about the who, what, when and how of their training programs and will begin to create an outline of their training plans for 2012.
Web-based training on essential skills for training online, and OGE Form 450 Review

DO-03-022: 2002 Conflict of Interest Prosecution Survey

2002 Conflict of Interest Prosecution Survey

DO-07-030: 2006 Conflict of Interest Prosecution Survey

2006 Conflict of Interest Prosecution Survey

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.

DO-09-003a: Attachment to DO-09-003, Ethics Pledge

This attachment to DO-09-003 is the ethics pledge form.

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.

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.

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.

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.

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.

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).

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.

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).

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.

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.

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.

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.

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.

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.

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.

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 USC 207(a).[See IPA at 5 USC 3371-3376]. Also discussed whether certain activities were therefore restricted under Sec. 207 and 5 CFR 2637.

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 it violated 18 USC 205 and the agency's own ethics regulations. The OGE determined the individual was not necessarily representing an intervening plaintiff in the suit, nor did they violate the current standards of conduct.

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.

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.

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.

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.

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.

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.

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.

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."

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.

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.

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.

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).

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.

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.

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.

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.

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).

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

92x7: Non-Monetary Honorary Awards

The incidental presentation of two non-monetary honorary awards by a university to Federal employees is unlikely to violate the gift regulations currently found at 5 C.F.R. part 2635. [cited former 5 C.F.R. part 735]

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.

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 to be unconstitutional by the U.S. Supreme Court.)

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.

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.

92x1: Honoraria Ban and Cash Award for a Research Paper

The award of a prize for winning a competition does not fall within the meaning of a payment for an appearance, speech or article. (Note: the honoraria ban was subsequently held to be unconstitutional by the U.S. Supreme Court.)

91x37: Application of 18 U.S.C. § 208 to an Employee

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.

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.

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.

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.

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.

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.

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]

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.

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.

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.

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.

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).

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.

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 don't 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).

98x6: Public Financial Disclosure Report Certification Practice

The OGE sent a letter indicating a certification added to SF 278 Disclosure Forms was a 'certificate of no conflict,' which is not allowed by the statute, 5 U.S.C. app., §§ 101-111, or the controlling regulation at 5 C.F.R. part 2634. The OGE told the agency to stop the practice of adding the certification.

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.

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).

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.

94x13: Applicability of 18 U.S.C. § 207(a)(2)

OGE advises an agency on the application of 18 USC § 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.

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 nonpbulic 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.

07x2: Valuation of Gifts of Admission to an Event in a Skybox or Private Suite

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.

06x7: Ethics and Working with Contractors — Questions and Answers

DO-08-039: A Reminder about Holiday Gifts and Fundraising

OGE provides a brief reminder about the ethics rules regarding holiday gifts and fundraising.

06x1: Office of Legal Counsel Opinion on 18 U.S.C. § 208

EA-11-02: 2011 Ethics Awareness Poster Contest

The U.S. Office of Government Ethics is pleased to invite submissions for the NEW 2011 Ethics Awareness Poster Contest. Winners will be recognized and their poster concepts featured at the 18^th National Government Ethics Conference on September 13-15, 2011 in Orlando, FL. The deadline for receipt of entries is June 20, 2011.

EA-11-03: OGE 2011 Program Excellence and Innovation Awards Announcement

The U.S. Office of Government Ethics (OGE) is pleased to invite submissions of nominations for the OGE 2011 Program Excellence and Innovation Awards. The awards will be presented at the 18th National Government Ethics Conference which will be held September 13-15, 2011 at the Orlando World Center Marriott in Orlando, Florida. The deadline for receipt of the nominations is May 27, 2011. Please refer to the attachment for nomination information.

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.

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]

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]

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."

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.

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.

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.

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 CFR part 735]

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.

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.

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.

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.

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.

05x6: Discussion of Certain Post-Government Employment Restrictions

Office of Government Ethics 05x6 Letter to an Inspector General dated September 19, 2005 We received a letter from [a United States] Senator, dated July19, 2005, enclosing a copy of a 2005 Report of Investigation prepared by your office concerning alleged misconduct by [a former executive branch employee].

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.

DO-02-003: 2000 Conflict of Interest Prosecution Survey

2000 Conflict of Interest Prosecution Survey

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.

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.

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.

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.

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.

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.

07x13: Determining the Public Financial Disclosure Requirements for Non-Standard Pay Systems

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).

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.

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.

07x5: Clarification of Scope of Exception and Exclusion to Public Financial Disclosure Reporting Requirements

07x7: Immigration Support Letters and 18 U.S.C. § 205

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.

96x13: Employee's Representation of Client Before Federal Agency

Link to PDF Office of Government Ethics 96X13 Letter to a Private Attorney dated July 10, 1996 This is in reply to your letter of May 21, 1996, concerning your representation of [an individual] in his effort to compromise a [penalty assessment] by [a Federal agency]. [An agency official] has determined

88x14: Application of 18 U.S.C. § 205 to District of Columbia Employees

Office of Government Ethics 88 x 14 Letter to a District of Columbia Agency General Counsel dated October 21, 1988 We received your request for guidance on the requirements of Federal ethics laws applicable to District of Columbia officials. In your letter, you state that you may soon be in a position of bring

DO-96-011A: Attachment to DO-96-011

This attachment is the 1996 edition of the OGE Form 450.

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.

DT-08-015: OGE 2008 Education and Communication Awards Announcement

OGE describes the success factors of an award-winning ethics training product, highlights past award winners, and announces the 2008 Education and Communication Awards competition.

DO-10-009: 2010 Education and Communication Awards

The United States Office of Government Ethics announces the 2010 Education and Communication Award recipients.

DO-00-005: Training Regulation Interim Amendments

OGE announces publication in the Federal Register of an interim rule amending "Executive Agency Ethics Training Programs" (Training Regulation) in Subpart G of 5 C.F.R. part 2638.

93x30: Government Employee Status

DO-98-025A: Attachment to DO-98-025, OLC Opinion

05x2(1):Applicability of 18 U.S.C. 205 to Employee's Signature of Registration Statement

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.

95x1: Conflict of Interest Issues Raised by Spouse's Position as Partner in Law Firm

89x4: Waiver of Post-Employment Prohibitions for Scientific Collaboration Serving the National Interest

An agency may waive 18 U.S.C. §§ 207(a) and (b)(i) post-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.

89x1: Scope of Post-Government Employment Restrictions to Administrative Judges

DO-98-018: The Office of Government Ethics Biennial Report to Congress

Under current law, the Office of Government Ethics (OGE) is required to submit biennially a report to Congress summarizing the actions taken in the ethics program during the previous two years and providing any other appropriate information. The report covering OGE's activities from January 1, 1996 through December 31, 1997 has just been issued, and a copy is attached.

DO-03-008: Reporting Payments Under 31 U.S.C. § 1353

OGE provides information on the procedures for submitting semiannual reports of payments received from non-Federal sources in connection with the attendance of employees at certain meetings or similar functions (31 U.S.C. § 1353).

DO-04-002: 25th Anniversary Year Ethics Message

To commemorate the 25th anniversary of the beginning of the modern executive branch ethics program, OGE provides a sample message that ethics officials may send to employees to heighten employee awareness and understanding of the ethics program.

DO-08-028: 2008 Ethics Program Awards

OGE announces the winners of the 2008 Ethics Program Awards for outstanding achievement in managing the ethics program.

DO-09-022: Survey of Designated Agency Ethics Officials Relating to the Ethics Pledge

The United States Office of Government Ethics will be conducting an electronic survey to assess agency compliance with administration of the Ethics Pledge required by President Obama’s Executive Order 13490.

DO-09-023: OGE Begins Compliance Assessment of the Ethics Pledge (Executive Order 13490)

The United States Office of Government Ethics has begun an assessment of agency compliance with the Ethics Pledge requirement of Executive Order 13490, “Ethics Commitments by Executive Branch Personnel.”

DO-09-031: Reminder Regarding Transmission of Termination Public Financial Disclosure Reports to the United States Office of Government Ethics

he United States Office of Government Ethics reminds Designated Agency Ethics Officials that PAS officials serving in covered public financial disclosure filing positions are required to file a termination public financial disclosure report within 30 days after leaving office.

DO-09-033: 2009 Ethics Pledge Compliance Assessment

The United States Office of Government Ethics is compiling information to assess agency compliance with Executive Order 13490, “Ethics Commitments by Executive Branch Personnel." The information will be used to prepare the annual public report as required by Executive Order.

DT-10-019: FY2011 Quarter 2 Training Schedule

The United States Office of Government Ethics announces the list of course offerings for the second quarter of FY2011.

DO-10-021: The Final DAEOgram

The United States Office of Government Ethics announces the retirement of the DAEOgram. OGE will transmit guidance via Legal Advisories, Program Management Advisories, and Education Advisories.

DO-10-015: 2010 Annual Survey of Ethics Officials

The United States Office of Government Ethics announces the launch of the 2010 Annual Survey of Ethics Officials. The survey provides OGE with information to enhance the executive branch ethics program.

DO-10-012: Annual Update of 18 U.S.C. § 207(c) Component Designations

The United States Office of Government Ethics reminds Designated Agency Ethics Officials of the annual requirement to forward a letter stating whether components currently designated should remain designated.

DO-10-011: Notifying the United States Office of Government Ethics of Filing Extensions

The United States Office of Government Ethics reminds agencies to notify OGE of all Presidentially Appointed Senate Confirmed (PAS) officials and Designated Agency Ethics Officials (DAEO) who received extensions of the filing deadline.

DO-10-007: 2010 Ethics Program Awards

The United States Office of Government Ethics announces the 2010 Ethics Program Award recipients.

DO-10-006: 2010 Due Dates for Public Financial Disclosure Reports of Executive Branch Officials Required to be Filed with OGE

The United States Office of Government Ethics announces the due dates for public financial disclosure reports of executive branch officials required to be filed with OGE in 2010.

DO-09-004: Guidance on the Use of Digital Signatures with the Confidential Financial Disclosure Form

As of January 30, 2009, agencies are authorized to allow digital signatures on the electronically fillable PDF version of the confidential financial disclosure form if their agency’s Chief Information Officer has approved a digital signature process.

DO-08-027: 2008 Education and Communication Awards Winner's Circle

OGE describes training and communications products created by the 2008 Education and Communication Award recipients.

DO-07-004: 2007 Training Award Recipients

OGE describes creative, innovative educational programs and tools being used by the 2007 Training Award recipients. The products serve as models of programs that can be adapted for use by other agencies.

DO-06-026: 2007 Training Awards

OGE discusses training as the principal avenue for explaining to federal employees why ethical behavior is important in government. OGE announces a new award program for ethics training.

DO-06-018: Director's Introductory Message

Robert I. Cusick, newly confirmed as Director of OGE, shares an introductory message with the ethics community.

DO-05-011: Rotational Assignment Program

OGE describes policies for a program to provide professional development opportunities for executive branch employees who work in the ethics program, as well as for OGE employees who have substantive ethics program duties. This memorandum describes the purpose of the Rotational Assignment Program (RAP) and provides guidelines for its administration.

DO-03-023: Reporting Payments Accepted Under 31 U.S.C. § 1353

DO-02-004: Change in the Ethics Agreement Compliance System for Senate-Confirmed Presidential Appointees

OGE describes required evidence that must be submitted to OGE within three months from a nominee's Senate confirmation date with respect to certain recusals made by nominees under Subpart E of 5 C.F.R. part 2635 in the nominee's ethics agreement. OGE also summarizes policies on extensions of time to complete compliance with an ethics agreement, including timing considerations when an appointee will be applying for a Certificate of Divestiture.

DO-01-007: Results of the Executive Branch Employee Ethics Survey 2000

OGE summarizes the results of the Executive Branch Employee Ethics Survey 2000. The survey had two primary purposes. The first was to assess the effectiveness of the executive branch ethics program, from an employee perspective. The second was to assess executive branch ethical culture.

DO-99-007: Publication of Disposition Instructions On Agency Copies of Semiannual Expense Reports for Non-Federally Funded Travel and Related Records

OGE announces the publication of disposition instructions by the National Archives and Records Administration (NARA) on the management of agency copies of Semiannual Expense Reports for Non-Federally Funded Travel (travel accepted under 31 U.S.C. § 1353) and related records.

DO-99-037A: Additional Information Concerning OGE's Review of the Confidential Financial Disclosure System

OGE provides general background information on efforts to improve the confidential financial disclosure system, discusses a recent review's scope and methodology, and provides details on OGE's primary findings.

DO-99-046: Joint Initiative on the Creation of Retention Periods for Common Ethics Program Records

OGE describes an initiative being undertaken with the National Archives and Records Administration (NARA) to revise and expand the General Records Schedules' (GRS) coverage of ethics program records.

DO-99-037: Results of the Confidential Financial Disclosure System Review

OGE summarizes the results of a survey of ethics officials assessing use of the OGE Optional Form 450-A, examining agency efforts to reduce the number of positions required to file confidential reports, and collecting the opinions of ethics officials on whether the confidential financial disclosure system is meeting its intended purpose.

81x9: Agency Seeking Assistance from Former Employee (PDF)

81x8: Determining Who is Considered a Special Government Employee (PDF)

81x4: Applicability of 18 U.S.C. 207(PDF)

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.

81x3: Who is Required to File Public Financial Disclosure Reports (PDF)

81x22: Public Financial Disclosure Reports and Level of Position in the Government (PDF)

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]

81x2: Serving as an Expert Witness (PDF)

81x19: Conflict of Interest Issues Related to Investment in Limited Partnership (PDF)

81x18: Accepting Benefits from a Former Private Employer when Leaving to Work for the Federal Government (PDF)

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.

81x17: Payment to an Employee on Leave Serving as a Consultant to the Federal Government (PDF)

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.

81x16(2): 18 U.S.C. § 209 and Severance Pay Plan (PDF)

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.

81x16(1): 18 U.S.C. § 209 and Severance Pay Plan (PDF)

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.