United States Office of Government Ethics, Preventing Conflicts of Interest in the Executive Branch

Legal Advisories

The Legal Advisories page contains the DAEOgrams on substantive ethics issues published by OGE from 1992 to 2010, the Advisory Opinions published by OGE from 1979 to 2010, and the Legal Advisories, which OGE began publishing in 2011.



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Search Advisories

Citation

Year

12/22/1999

99x25: Clarification of Interpretation of 18 U.S.C. § 203pdf
The prohibition on receipt of compensation for any representational services in 18 U.S.C. § 203 is limited to compensation in exchange for the provision of representational services to a third party, rendered either by the employee or an associate.

12/22/1999

DO-99-049: Clarification of Interpretation of 18 U.S.C. § 203pdf
The prohibition on receipt of compensation for any representational services in 18 U.S.C. § 203 is limited to compensation in exchange for the provision of representational services to a third party, rendered either by the employee or an associate.

12/21/1999

DO-99-048: Second Paperwork Round for a Proposed Moderately Revised Version of the SF 278 Report Formpdf
OGE publishes a second paperwork round for a proposed moderately revised version of the SF 278 report form.

12/14/1999

99x24: Receipt of Compensation for Representational Services under 18 U.S.C. § 203pdf
A former Government employee receiving a fixed rate of pay may not receive a mid-year pay adjustment if the formula used to make the adjustment is dependent on fees received for representational services rendered by another person in connection with a particular matter in which the United States is a party or has a direct and substantial interest.

12/06/1999

99x23: Determining When a Particular Matter Begins under 18 U.S.C. § 207pdf
A particular matter involving specific parties may begin when an agency identifies issues specifically associated with a potential matter, identifies matters of controversy and considers and plans courses of action.  The fact that an application has not been received by the agency does not mean the matter is not before the agency.

12/01/1999

99x22: Summary of Certain Post-Government Employment Restrictionspdf
Summary of the various post-employment restrictions that apply to a former Government official. [Note: Executive Order 12834, referenced in this Informal Advisory Letter, has been revoked.]

11/12/1999

99x21: Particular Matter Involving Specific Parties, Personal and Substantial Participation, and Official Responsibility under 18 U.S.C. § 207pdf
Determining when various stages of a large program become a particular matter involving specific parties and when former officials participated personally and substantially in the various stages.

11/03/1999

99x20: Contingency Fees and 18 U.S.C. § 203pdf
A prospective employee who has an interest in a contingency fee case in which the United States is a party or has a direct and substantial interest must take steps to avoid the proscription in 18 U.S.C. § 203 before entering Government service.

11/03/1999

DO-99-042: Contingency Fees and 18 U.S.C. § 203pdf
A prospective employee who has an interest in a contingency fee case in which the United States is a party or has a direct and substantial interest must take steps to avoid the proscription in 18 U.S.C. § 203 before entering Government service.

10/29/1999

99x19: Applicability of Post-Government Employment Restriction of 18 U.S.C. § 207(a)(1)pdf
A former Government employee who is working for a company that provides technical support on a contract in which the former Government employee participated personally and substantially could violate the 18 U.S.C. § 207 restrictions.

10/22/1999

DO-99-039: 1999 Edition of the OGE Form 201 Ethics Act Access Formpdf
OGE issues the October 1999 edition of the OGE Form 201.

09/24/1999

99x18: Certificates of Divestiture and Capital Gains Requirementpdf
A company's stock that is purchased through an employee stock investment plan will be taxed as ordinary earned income under Internal Revenue Service rules, which makes the stock ineligible for a certificate of divestiture.

09/21/1999

99x17: Intergovernmental Personnel Act (IPA) Assignmentspdf
Intergovernmental Personnel Act (IPA) assignments must be reviewed to make sure they are consistent with applicable conflict of interest restrictions.

09/10/1999

99x16: Same Particular Matter and 18 U.S.C. § 207(a)(1)pdf
A high-level official's attendance at a meeting should be closely reviewed to determine whether his attendance amounts to personal and substantial participation.  Also, an overall acquisition strategy can be an integral part of the contracting process resulting in two separate programs being considered the same particular matter for 18 U.S.C.

09/09/1999

DO-99-035: Applicability of 18 U.S.C. § 208 Exemption to Outsourcing and Privatization Activitiespdf
OGE reaffirms the applicability of the exemption at 5 C.F.R. § 2640.203(d) for employees who participate in matters conducted under OMB Circular A-76 procedures.

09/07/1999

DO-99-033: Inflation Adjustments of Civil Monetary Penalties under the Ethics in Government Actpdf
OGE's amendments to the civil monetary penalties that may be imposed for certain violations of the Ethics in Government Act. affect the executive branchwide financial disclosure and outside employment regulations at 5 C.F.R. parts 2634 and 2636.

07/28/1999

99x15: Use of Official Titlepdf
An employee may not use or permit the use of his official position or title in connection with private service on the board of directors of a nonprofit or other organization, even if that entity has qualified for participation in the Combined Federal Campaign.

07/19/1999

DO-99-031: A Reminder on Use of OGE Optional Form 450-Apdf
OGE reminds agencies that OGE Optional Form 450-A cannot be used in 2000 by filers at agencies that have adopted the maximum three-year use cycle.

07/19/1999

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

07/19/1999

DO-99-030: First Round Paperwork Notice For A Proposed Moderately Revised Version of the SF 278 Report Formpdf
OGE publishes a first round paperwork notice for a proposed moderately revised version of the SF 278 report form.

07/07/1999

99x14(2): Determining When a Matter is the Same Particular Matter under 18 U.S.C. § 207pdf
Separate agencies with differing substantive responsibilities may reach different conclusions when determining whether a matter is the same particular matter for purposes of 18 U.S.C. § 207. [The guidance in this advisory was reconsidered by OGE in 2008 in OGE Informal Advisory Opinion 08 x 6.]

06/15/1999

DO-99-029: 1999 Edition of the OGE Form 450 Confidential Financial Disclosure Reportpdf
OGE issues the April 1999 edition of the OGE Form 450 Confidential Financial Disclosure Report.

05/19/1999

99x13: Effect of Supreme Court Decision in United States v. Sun-Diamond Growerspdf
The decision in the Sun-Diamond case does not disturb the noncriminal prohibitions on gifts found at 5 U.S.C. § 7353 or the Standards of Ethical Conduct for executive branch employees at 5 C.F.R. part 2635.

05/19/1999

DO-99-024: Effect of Supreme Court Decision in United States v. Sun-Diamond Growerspdf
The decision in the Sun-Diamond case does not disturb the noncriminal prohibitions on gifts found at 5 U.S.C. § 7353 or the Standards of Ethical Conduct for executive branch employees at 5 C.F.R. part 2635.

04/29/1999

99x12: Consulting Services and Expert Testimony by Former Government Employeepdf
The proposed consulting services will not violate 18 U.S.C. § 207(a)(1) or (a)(2).   More facts are needed to determine if the former employee may serve as an expert witness in a class action lawsuit that may include individuals on whose claims the former employee worked as a Government employee. [cites former 5 C.F.R. part 2637]

04/29/1999

99x11: Meaning of "Substantially" for Purposes of 18 U.S.C. § 207 and 18 U.S.C. § 208pdf
A dollar-based test to determine whether an employee was "substantially" involved in a particular matter involving specific parties for purposes of the lifetime bar of 18 U.S.C. § 207(a)(1) is not consistent with positions taken by OGE and will lead to incorrect conclusions [cites former 5 C.F.R. part 2637]

04/28/1999

99x10: Ethical Challenges of Privatization and Partneringpdf
The regulatory exemption at 5 C.F.R. § 2640.203(d) permits an employee to fully participate in particular matters affecting his Government position, salary and benefits, so long as those matters do not affect him individually or specially, and so long as they do not affect his interests beyond those arising from Government employment.

04/28/1999

DO-99-020: Ethical Challenges of Privatization and Partneringpdf
The regulatory exemption at 5 C.F.R. § 2640.203(d) permits an employee to fully participate in particular matters affecting his Government position, salary and benefits, so long as those matters do not affect him individually or specially, and so long as they do not affect his interests beyond those arising from Government employment.

04/26/1999

DO-99-019: Frequently-Asked Questions about Certificates of Divestiturepdf
OGE provides a summary, in question and answer format, of the rules and policies that apply to certificates of divestiture in most situations. [Note: The information in this memorandum is outdated. For OGE’s more recent Advisory on Certificates of Divestiture, please see DO-06-030.]

04/26/1999

99x9: Frequently-Asked Questions about Certificates of Divestiturepdf
OGE provides a summary, in question and answer format, of the rules and policies that apply to certificates of divestiture in most situations. [Note: The information in this Advisory is outdated. For OGE’s more recent Advisory on Certificates of Divestiture, please see DO-06-030.]

04/25/1999

DO-99-018: Recusal Obligation and Screening Arrangementspdf
OGE discusses the obligation to recuse under 18 U.S.C. § 208 or 5 C.F.R. § 2635.502 and suggests screening arrangements and other procedures that may be used to help ensure that a commitment to recuse is carried out effectively.  OGE encloses a model recusal memorandum. [The guidance in this advisory was updated in 2014 by Legal Advisory LA-14-06.]

04/25/1999

99x8: Recusal Obligation and Screening Arrangementspdf
OGE discusses the obligation to recuse under 18 U.S.C. § 208 or 5 C.F.R. § 2635.502, and, suggests screening arrangements and other procedures that may be used to help ensure that a commitment to recuse is carried out effectively, and encloses a model recusal memorandum. [The guidance in this advisory was updated in 2014 by Legal Advisory LA-14-06.]

04/24/1999

99x7: Prizes as Gifts — Guidance Concerning the Exclusion at 5 C.F.R. § 2635.203(b)(5)pdf
This memorandum examines some commonly encountered factual circumstances that arise under the gift exclusion at 5 C.F.R. § 2635.203(b)(5), specifically concerning prizes from drawings or contests entered while in an official duty status.

04/24/1999

DO-99-017: Prizes as Gifts — Guidance Concerning the Exclusion at 5 C.F.R. § 2635.203(b)(5)pdf
This memorandum examines some commonly encountered factual circumstances that arise under the gift exclusion at 5 C.F.R. § 2635.203(b)(5), specifically concerning prizes from drawings or contests entered while in an official duty status.

04/14/1999

99x6: 18 U.S.C. § 208 and Defined Benefit Pension Planspdf
OGE updates and refines its previous guidance on the circumstances in which an employee has a conflict of interest in matters affecting the sponsor of his defined benefit plan. [modifies Formal Advisory Opinion 83 OGE 1]

04/14/1999

DO-99-015: 18 U.S.C. § 208 and Defined Benefit Pension Planspdf
OGE updates and refines its previous guidance on the circumstances in which an employee has a conflict of interest in matters affecting the sponsor of his defined benefit plan. [modifies "Formal Advisory Opinion 83 OGE 1"]

04/12/1999

99x5: OGE Regulations and an Agency's Duty to Engage in Collective Bargainingpdf
Provisions of the executive branchwide standards of conduct that require the agencies to make "agency determinations" in implementing the regulations are not subject to collective bargaining.

04/12/1999

DO-99-014: OGE Regulations and an Agency's Duty to Engage in Collective Bargainingpdf
Provisions of the executive branchwide standards of conduct that require the agencies to make "agency determinations" in implementing the regulations are not subject to collective bargaining.

04/06/1999

99x4: Consulting Business of Government Employeepdf
Several statutes and regulations affect a Government employee's ability to engage in a particular outside activity, such as a consulting business.

03/18/1999

DO-99-011: Recent OGE Forms Renewal Matterspdf
Certain of the ethics forms that OGE sponsors for executive branchwide use require periodic (usually three year) renewal of approval from the Office of Management and Budget (OMB) under the Paperwork Reduction Act or from the General Services Administration (GSA) under the interagency reports program.

03/16/1999

99x3: Certificates of Divestiture and Capital Gainspdf
At the time of this opinion, the sale of stock obtained through the exercise of incentive stock options did not result in capital gains under the Internal Revenue code.  OGE could not issue a certificate of divestiture to the employee who owned the stock options.

03/15/1999

99x2: Widely Attended Gathering Exception and Charitable Fundraising Eventspdf
OGE discusses the application of the widely attended gathering (WAG) exception to a charitable fundraising event, the determination of agency interest, and difference between the sponsor of the event versus a nonsponsor bearing the cost of attendance.

03/01/1999

99x14(1): Same Particular Matter under 18 U.S.C. § 207pdf
Determining whether two issues are the same particular matter under 18 U.S.C. 207(a)(1) is a factual question that may require OGE to disclose the identity of the employee to the employing agency.

01/05/1999

99x1: Employee Acceptance of Commercial Discounts and Benefits under the Standards of Ethical Conduct, 5 C.F.R. Part 2635pdf
OGE sets forth a framework for analyzing discounts issues and addresses the regulatory provisions that have particular relevance to discounts issues. [The guidance in this advisory that pertains to certain frequent flyer program benefits earned from Government-financed travel no longer reflects current law.]

01/05/1999

DO-99-001: Employee Acceptance of Commercial Discounts and Benefits under the Standards of Ethical Conduct, 5 C.F.R. Part 2635pdf
OGE sets forth a framework for analyzing discounts issues and addresses the regulatory provisions that have particular relevance to discounts issues. [The guidance in this advisory that pertains to certain frequent flyer program benefits earned from Government-financed travel no longer reflects current law.]