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

All Advisories for 1999

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12/22/1999

(Legal) 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

(Legal) 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

(Legal) 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

(Legal) 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

(Legal) 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

(Legal) 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 [Note: Executive Order 12834, referenced in this Informal Advisory Letter, has been revoked.]

11/23/1999

(Program) DO-99-046: Joint Initiative on the Creation of Retention Periods for Common Ethics Program Recordspdf
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.

11/12/1999

(Legal) 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

(Legal) 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

(Legal) 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

(Legal) 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

(Legal) 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.

10/20/1999

(Program) Attachment to DO-99-037: Additional Information Concerning OGE's Review of the Confidential Financial Disclosure Systempdf
This attachment, DO-99-037A, sets forth 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.

10/20/1999

(Program) DO-99-037: Results of the Confidential Financial Disclosure System Reviewpdf
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.

09/24/1999

(Legal) 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

(Legal) 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

(Legal) 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

(Legal) 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

(Legal) 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

(Legal) 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

(Legal) 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

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

07/19/1999

(Legal) 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

(Legal) 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

(Legal) 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

(Legal) 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

(Legal) 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

(Legal) 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

(Legal) 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

(Legal) 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

(Legal) 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

(Legal) 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

(Legal) 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

(Legal) 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

(Legal) 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

(Legal) 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

(Legal) 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

(Legal) 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

(Legal) 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

(Legal) 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

(Legal) 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

(Legal) 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

(Legal) 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

(Legal) 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

(Legal) 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

(Legal) 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.

02/22/1999

(Program) DO-99-007: Publication of Disposition Instructions On Agency Copies of Semiannual Expense Reports for Non-Federally Funded Travel and Related Recordspdf
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.

01/05/1999

(Legal) 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

(Legal) 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.]